diff --git "a/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_docling.json" "b/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_docling.json" deleted file mode 100644--- "a/results_retrieval/emb_bge_base/retrieval_recursivecharacterchunker_docling.json" +++ /dev/null @@ -1,22210 +0,0 @@ -[ - { - "top_k": 10, - "mrr": 0.5111679894179895, - "recall": 0.74, - "count_empty_strings": 37 - }, - [ - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "What does \"new account\" mean according to the international tax compliance from 2020 ?", - "target_page": 2, - "target_passage": "“new account” means a financial account maintained by a reporting financial institution opened on or after 13th May 2020", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "- (a) 'new account' means a financial account maintained by a reporting financial institution( a ) opened on or after 13th May 2020;\n - (b) 'pre-existing account' means-\n - (i) a financial account maintained by a reporting financial institution as of 12th May 2020, or\n - (ii) a financial account within Section VIII(C)(9)(b) of Annex 1 of the DAC( b ), but in the application of that provision the references to 'subparagraph C(9)(a)' are to be read as references to paragraph (i) of this sub-paragraph.\n - (4) The accounts are-\n - (a) non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health;\n - (b) Premium Bonds issued by the UK National Savings and Investments;\n - (c) Fixed Interest Savings Certificates issued by the UK National Savings and Investments; and\n - (d) Index Linked Savings Certificates issued by the UK National Savings and Investments.'.\n - (5) In Schedule 2, omit paragraphs 2, 6, 8 and 9.\n\n## Transitional provision\n\n - 3. -(1) For the purposes of the International Tax Compliance Regulations 2015, in relation to an account that by virtue of regulation 2(5) ceases to be an excluded account, the calendar year 2020 is treated as beginning on 13th May 2020 and ending on 31st December 2020.\n - (2) Where in consequence of paragraph (1) it is necessary to apportion an amount for the calendar year 2020 to the period ending immediately before 13th May 2020 and the period beginning with that date, it is to be apportioned-\n - (a) on a time basis according to the respective length of the periods, or\n - (b) if that method would produce a result that is unjust or unreasonable, on a just and reasonable basis.\n\nDavid Rutley Maggie Throup\n\n20th April 2020\n\nTwo of the Lords Commissioners of Her Majesty's Treasury\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThe Regulations amend the International Tax Compliance Regulations 2015 ('the principal Regulations') which give effect to agreements and arrangements reached between the United Kingdom and other jurisdictions to improve international tax compliance.\n\nRegulation 2(2) extends the application of the principal Regulations to arrangements entered into by the United Kingdom for the exchange of financial account information with other jurisdictions up to 19th April 2020, the date before the Regulations are made.\n\nRegulation 2(5) omits various accounts from the category of excluded accounts. Regulation 2(4)(b) amends the definitions of 'new account' and 'pre-existing account' in relation to those", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 438\n\n## TAXES\n\n## The International Tax Compliance (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n20th April 2020\n\nLaid before the House of Commons\n\n21st April 2020\n\nComing into force\n\n- -\n\n13th May 2020\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the Finance Act 2013( a ):\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the International Tax Compliance (Amendment) Regulations 2020 and come into force on 13th May 2020.\n\n## Amendments to the International Tax Compliance Regulations 2015\n\n- 2. -(1) The International Tax Compliance Regulations 2015( b ) are amended as follows.\n- (2) In regulation 1(3)(b)(i), for '16th May 2019' substitute '19th April 2020'( c ).\n- (3) In regulation 3(4A)(a), at the beginning insert 'subject to regulation 24(3)'.\n- (4) In regulation 24-\n- (a) in the table in paragraph (2), in the column headed 'the CRS'-\n- (i) at the beginning of the entry for 'new account' insert 'subject to paragraph (3)', and\n- (ii) at the beginning of the entry for 'pre-existing account' insert 'subject to regulation 3(4A)(a) and paragraph (3)', and\n- (b) after paragraph (2) insert-\n- '(3) In respect of the accounts listed in paragraph (4)-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be excluded accounts. Regulation 2(3) and (4)(a) make consequential amendments.\n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts which were previously excluded accounts.\n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-theuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the impacts that apply to this instrument.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "## New Accounting S tandards\n\nWe adopted the following new accounting standards effective January 1, 2013, of which none had a material impact on prior periods.\n\n - GLYPH<129> IFRS 10, Consolidated Financial Statements (IFRS 10) As a result of the adoption of IFRS 10, we have changed our approach to determining whether we have control over and consequently whether we consolidate our investees. IFRS 10 introduces a new control model that is applicable to all investees. Among other things, it requires the consolidation of an investee if we control the investee on the basis of de facto circumstances. In accordance with the transitional provisions of IFRS 10, we re-assessed the control conclusion for our investees at January 1, 2013. We made no changes in the current or comparative period as a result of this assessment.\n - GLYPH<129> IFRS 11, Joint Arrangements (IFRS 11) As a result of the adoption of IFRS 11, we have changed how we evaluate our interests in joint arrangements. Under IFRS 11, we classify our interests in joint arrangements as either joint operations or joint ventures depending on our right to the assets and obligations for the liabilities of the arrangements. When making this assessment, we consider the structure of the arrangements, the legal form of any separate vehicles, the contractual terms of the arrangements and other facts\n\nand circumstances. We have re-evaluated our involvement in our joint arrangements and have accounted for these either using the proportionate consolidation method, or the equity method depending on whether the investment is defined as a joint operation or a joint venture, respectively. The adoption of IFRS 11 was not material to the current or comparative years.", - "page_start": 84, - "page_end": 84, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## (o) New Accounting Standards\n\nA new Japanese accounting standard 'Impairment of Fixed Assets' was issued in August 2002 that is effective for fiscal years beginning on or after April 1, 2005. The new standard requires that tangible and intangible fixed assets be carried at cost less depreciation, and be reviewed for impairment whenever events or changes in circumstances indicate that the carrying amount of an asset may not be recoverable. Companies would be required to recognize an impairment loss in their income statement if certain indicators of asset impairment exist and the book value of an asset exceeds the undiscounted sum of future cash flows of the asset. The Company is currently assessing the impact of this new accounting standard on its financial position and operating results.\n\nEffective April 1, 2003, the Company and its domestic consolidated subsidiaries changed their method of accounting for noncancelable lease transactions which transfer substantially all risks and rewards associated with the ownership of assets, from accounting for them as operating leases, to finance leases. This change was made in order to achieve a better matching of revenue and expenses by calculating manufacturing costs more accurately and to establish a better presentation of the Company's and its domestic consolidated subsidiaries' financial position by reflecting lease transactions more appropriately in its consolidated financial statements, considering the increasing materiality of these lease transactions as well as from an international point of view. The effect of this change in method of accounting was to decrease sales, cost of sales and selling, general and administrative expenses by ¥17,943 million, ¥38,910 million and ¥624 million, respectively, and to increase operating income and income before income taxes and minority interests by ¥21,591 million and ¥17,659 million respectively, for the year ended March 31, 2004 as compared with the corresponding amounts which would have been recorded if the previous method had been followed. In addition, trade and sales finance receivables, tangible fixed assets and lease obligation increased by ¥70,670 million, ¥66,514 million and ¥120,061 million respectively, at March 31, 2004 over the corresponding amounts which would have been recorded if the previous method had been followed. The effect of this change on segment information is explained in Note 21.\n\n(d) Until the year ended March 31, 2004, freight and shipping costs of the Company and certain consolidated subsidiaries were included in selling, general and administrative expenses. Effective April 1, 2004, the Company and those consolidated subsidiaries began to account for the freight and shipping costs as cost of sales. This change was made in order to present gross profit more accurately by including the freight and shipping costs in cost of sales and matching them directly with sales as well as to unify the accounting policy among the Nissan group considering the fact that shipping costs for export parts to be used for manufacture in overseas countries have increased due to the expansion of manufacturing activities outside Japan.", - "page_start": 79, - "page_end": 79, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS\n\n## NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued\n\n## u) Adoption of New and Revised Accounting Standards\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n## AASB 2011-4 Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel\n\n## Disclosure\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n## Amendments to IAS 32 Offsetting Financial Assets and Financial Liabilities\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n## Recently issued accounting standards to be applied in future reporting periods:\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n## AASB 9/IFRS 9 Financial Instruments\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "retrospectively. We are assessing the impact of this amendment on our consolidated financial statements.\n\n - GLYPH<129> IFRIC 21, Levies (IFRIC 21) - In May 2013, the IASB issued a new accounting guidance IFRIC 21, which provides guidance on when to recognize a liability for a levy imposed by a government, both for levies that are accounted for in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and those where the timing and amount of the levy is certain. The Interpretation identifies the obligating event for the recognition of a liability as the activity that triggers the payment of the levy in accordance with the relevant legislation. It provides the following guidance on recognition of a liability to pay levies (i) the liability is recognized progressively if the obligating event occurs over a period of time, and (ii) if an obligation is triggered on reaching a minimum threshold, the liability is recognized when that minimum threshold is reached. The standard is effective for annual periods beginning on or after January 1, 2014, with early adoption permitted. We are assessing the impact of this new standard on our consolidated financial statements.\n - GLYPH<129> IFRS 9, Financial Instruments (IFRS 9) In October 2010, the IASB issued IFRS 9, which replaces IAS 39, Financial Instruments: Recognition and Measurement, establishes principles for the financial reporting of financial assets and financial liabilities that will present relevant and useful information to users of financial statements for their assessment of the amounts, timing and uncertainty of an entity's future cash flows. This new standard also includes a new general hedge accounting standard which will align hedge accounting more closely with risk management. It does not fundamentally change the types of hedging relationships or the requirement to measure and recognize ineffectiveness, however it will provide more hedging strategies that are used for risk management to qualify for hedge accounting and introduce more judgment to assess the effectiveness of a hedging relationship. The mandatory effective date of IFRS 9 has not yet been communicated by the IASB. We are assessing the impact of this new standard on its consolidated financial statements.\n\n## KEY PERFORMANCE INDICATORS\n\nWe measure the success of our strategy using a number of key performance indicators, which are outlined below. We believe these key performance indicators allow us to appropriately measure our performance against our operating strategy as well as against the results of our peers and competitors. The following key performance indicators are not measurements in accordance with IFRS and should not be considered as an alternative to net income or any other measure of performance under IFRS.\n\n## S ubscriber Counts", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Recent Accounting Pronouncements\n\nWe are required to adopt the following revised accounting standards on or after January 1, 2014. We are assessing the impact of adopting these revised standards on our 2014 interim and consolidated financial statements.\n\n - GLYPH<129> IAS 32, Financial Instruments: Presentation (IAS 32) - In December 2011, the IASB amended IAS 32 to clarify the meaning of when an entity has a current legally enforceable right of set-off. The amendments are effective for annual periods beginning on or after January 1, 2014 and are required to be applied retrospectively. We do not expect this to have a significant impact on our consolidated financial statements.\n - GLYPH<129> IAS 39, Financial Instruments: Recognition and Measurement (IAS 39) - In June 2013, the IASB amended IAS 39 to provide relief from discontinuing an existing hedging relationship when a novation that was not contemplated in the original hedging documentation meets specific criteria. The amendments are effective for annual periods beginning on or after January 1, 2014 and are required to be applied", - "page_start": 84, - "page_end": 84, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Other (Expense) Income, Net\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | | | Nine Months Ended | Nine Months Ended | Change | Change |\n|-----------------------------|------------------------------------|------------------------------------|---------|------------|---------------------|---------------------|----------|------------|\n| (Dollars in millions) | 2024 | 2023 | $ | % | 2024 | 2023 | $ | % |\n| | Not Not | Not Not | Not Not | Not Not | Not Not | Not Not | Not Not | Not Not |\n| Other (expense) income, net | $ (270) | $ 37 | $ (307) | meaningful | $ (142) | $ 317 | $ (459) | meaningful |\n\nOther (expense) income, net, changed unfavorably by $307 million in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Other (expense) income, net changed unfavorably by $459 million in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The unfavorable changes were primarily due to fluctuations in foreign currency exchange rates on our intercompany balances. As our intercompany balances are significant in nature and we do not typically hedge foreign currency risk, we can experience significant fluctuations in foreign currency exchange rate gains and losses from period to period.\n\n## Provision for Income Taxes\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | | | Nine Months Ended September 30, | Nine Months Ended September 30, | Change | Change |\n|----------------------------|------------------------------------|------------------------------------|-------|------|-----------------------------------|-----------------------------------|----------|----------|\n| (Dollars in millions) | 2024 | 2023 | $ | % | 2024 | 2023 | $ | % |\n| Provision for income taxes | $ 601 | $ 167 | $ 434 | 260% | $ 1,403 | $ 751 | $ 652 | 87% |\n| Effective tax rate | 22 % | 8 % | | | 23 % | 10 % | | |", - "page_start": 41, - "page_end": 41, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## 4. Future Accounting Policy Changes\n\nIFRS 9 - Financial Instruments ('IFRS 9')\n\nIFRS 9, as issued in 2010, reflects the first phase of the IASB's work on the replacement of IAS 39 and applies to classification and measurement of financial assets and financial liabilities as defined in IAS 39. The standard was initially effective for annual periods beginning on or after January 1, 2013. In November 2013, Chapter 6 of IFRS 9 on hedge accounting was published. At the same time, Chapter 7, containing the effective date and transition provisions was amended to remove the mandatory effective date of IFRS 9. This was intended to provide sufficient time for preparers to make the transition to the new requirements. The Company may still choose to apply IFRS immediately, but is not required to do so. In subsequent phases, the IASB is addressing impairment of financial assets. The adoption of the first phase of IFRS will have an effect on the classification and measurement of the Company's financial assets, but will not have an impact on the classification measurements of financial liabilities. The Company is in the process of assessing the impact IFRS 9 may have on future financial statements.\n\nIFRIC Interpretation 21 - Levies ('IFRIC 21')\n\nIFRIC 21 clarifies that an entity recognises a liability for a levy when the activity that triggers payment, as identified by the relevant legislation, occurs. IFRIC 21 is effective for annual periods beginning on or after January 1, 2014. The Company is in the process of assessing the impact IFRIC 21 may have on future financial statements.", - "page_start": 76, - "page_end": 76, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Under which conditions can the funds of a non-registered pension arrengements be obtained before the age of 55 ?", - "target_page": 2, - "target_passage": "non-registered pension arrangements where the annual contributions are limited to £50,000 and funds contributed cannot be accessed before the age of 55 except in circumstances of serious ill health", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "(5) In this section \"pensions benefits\" m eans any pensions, com pensation, gratuities or other like allow ances for persons in respect of their service as public officers (including service as public officers of the form er P rotectorate of B echuanaland) or for the w idow s, children, dependants or personal representatives of such persons in respect of such service.\n\n## C H A P TE R V III (ss 117-124)\n\n## Finance\n\n## 117. C onsolidated Fund\n\nAll revenues or other m oneys raised or received for the purposes of the G overnm ent of B otsw ana (not being revenues or other m oneys that are payable by or under any law into som e other fund established for a specific purpose or that m ay by or under any law be retained by the departm ent of G overnm ent that received them for the purposes of defraying the expenses of that departm ent) shall be paid into and form one C onsolidated Fund.\n\n## 118. W ithdraw als from C onsolidated Fund or other public funds", - "page_start": 50, - "page_end": 50, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 115. P ensions law s and protection of pensions rights\n\n - (1) The law to be applied w ith respect to any pensions benefits that w ere granted to any person before the com ing into operation of this C onstitution shall be the law that w as in force at the date on w hich those benefits w ere granted or any law in force at a later date that is not less favourable to that person.\n - (2) The law to be applied w ith respect to any pensions benefits (not being benefits to w hich subsection (1) of this section applies) shall-\n - ( a ) in so far as those benefits are w holly in respect of a period of service as a public officer that com m enced before the date on w hich this C onstitution com es into operation, be the law that w as in force im m ediately before that date; and\n - ( b ) in so far as those benefits are w holly or partly in respect of a period of service as a public officer that com m enced after the date on w hich this C onstitution com es into operation, be the law in force on the date on w hich that period of service com m enced,\n\nor any law in force at a later date that is not less favourable to that person.", - "page_start": 49, - "page_end": 49, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (3) W here a person is entitled to exercise an option as to w hich of tw o or m ore law s shall apply in his or her case, the law for w hich he or she opts shall, for the purposes of this section, be deem ed to be m ore favourable to him or her than the other law or law s.\n - (4) A ll pensions benefits shall (except to the extent to w hich under any law providing for the funding of pensions benefits they are a charge on a fund established by that law and have been duly paid out of that fund to the person or authority to w hom paym ent is due) be a charge on the C onsolidated Fund.\n - (5) In this section \"pensions benefits\" m eans any pensions, com pensation, gratuities or other like allow ances for persons in respect of their service as public officers or as m em bers of the arm ed forces or for the w idow s, children, dependants or personal representatives of such persons in respect of such service.", - "page_start": 49, - "page_end": 49, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## NOTE 22: PENSIONS\n\nWe have contributory and non-contributory defined benefit pension plans that are made available to most of our employees. The plans provide pensions based on years of service, years of contributions and earnings. We do not provide any non-pension post-retirement benefits. We also provide unfunded supplemental pension benefits to certain executives.\n\nThe assets of the defined benefit pension plans are held in segregated accounts isolated from our assets. We administer the defined benefit pension plans pursuant to applicable regulations, the Statement of Investment Policies and Procedures and to the mandate of the Pension Committee of the Board of Directors. The Pension Committee of the Board of Directors oversees our administration of the defined benefits pension plans, which includes the following principal areas:", - "page_start": 121, - "page_end": 121, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Pension Obligations\n\nOur retiree pension plans had a funding deficit of approximately $172 million at December 31, 2013. We have been making special minimum monthly payments in addition to our regular contributions to eliminate the pension liability. During 2013, our funding deficit was reduced by $162 million.\n\nThe special payments, including contributions associated with benefits paid from the plans, were approximately $7 million in 2013. We expect our total estimated funding requirements to be $96 million in 2014 and to be adjusted annually thereafter, based on various market factors such as interest rates and expected returns and staffing assumptions.\n\nChanges in factors such as the discount rate, increase in compensation and the expected return on plan assets can affect the accrued benefit obligation, pension expense and the deficiency of plan assets over\n\naccrued obligations in the future. See Critical accounting estimates for more information.\n\n## Purchase of Annuities\n\nFrom time to time we have made additional lump-sum contributions to our pension plans, and the pension plans have purchased annuities from insurance companies to fund the pension benefit obligations for certain groups of retired employees in the plans. Purchasing the annuities relieves us of our primary responsibility for that portion of the accrued benefit obligations for the retired employees and eliminates the significant risk associated with the obligations.\n\nWe did not make any additional lump-sum contributions to our pension plans in 2013 or 2012, and the pension plans did not purchase additional annuities.\n\n## FINANCIAL RISK MANAGEMENT\n\nWe normally use three categories of derivative instruments to manage risks related to our business activities:\n\n| Categories | The risk it manages | Types of derivative instruments |\n|-------------------------|----------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------|\n| Debt Derivatives | GLYPH<129> Impact of fluctuations in foreign exchange rates on principal and interest payments for US denominated long-term debt | GLYPH<129> Cross-currency interest rate exchange agreements GLYPH<129> Forward foreign exchange agreements (from time to time, as applicable) |\n| Expenditure Derivatives | GLYPH<129> Impact of fluctuations in foreign exchange rates on forecasted US dollar denominated expenditures | GLYPH<129> Forward foreign exchange agreements |\n| Equity Derivatives | GLYPH<129> Impact of fluctuations in share price on stock-based compensation expense | GLYPH<129> Total return swap agreements |\n\nWe also manage our exposure to fluctuating interest rates and we have fixed the interest rate on 95.3 % of our debt including short-term borrowings at December 31, 2013 (2012 - 100 % ).\n\n## Debt Derivatives\n\nWe use cross currency interest exchange agreements (Debt Derivatives), to hedge the foreign exchange risk on all of the principal and interest obligations of our US dollar denominated senior notes and debentures. At December 31, 2013 we used Debt Derivatives to hedge the foreign exchange risk on 100 % of the principal and interest obligations on all our US dollar denominated debt. We use Debt Derivatives for risk management purposes only.\n\nDuring 2013, we completed Debt Derivatives transactions as follows:", - "page_start": 65, - "page_end": 65, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Provided that-\n\n - (i) a person m ay be appointed under this subsection notw ithstanding that he or she has attained the age of 70 years or such other age as m ay be prescribed for the purposes of section 97 of this C onstitution;\n - (ii) a person appointed under this subsection, w ho is not a judge of the H igh C ourt, m ay, notw ithstanding the assum ption or resum ption of the functions of the office of C hief Justice by the holder of that office, continue to act as a judge of the", - "page_start": 40, - "page_end": 40, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "she has attained the age of 70 years or such other age as m ay be prescribed for the purposes of section 101 of this C onstitution;\n\n - (ii) a person appointed under this subsection, w ho is not a judge of the C ourt of Appeal, m ay, notw ithstanding the assum ption or resum ption of the functions of the office of P resident of the C ourt of A ppeal by the holder of that office, continue to act as a judge of the C ourt of A ppeal for so long thereafter and to such extent as m ay be necessary to enable him or her to deliver judgm ent or to do any other thing in relation to proceedings that w ere com m enced before him or her previously thereto.\n - (6) If the office of a Justice of A ppeal is vacant or if any Justice of A ppeal is appointed to act as C hief Justice or P resident of the C ourt of A ppeal or is for any reason unable to perform the functions of his or her office, the P resident, acting in accordance w ith the advice of the Judicial S ervice C om m ission, m ay appoint a person qualified for appointm ent as a Justice of A ppeal to act as a Justice of A ppeal:\n\nProvided that a person m ay be so appointed notw ithstanding that he or she has attained the age of 70 years or such other age as m ay be prescribed for the purposes of section 101 of this C onstitution.\n\n - (7) A ny person appointed under subsection (6) of this section to act as a Justice of A ppeal, shall subject to the provisions of section 101(4) and (5) of this C onstitution, continue to act for the period of his or her appointm ent or, if no such period is specified, until his or her appointm ent is revoked by the P resident, acting in accordance w ith the advice of the Judicial S ervice C om m ission:\n\nProvided that the P resident, acting in accordance w ith the advice of the Judicial Service C om m ission, m ay perm it a person w hose appointm ent to act as a Justice of Appeal has expired or been revoked to continue to act as such a judge for such period as m ay be necessary to enable him or her to deliver judgm ent or to do any other thing in relation to proceedings that w ere com m enced before him or her previously thereto.\n\n## 101. Tenure of office of judges of C ourt of A ppeal", - "page_start": 43, - "page_end": 43, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- 113. Tenure of office of D irector of P ublic P rosecutions\n - 114. Tenure of office of A uditor-G eneral\n - 115. Pensions law s and protection of pensions rights\n - 116. Pow er of C om m issions in relation to pensions, etc.\n\n## C H A P T E R V III\n\n## Finance\n\n - 117. C onsolidated Fund\n - 118. W ithdraw als from C onsolidated Fund or other public funds\n - 119. Authorization of expenditure\n - 120. Authorization of expenditure in advance of appropriation\n - 121. C ontingencies Fund\n - 122. R em uneration of certain officers\n - 123. Public debt\n - 124. Auditor-G eneral\n\n## C H A P T E R IX\n\n## M iscellaneous\n\n - 125. R esignations\n - 126. R eappointm ents and concurrent appointm ents\n - 127.\n - Interpretation\n\nFirst S chedule - E lection of S pecially E lected M em bers of the N ational Assem bly\n\nSecond Schedule - D ivision of D istricts into regions for the purpose of selecting M em bers of N tlo ya D ikgosi\n\nL.N . 83, 1966,\n\nAct 30, 1969,\n\nAct 43, 1969,\n\nAct 25, 1970,\n\nAct 28, 1972,\n\nAct 24, 1973,\n\nAct 28, 1978,\n\nS.I. 25, 1980,\n\nAct 32, 1982,\n\nAct 1, 1983,\n\nAct 22, 1987,\n\nS.I. 37, 1991,\n\nAct 27, 1992,\n\nS.I. 51, 1993,\n\nS.I. 119, 1993,\n\nAct 16, 1997,\n\nAct 18, 1997,\n\nAct 1, 1999,\n\nAct 2, 2002,\n\nAct 12, 2002,\n\nAct 9, 2005,\n\nS.I. 91, 2006.\n\n[ D ate of C om m encem ent: 30th S eptem ber, 1966 ]\n\n## C H A P TE R I", - "page_start": 3, - "page_end": 3, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "which the Group becomes a party to the contractual provisions of the instrument.\n\nThe Group derecognises a financial asset when the contractual rights to the cash flows from the asset expire, or it transfers the rights to receive the contractual cash flows on the financial asset in a transaction in which substantially all the risks and rewards of ownership of the financial assets are transferred.\n\nFinancial assets and liabilities are offset and the net amount presented in the statement of financial position when, and only when, the Group has a legal right to offset the amounts and intends either to settle on a net basis or to realise the asset and settle the liability simultaneously.\n\n## (i) Financial assets at fair value through profit or loss\n\nFinancial assets at fair value through profit or loss are financial assets held for trading if acquired principally for the purpose of selling in the short term. Derivatives are also categorised as held for trading unless they are designated as hedges.\n\nAttributable transaction costs are recognised in the profit or loss when incurred. Assets in this category are classified as current assets if they are expected to be settled within 12 months, otherwise they are classified as non-current.\n\n## (ii) Loans and receivables\n\nLoans and receivables are non-derivative financial assets with fixed or determinable payments that are not quoted in an active market. They are included in current assets, except for those with maturities greater than 12 months after the reporting date which are classified as noncurrent assets.\n\nLoans and receivables are measured at amortised cost using the effective interest method, less any impairment losses.\n\n## (iii) Available-for-sale financial assets\n\nAvailable-for-sale financial assets, comprising principally marketable equity securities, are non-derivative financial assets that are either designated in this category or not classified in any of the other categories. They are included in non-current assets unless management intends to dispose of the investment within 12 months of the reporting date. Investments are designated as available-for-sale if they do not have fixed maturities and fixed or determinable payments and management intends to hold them for the medium to long term.\n\nSubsequent to initial recognition, available-forsale financial assets are measured at fair value and changes therein, other than impairment\n\nlosses, are recognised as a separate component of equity net of attributable tax. When an asset is derecognised the cumulative gain or loss in equity is transferred to the statement of comprehensive income.\n\n## Impairment\n\nThe Group assesses at each reporting date whether there is objective evidence that a financial asset or group of financial assets is impaired. In the case of equity securities classified as available-for-sale, a significant or prolonged decline in the fair value of a security below its cost is considered as an indicator that the securities are impaired. If any such evidence exists for available-for-sale financial assets, the cumulative loss measured as the difference between the acquisition cost and the current fair value, less any impairment loss on that financial asset previously recognised in profit or loss, is removed from equity and recognised in the statement of comprehensive income. Impairment losses recognised in the profit or loss on equity instruments classified as available-for-sale are not reversed through the statement of comprehensive income.\n\nIf there is evidence of impairment for any of the Group's financial assets carried at amortised cost, the loss is measured as the difference between the asset's carrying amount and the present value of estimated future cash flows, excluding future credit losses that have not been incurred. The cash flows are discounted at the financial asset's original effective interest rate. The loss is recognised in the statement of comprehensive income.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "- (2) W here the am ount of any pensions benefits that m ay be granted to any person is not fixed by law , the am ount of the benefits to be granted to him or her shall be the greatest am ount for w hich he or she is eligible unless the appropriate C om m ission concurs in his or her being granted benefits of a sm aller am ount.\n - (3) The appropriate C om m ission shall not concur under subsection (1) or subsection (2) of this section in action taken on the ground that any person w ho holds or has held the office of a judge of the C ourt of A ppeal or of the H igh C ourt or the A uditorG eneral or D irector of P rosecutions has been guilty of m isbehaviour unless he or she has been rem oved from office by reason of such m isbehaviour.\n - (4) In this section \"the appropriate C om m ission\" m eans-\n - ( a ) in the case of benefits for w hich any person m ay be eligible in respect of the service in the public service of a person w ho, im m ediately before he or she ceased to be a public officer, w as subject to the disciplinary control of the Judicial S ervice C om m ission or that have been granted in respect of such service, the Judicial S ervice C om m ission;", - "page_start": 50, - "page_end": 50, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What metrics are good indicators of the coverage of gas molecules on carbon nanotubes ?", - "target_page": 1, - "target_passage": "the bind- ing energy and scattering resistance of the molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra 1,2 , ∗ D. J. Mowbray 1,2 , K. S. Thygesen 2 , A. Rubio 1,3 , and K. W. Jacobsen 2 1 Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain 2 Center for Atomic-scale Materials Design, Department of Physics, Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3 Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.-b, 68.43.-h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3-8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert - a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11-13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13-21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the\n\nchange in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "- ∗ Electronic address: juanmaria.garcia@ehu.es\n- [1] Gas Sensing Materials, MRS Bull. , vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, 'Electronic and transport properties of nanotubes', Rev. Mod. Phys. 79 (2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, 'Nanotube molecular wires as chemical sensors', Science 287 (5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, 'Extreme oxygen sensitivity of electronic properties of carbon nanotubes', Science 287 (5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, Integration and Applications (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-P'aez, A. H. Romero, E. Mu˜noz-Sandoval, L. M. Mart'ınez, H. Terrones, and M. Terrones, 'Fabrication of vapor and gas sensors using films of aligned CN x nanotubes', Chem. Phys. Lett. 386 (1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, 'Designing real nanotube-based gas sensors', Phys. Rev. Lett. 100 (17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, 'Tailoring gas sensing properties of carbon nanotubes', J. Appl. Phys. 104 (2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, 'Variable range hopping in oxygen-exposed single-wall carbon nanotube networks', Phys. Stat. Solidi A 205 (6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, 'Influence of O2 and N2 on the conductivity of carbon nanotube networks', Phys. Rev. B 79 (19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, 'Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory', Chem. Phys. Lett. 387 (4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, 'Defective carbon nanotubes for single-molecule sensing', Phys. Rev. B 80 (15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc'ıa-Lastra, K. S. Thygesen, M. Strange, and ' Angel Rubio, 'Conductance of sidewall-functionalized carbon nanotubes: Universal dependence on adsorption sites', Phys. Rev. Lett. 101 (23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, ' Ab initio study of an iron atom interacting with single-wall carbon nanotubes', Phys. Rev. B 67 (20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, 'Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3 d transition metals: A first-principles study', Phys. Rev. B 69 (7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, 'Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes', J. Phys. Chem. B 110 (28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, 'First-principles study of metal adatom adsorption on graphene', Phys. Rev. B 77 , 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, 'Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes', J. Phys. Chem. C 112 (19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), 'Grupos Consolidados UPV/EHU del Gobierno Vasco' (IT-319-07), e-I3 ETSF project (Contract Number 211956), 'Red Espa˜nola de Supercomputaci'on', NABIIT and the Danish Center for Scientific Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jos'e Castillejo programs.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant ( > 1 Ω ) for small changes in CO concentration in the relevant range of around 0.1-10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 ˚ A for representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 ˚ A × 15 ˚ A × 14.622 ˚ A). For this size of supercell a Γ -point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nE form [ M @ VC ] = E [ M @ VC ] + nE [ C ] -E [ M@NT ] (1)\n\nwhere E [M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E [C] is the energy per carbon atom in a pristine nanotube, and E [M@NT]", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆ R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C 0 = 0.1 ppm. Note the change from linear to log scale on the y -axis at ∆ R = 10 Ω .\n\n\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations ( ∼ 10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2 G 0 . The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d -levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged\n\nconductances, i.e. G = ( G ↑ + G ↓ ) / 2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, l φ , is smaller than the average distance between the dopants, d , we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\nR s ( X ) = 1 /G ( X ) -1 / ( 2 G 0 ) , (6)\n\nwhere G ( X ) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1 / ( 2 G 0 ) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆ R N ≈ ∑ X R s ( X )(Θ[ X,C ] -Θ[ X,C 0 ]) , (7)\n\nwhere N is the number of dopants, Θ[ X,C ] is the fractional coverage of species X at concentration C of the target and C 0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\n\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\nE form [ VC ] = E [ VC ] + nE [ C ] -E [ NT ] , (2)\n\nwhere E [VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov et al. for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\nE ads [ X @M@VC ] = E [ X @M@VC ] -E [ X ] -E [ M@VC ] , (3)\n\nFIG. 2: Calculated (a) adsorption energy E ads in eV and (b) change in conductance ∆ G in units of G 0 = 2 e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E [ X @M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E [ X ] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\nΘ[ X ] = K [ X ] C [ X ] 1 + ∑ Y K [ Y ] C [ Y ] , (4)\n\nwhere K = k + /k -is the ratio of forward and backward rate constants for the adsorption reaction,\n\nK [ X ] = exp [ -E ads [ X ] + TS [ X ] k B T ] . (5)\n\nIn these expressions C [ X ] is the concentration of species X , S [ X ] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Jacobsen, 'Benchmark density functional theory calculations for nanoscale conductance', J. Chem. Phys. 128 (11), 114714 (Mar. 2008), doi:10.1063/1.2839275.\n- [25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Ordej'on, and D. S'anchez-Portal, 'The SIESTA method for ab initio ordern materials simulation', J. Phys.: Condens. Matter 14 (11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n- [26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge University Press, London, 1961).\n- [27] P. Atkins and J. de Paula, Physical Chemistry , 8th ed. (Oxford University Press, London, 2006).\n- [28] D. Lide, Handbook of Chemistry and Physics , 87th ed. (CRCPress, 2006-2007).\n- [29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, 'Scal-\n\n- ing theory put into practice: First-principles modeling of transport in doped silicon wires', Phys. Rev. Lett. 99 (7), 076803 (Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n- [30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, W.-J. Chun, Y. Koike, and K. Asakura, 'X-ray absorption fine structure (XAFS) analyses of Ni species trapped in graphene sheet of carbon nanofibers', Phys. Rev. B 73 (14), 144103 (Apr. 2006), doi:10.1103/PhysRevB.73.144103.\n- [31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, F. J. Garcia-Vidal, A. Rubio, and F. Flores, 'Tuning the conductance of single-walled carbon nanotubes by ion irradiation in the Anderson localization regime', Nature Materials 4 , 534 (Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, ' Ab initio study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms', Phys. Rev. B 78 (19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, 'Embedding transitionmetal atoms in graphene: Structure, bonding, and magnetism', Phys. Rev. Lett. 102 (12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, 'Real-space grid implementation of the projector augmented wave method', Phys. Rev. B 71 (3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, 'Generalized gradient approximation made simple', Phys. Rev. Lett. 77 (18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "In Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C 0 = 0 . 1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼ 1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when l φ < d . However, even for l φ > d and assuming that the Anderson localization length, l loc in the system exceeds l φ , Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance 〈 R 〉 [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N , should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where l φ > l loc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\n\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than k B T . In addition, the perturbation term\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13 , 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives , edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1-66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79 , 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109 , 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106 , 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9 , 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96 , 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130 , 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110 , 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52 , 3730 (1995).\n\nof the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l -1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the source of inaccuracy of the MSA3 model at high ionic concentrations ?", - "target_page": 3, - "target_passage": "At high concentration (about 1 mol l−1), the MSA3 overestimates the free energy", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair β ˜ V int ( r ) is set equal to βV eff ij ( r ) for distances less than 4 ˚ A.\n\n\n\nrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n˜ V SR 3 i ( k ) = w ( k / 2) [ V SR 1 i + V SR 2 i ] ( k ) , i = 1 , 2 (2a)\n\nwhere ˜ w ( r ) is the pair probability distribution\n\n˜ ˜ V SR 33 ( k ) = ˜ w ( k / 2) 2 [ V SR 11 + V SR 22 +2 V SR 12 ] ( k ) (2b)\n\n˜ w ( r ) = K -1 0 e -β ˜ V int ( r ) (2c)\n\n˜ V int ( r ) is the internal part of the pair potential (see Fig. 3), and K 0 is the association constant, defined as:\n\nK 0 = ∫ ∞ 0 d r 4 πr 2 e -β ˜ V int ( r ) = 0 . 43 L . mol -1 (3)\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture β ˜ f ex v plus a correction term\n\nβf ex v = β ˜ f ex v -˜ ρ 3 ln K 0 , (4)\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c . (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c .\n\n\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let ˜ σ c be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σ 3 = 4 √ 2 π σ c [21].\n\n˜ ˜ Using these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚ A for MSA3 and 3.69, 4.75 and 6.19 ˚ A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l -1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\n\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than k B T . In addition, the perturbation term\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13 , 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives , edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1-66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79 , 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109 , 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106 , 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9 , 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96 , 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130 , 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110 , 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52 , 3730 (1995).\n\nof the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l -1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina 1 , 2 , 3 , ∗ Jean-Fran¸cois Dufrˆeche 1 , 2 , 3 , † Mathieu Salanne 1 , 2 , Olivier Bernard 1 , 2 , Marie Jardat 1 , 2 , and Pierre Turq 1 , 2 1 UPMC-Universit'e Paris 06, UMR 7195, PECSA, F-75005 Paris, France 2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3 Institut de Chimie S'eparative de Marcoule (ICSM), UMR 5257 CEA-CNRS-Universit'e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C'eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, Huckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8-11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from\n\nmolecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "The first stage consists in calculating the McMillanMayer effective ion-ion interaction potentials V eff ij ( r ), by inverting the radial distribution functions (RDF) g ij ( r ) obtained by MD. The simulations were carried out on a box of 2000 water molecules and 48 NaCl pairs using the same interaction potentials as in reference [16]. This setup corresponds to a concentration of 0 . 64 moll -1 . NPT ensemble sampling at standard pressure and temperature was enforced, with a time step of 1 fs and a pressure bath coupling constant of 1 ps. An equilibration run of 0.25 ns was followed by a production run of 0.6 ns for five different initial configurations. The averages of the resulting RDF were then used for the potential inversion via the HNC closure [15]. These effective potentials are assumed to be concentration independent and will be used for simulations at all concentrations.\n\nSubtracting the long-range Coulombic potential V LR ij ( r ) (which depends on the dielectric constant of the solvent) from V eff ij ( r ), we obtain the short-range contribution V SR ij ( r ) to the effective potentials. These are given in Fig. 1 (species 1 and 2 refer to Na + and Cl -free ions, respectively). All the short-range potentials exhibit oscillations corresponding to the solvent layering between the ions, but this effect is particularly important for the cation-anion interaction: a considerable potential barrier ( /greaterorsimilar 2 k B T ) separates the first two attractive wells. To serve as a reference, Monte Carlo (MC) simulations were performed with these effective potentials; a comparison between MD and MC RDF is also provided in Fig. 1. The excellent agreement between both sets of RDF validates the HNC inversion procedure [17], and allows us to com-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\n\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, V ij = V (0) ij + ∆V ij , a first-order truncated expression for the free energy density of the system βf v is obtained,\n\nβf v /lessorsimilar βf (0) v + 1 2 β ∑ i,j ρ i ρ j ∫ d r g (0) ij ( r ) ∆V ij ( r ) (1)\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = ( k B T ) -1 and ρ i the concentration of species i . The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter ( σ i ) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆ V ij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g ( r ) = exp [ g MSA ( r ) -1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nΦ\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye Huckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillanMayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\n\n\nWe first used LPT for a two-component system (Na + and Cl -free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2 . 0 mol l -1 . The minimization leads to almost constant diameters on the whole range of concentration: σ 1 = 3 . 67 ˚ A and σ 2 = 4 . 78 ˚ A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0 . 1 moll -1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4 . 2 ˚ A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "To overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚ A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2 × 10 5 measurements, taken after discarding up to 5 × 10 4 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed 21 , as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method 22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1 × 10 3 for the single simulation, and between 1 and 5 × 10 4 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l :\n\nm l = √ ( m x l ) 2 +( m y l ) 2 , (2)\n\nwhich is related to the SO (2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\nM = 1 n n ∑ l =1 m l . (3)\n\nTurning to the helical order, which is the relevant quantity for the Z 2 × SO (2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter 1,2\n\nκ = 1 4( n -1) L 2 sin Q z ∑ 〈 ij 〉 [ S x i S y j -S y i S x j ] , (4)\n\nwhere the sum refers to spins belonging to NN layers i and j , respectively, while Q z is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\nM HM = 1 K ∫ π 0 dq z S ( /vector q ) (5)\n\nwhere S ( /vector q ), with /vectorq = (0 , 0 , q z ), is the structure factor 24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Q z\n\nFIG. 2: (color online) Specific heat c v per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of c v vs. L obtained through MH technique. The continuum red line is a power law fit.\n\n\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs. 14,15 , where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S ( /vectorq ) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\nc v = nL 2 β 2 ( 〈 e 2 〉 - 〈 e 〉 2 ) , (6)\n\n∂ β o = nL 2 ( 〈 oe 〉 - 〈 o 〉〈 e 〉 ) , (8)\n\nχ o = nL 2 β ( 〈 o 2 〉 - 〈 o 〉 2 ) , (7)\n\nu 4 ( o ) = 1 -〈 o 4 〉 3 〈 o 2 〉 2 , (9)", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n## B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78-83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρ l and the nanoparticles ρ n . The densities ρ l and ρ n are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ ρ l , ρ n ] , and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆ R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C 0 = 0.1 ppm. Note the change from linear to log scale on the y -axis at ∆ R = 10 Ω .\n\n\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations ( ∼ 10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2 G 0 . The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d -levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged\n\nconductances, i.e. G = ( G ↑ + G ↓ ) / 2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, l φ , is smaller than the average distance between the dopants, d , we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\nR s ( X ) = 1 /G ( X ) -1 / ( 2 G 0 ) , (6)\n\nwhere G ( X ) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1 / ( 2 G 0 ) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆ R N ≈ ∑ X R s ( X )(Θ[ X,C ] -Θ[ X,C 0 ]) , (7)\n\nwhere N is the number of dopants, Θ[ X,C ] is the fractional coverage of species X at concentration C of the target and C 0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "134420 (2009).\n\n- 16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. D'Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, and J. Jensen, Physica B 159 , 93 (1989).\n- 17 H. T. Diep, Phys. Rev. B 39 , 397 (1989).\n- 18 D. Loison, Physica A 275 , 207 (2000).\n- 19 N. Metropolis, et al. , J. Chem. Phys. 21 , 1087 (1953).\n- 20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58 , 2394 (1987).\n- 21 D. P. Landau, and K. Binder, A Guide to Monte Carlo Simulation in Statistical Physics , Cambridge University Press, Cambridge (2000).\n- 22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Methods in Statistical Physics , Clarendon Press, Oxford (1999).\n- 23 B. Efron, The Annals of Statistics 7 , 1 (1979).\n- 24 P. M. Chaikin, T. C. Lubensky Principles of condensed matter physics , Cambridge University Press, New York (1995).\n- 25 K. Binder, Z. Phys. B 43 , 119 (1981). K. Binder, Phys. Rev. Lett. 47 , 693 (1981).\n- 26 Such observable has been obtained from instantaneous evaluation of the structure factor during the stochastic process, and subsequently statistically analyzed as all the other macroscopic quantities.", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "In the health regulation regarding coronavirus, what is considered a \"device\" ?", - "target_page": 3, - "target_passage": "means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984( a ).\n\n## PART 1\n\n## Introductory\n\n## Citation, commencement, extent and application\n\n1. -(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n- (2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n- (3) These Regulations extend to England and Wales and apply in relation to England only.\n\n## Interpretation and introduction of Schedules 1 to 4\n\n## 2. -(1) In these Regulations-\n\n'category 1 arrival' means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n'category 1 country or territory' means a country or territory, or part of a country or territory, specified in Schedule 1( b );\n\n'category 2 country or territory' means a country or territory or part of a country or territory specified in Schedule 2( c );\n\n'category 3 country or territory' means a country or territory or part of a country or territory specified in Schedule 3( d );\n\n'child' means a person under the age of 18;\n\n'the common travel area' has the meaning given in section 1(3) of the Immigration Act 1971( e );\n\n'coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n'coronavirus disease' means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n'designated port' means a port designated for the purposes of Schedule 11;\n\n'device' means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002( f );\n\n- 'disability' has the meaning given in the Equality Act 2010( g ) (see section 6 of, and Schedule 1 to, that Act);\n- 'immigration officer' means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971( h );", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (a) for the purpose of carrying out a function under these Regulations;\n - (b) for the purpose of-\n - (i) preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,\n - (ii) monitoring the spread of infection or contamination with coronavirus or coronavirus disease, or\n - (iii) giving effect to any international agreement or arrangement relating to the spread of infection or contamination with coronavirus or coronavirus disease; or\n - (c) for a purpose connected with, or otherwise incidental to, a purpose described in subparagraph (a) or (b).\n - (4) Subject to paragraph (7), A may only disclose relevant information to another person (the 'recipient') where it is necessary for the recipient to have the information -\n - (a) for the purpose of carrying out a function of the recipient under-\n - (i) these Regulations, or\n - (ii) an enactment which, in Scotland, Wales or Northern Ireland, has the effect of requiring the isolation or quarantine of persons who have been outside the common travel area, for any of the purposes described in sub-paragraph (b);\n - (b) for the purpose of-\n - (i) preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,", - "page_start": 28, - "page_end": 28, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.'.\n\n## Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015\n\n - 18. The Special Educational Needs and Disability (Detained Persons) Regulations 2015( a ) are amended as follows.\n - 19. In regulation 2(1) (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 20. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(1) and (4) (needs assessments which are not completed);\n - (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n - (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n - (d) regulation 19 (requirement to consider mediation);\n - (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n - (f) regulation 21 (mediation);\n - (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n - (h) regulation 27(3) (steps to be taken by a home authority);\n - (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n - (j) regulation 30(3) and (6) (unopposed appeals).'.\n - 21. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 22. In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n', or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- (iii) a limit of detection of less than or equal to 1000 SARS-CoV-2 copies per millilitre, and\n - (iv) uses an established molecular detection method;\n - (c) any device used for the purposes of the test-\n - (i) can be put into service in accordance with Part 4 of the Medical Devices Regulations 2002, other than solely by virtue of regulation 39(2) of those Regulations,\n - (ii) has been validated no more than 18 months before the test is administered or provided to P;\n - (d) it is not a test provided or administered under the National Health Service Act 2006, the National Health Service (Wales) Act 2006( a ), the National Health Service (Scotland) Act 1978( b ), or the Health and Personal Social Services (Northern Ireland) Order 1972( c ); and\n - (e) the test provider complies with paragraph 3.", - "page_start": 68, - "page_end": 68, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## SCHEDULE 7\n\n## Testing before arrival in England\n\n## Compliant tests\n\n - 1. A test complies with this paragraph if-\n - (a) it is a test for the detection of coronavirus undertaken using a device which the manufacturer states has-\n\nRegulation 4", - "page_start": 55, - "page_end": 55, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 2. -(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020( a ) are amended as follows.\n - (2) In regulation 2D(1)(c), for 'regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021'.\n - (3) In regulation 6(1)-\n - (a) in the definitions of 'designated place', 'isolation requirements' and 'self-isolating worker', for 'regulation 4' substitute 'regulation 9';", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 582\n\n## PUBLIC HEALTH, ENGLAND\n\nThe Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\nat 10.32 a.m. on 14th May 2021\n\nLaid before Parliament\n\nat 2.30 p.m. on 14th May 2021\n\nComing into force\n\n- -\n\nat 4.00 a.m. on 17th May 2021\n\n## CONTENTS\n\n## PART 1\n\n## Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n|---------------------------|----------------------------------------------------------------------------|---------------------------|\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n| PART 2 | PART 2 | PART 2 |\n| 3. | Requirement on passengers to provide information | 5 |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n| PART 3 | PART 3 | PART 3 |\n| Enforcement | Enforcement | Enforcement |\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| 12. | Power of entry | 19 |\n| PART 4 | PART 4 | PART 4 |\n| Requirements on operators | Requirements on operators | Requirements on operators |\n| 13. | Passenger information requirement | 19 |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations'), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n - (b) regulation 16(2) and (3) (change of responsible commissioning body);\n - (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n - (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n - (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n - (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n - (g) regulation 33 (requirement to consider mediation);\n - (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n - (i) regulation 35(2), (3) and (4) (mediation - health care issues);\n - (j) regulation 36(2) (mediation - no health care issues);\n - (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n - (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n - (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n - (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n - (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n - (p) regulation 56(3) (publication of comments on the local offer).'.\n - 6. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)-\n - (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 8. In regulation 8(2) (duty to co-operate in EHC needs assessments)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 9. In regulation 10(4) (decision not to secure an EHC plan)-", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- (ii) monitoring the spread of infection or contamination with coronavirus or coronavirus disease, or\n - (iii) giving effect to any international agreement or arrangement relating to the spread of infection or contamination with coronavirus or coronavirus disease; or", - "page_start": 28, - "page_end": 28, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "Regarding the regulation of Enforcement of requirement to self-isolate concerning travel and coronavirus, who are considered an \"authorised persons\" ?", - "target_page": 19, - "target_passage": "For the purposes of this regulation, “authorised person” means— (a) a constable; (b) for the purposes of paragraphs (2) and (3) only, an immigration officer; or (c) a person designated by the Secretary of State for the purposes of this regulation.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- 2. -(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020( a ) are amended as follows.\n - (2) In regulation 2D(1)(c), for 'regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021'.\n - (3) In regulation 6(1)-\n - (a) in the definitions of 'designated place', 'isolation requirements' and 'self-isolating worker', for 'regulation 4' substitute 'regulation 9';", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations'), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.'.\n\n## Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015\n\n - 18. The Special Educational Needs and Disability (Detained Persons) Regulations 2015( a ) are amended as follows.\n - 19. In regulation 2(1) (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 20. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(1) and (4) (needs assessments which are not completed);\n - (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n - (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n - (d) regulation 19 (requirement to consider mediation);\n - (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n - (f) regulation 21 (mediation);\n - (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n - (h) regulation 27(3) (steps to be taken by a home authority);\n - (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n - (j) regulation 30(3) and (6) (unopposed appeals).'.\n - 21. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 22. In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n', or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## Further requirements on arrivals from category 3 countries or territories\n\n - 10. -(1) This regulation applies to a person ('P') where P is a Schedule 11 passenger.\n - (2) P must remain in isolation from others in accordance with, and otherwise comply with the requirements in, Schedule 11.\n - (3) The address specified by P in the Passenger Locator Form pursuant to paragraph 2(a) of Schedule 6 must be the designated accommodation which is part of the managed self-isolation package booked by or on behalf of P.\n\n## PART 3\n\n## Enforcement\n\n## Enforcement of requirement to self-isolate\n\n11. -(1) Where an authorised person has reasonable grounds to believe that a person ('P') has left, or is outside of, the place where P is self-isolating in contravention of regulation 9, Schedule 8 or Schedule 11, the authorised person may-\n\n - (a) direct P to return to the place where P is self-isolating;", - "page_start": 16, - "page_end": 16, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Transitional provision\n\n - 1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the 2020 Regulations') in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n - 2. Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n - 3. A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n - 4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (a) for the purpose of carrying out a function under these Regulations;\n - (b) for the purpose of-\n - (i) preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,\n - (ii) monitoring the spread of infection or contamination with coronavirus or coronavirus disease, or\n - (iii) giving effect to any international agreement or arrangement relating to the spread of infection or contamination with coronavirus or coronavirus disease; or\n - (c) for a purpose connected with, or otherwise incidental to, a purpose described in subparagraph (a) or (b).\n - (4) Subject to paragraph (7), A may only disclose relevant information to another person (the 'recipient') where it is necessary for the recipient to have the information -\n - (a) for the purpose of carrying out a function of the recipient under-\n - (i) these Regulations, or\n - (ii) an enactment which, in Scotland, Wales or Northern Ireland, has the effect of requiring the isolation or quarantine of persons who have been outside the common travel area, for any of the purposes described in sub-paragraph (b);\n - (b) for the purpose of-\n - (i) preventing danger to public health as a result of the spread of infection or contamination with coronavirus or coronavirus disease,", - "page_start": 28, - "page_end": 28, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (3) In regulation 4ZA-\n - (a) in the heading, for 'the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021';\n - (b) in paragraph (1)(a), for 'regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the 2020 Regulations')' substitute 'regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 ('the International Travel and Operator Liability Regulations')';\n - (c) in paragraph (1)(c), for 'paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations' substitute 'paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations';\n - (d) in paragraph (3), for 'paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations'.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 582\n\n## PUBLIC HEALTH, ENGLAND\n\nThe Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\nat 10.32 a.m. on 14th May 2021\n\nLaid before Parliament\n\nat 2.30 p.m. on 14th May 2021\n\nComing into force\n\n- -\n\nat 4.00 a.m. on 17th May 2021\n\n## CONTENTS\n\n## PART 1\n\n## Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n|---------------------------|----------------------------------------------------------------------------|---------------------------|\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n| PART 2 | PART 2 | PART 2 |\n| 3. | Requirement on passengers to provide information | 5 |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n| PART 3 | PART 3 | PART 3 |\n| Enforcement | Enforcement | Enforcement |\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| 12. | Power of entry | 19 |\n| PART 4 | PART 4 | PART 4 |\n| Requirements on operators | Requirements on operators | Requirements on operators |\n| 13. | Passenger information requirement | 19 |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (i) in the case of a person who is required to comply with regulation 9 (requirement to self-isolate), they intend to self-isolate and including, where regulation 9(1)(c) applies, the booking reference number for the managed self-isolation package booked by or on behalf of P, or\n - (ii) in the case of any other person, they intend to stay during the period of 10 days beginning on the day after the date of their arrival in the United Kingdom;\n - (b) the date, or planned date, as appropriate of their arrival at an address specified in subparagraph (a);\n - (c) the operator they are travelling with or through which their booking was made;\n - (d) their seat number;\n - (e) their coach number;\n - (f) the flight number or vessel name;\n - (g) the location at which they will arrive in the United Kingdom;", - "page_start": 54, - "page_end": 54, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk\n\nhttps://www.gov.uk/uk-border-control\n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice\n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nhttps://gov.wales/arriving-wales-overseas\n\n## SCHEDULE 13\n\nRegulation 18(3)\n\n## Prohibition on the arrival of aircraft and vessels into England\n\n## Interpretation of this Schedule\n\n1. -(1) In this Schedule-\n\n'controller' means-\n\n - (a) in relation to a commercially operated aircraft or vessel, the person who has management control over the aircraft or vessel when it arrives in England,\n - (b) in relation to any other aircraft or vessel, the person who has physical control over the aircraft or vessel when it arrives in England;\n\n'passenger' means a person carried in or on an aircraft or vessel other than a member of the aircraft or vessel's crew;\n\n'port' has the same meaning as in the Merchant Shipping Act 1995( a ).", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210582_en.pdf", - "query": "What is the expiracy date of the regulation regarding travel during the coronavirus pandemic made in 2021 ?", - "target_page": 31, - "target_passage": "These Regulations expire at the end of 16th May 2022.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## PART 6\n\n## Final provisions\n\n## Review of need for requirements\n\n24. The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n## Expiry of Regulations\n\n25. These Regulations expire at the end of 16th May 2022.\n\n## Revocations, transitional provision consequential amendments and savings\n\n26. -(1) The following Regulations are revoked-\n\n - (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020( a );\n - (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations')( b ); and\n - (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021( c ).\n - (2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n - (3) Schedule 16 makes transitional provisions.\n - (4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\nAt 10.32 a.m. on 14th May 2021\n\nRobert Courts Parliamentary Under Secretary of State Department for Transport", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations'), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (b) in the definition of 'International Travel Regulations', for 'the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021'.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 582\n\n## PUBLIC HEALTH, ENGLAND\n\nThe Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\nat 10.32 a.m. on 14th May 2021\n\nLaid before Parliament\n\nat 2.30 p.m. on 14th May 2021\n\nComing into force\n\n- -\n\nat 4.00 a.m. on 17th May 2021\n\n## CONTENTS\n\n## PART 1\n\n## Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n|---------------------------|----------------------------------------------------------------------------|---------------------------|\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n| PART 2 | PART 2 | PART 2 |\n| 3. | Requirement on passengers to provide information | 5 |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n| PART 3 | PART 3 | PART 3 |\n| Enforcement | Enforcement | Enforcement |\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| 12. | Power of entry | 19 |\n| PART 4 | PART 4 | PART 4 |\n| Requirements on operators | Requirements on operators | Requirements on operators |\n| 13. | Passenger information requirement | 19 |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (3) In regulation 4ZA-\n - (a) in the heading, for 'the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021';\n - (b) in paragraph (1)(a), for 'regulation 3B of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the 2020 Regulations')' substitute 'regulation 6 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021 ('the International Travel and Operator Liability Regulations')';\n - (c) in paragraph (1)(c), for 'paragraph 7(1)(f) of Schedule 2C to the 2020 Regulations' substitute 'paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations';\n - (d) in paragraph (3), for 'paragraph 7(1)(f) of Schedule 2C to the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'paragraph 7(1)(g) of Schedule 11 to the International Travel and Operator Liability Regulations'.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Transitional provision\n\n - 1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the 2020 Regulations') in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n - 2. Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n - 3. A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n - 4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984( a ).\n\n## PART 1\n\n## Introductory\n\n## Citation, commencement, extent and application\n\n1. -(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n- (2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n- (3) These Regulations extend to England and Wales and apply in relation to England only.\n\n## Interpretation and introduction of Schedules 1 to 4\n\n## 2. -(1) In these Regulations-\n\n'category 1 arrival' means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n'category 1 country or territory' means a country or territory, or part of a country or territory, specified in Schedule 1( b );\n\n'category 2 country or territory' means a country or territory or part of a country or territory specified in Schedule 2( c );\n\n'category 3 country or territory' means a country or territory or part of a country or territory specified in Schedule 3( d );\n\n'child' means a person under the age of 18;\n\n'the common travel area' has the meaning given in section 1(3) of the Immigration Act 1971( e );\n\n'coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n'coronavirus disease' means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n'designated port' means a port designated for the purposes of Schedule 11;\n\n'device' means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002( f );\n\n- 'disability' has the meaning given in the Equality Act 2010( g ) (see section 6 of, and Schedule 1 to, that Act);\n- 'immigration officer' means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971( h );", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 471\n\n## EDUCATION, ENGLAND\n\nThe Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n28th April 2020\n\nLaid before Parliament\n\n30th April 2020\n\nComing into force\n\n-\n\n-\n\n1st May 2020\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014( a ) and sections 29(3) and 569(4) of the Education Act 1996( b ).\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## Review and expiry\n\n- 2. -(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n- (2) These Regulations cease to have effect on 25th September 2020.\n\n## Amendment of the Special Educational Needs and Disability Regulations 2014\n\n- 3. The Special Educational Needs and Disability Regulations 2014( c ) are amended as follows.\n- 4. In regulation 2(1) (interpretation), at the appropriate place insert-\n- ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n- 5. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "https://www.gov.uk/provide-journey-contact-details-before-travel-uk\n\nhttps://www.gov.uk/uk-border-control\n\nhttps://www.nidirect.gov.uk/articles/coronavirus-covid-19-international-travel-advice\n\nhttps://www.gov.scot/publications/coronavirus-covid-19-international-travel-quarantine/\n\nhttps://gov.wales/arriving-wales-overseas\n\n## SCHEDULE 13\n\nRegulation 18(3)\n\n## Prohibition on the arrival of aircraft and vessels into England\n\n## Interpretation of this Schedule\n\n1. -(1) In this Schedule-\n\n'controller' means-\n\n - (a) in relation to a commercially operated aircraft or vessel, the person who has management control over the aircraft or vessel when it arrives in England,\n - (b) in relation to any other aircraft or vessel, the person who has physical control over the aircraft or vessel when it arrives in England;\n\n'passenger' means a person carried in or on an aircraft or vessel other than a member of the aircraft or vessel's crew;\n\n'port' has the same meaning as in the Merchant Shipping Act 1995( a ).", - "page_start": 83, - "page_end": 83, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 2. -(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020( a ) are amended as follows.\n - (2) In regulation 2D(1)(c), for 'regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021'.\n - (3) In regulation 6(1)-\n - (a) in the definitions of 'designated place', 'isolation requirements' and 'self-isolating worker', for 'regulation 4' substitute 'regulation 9';", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "Who first suggested the notions of \"hard\" and \"easy\" problems regarding consciousness ?", - "target_page": 1, - "target_passage": "The terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them to unconscious networks (represented in the metaphor by a broad, unlit \"audience\"). [140] The theory has since been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene. [141]\n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory that only targets one of the \"easy problems\" of consciousness. [1] In particular, he said GWT provided a promising account of how information in the brain could become globally accessible, but argued that \"now the question arises in a different form: why should global accessibility give rise to conscious experience? As always, this bridging question is unanswered.\" [1] J. W. Dalton similarly criticized GWT on the grounds that it provides, at best, an account of the cognitive function of consciousness, and fails to explain its experiential aspect. [142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the 'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so and provides important insights into the relation between consciousness and cognition.\" [143]\n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia over and above the problem of explaining causal functions, because qualia are entailed by neural activity and themselves causal. [21] Dehaene, in his 2014 book Consciousness and the Brain , rejected the concept of qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems. [20] He further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually shifting as understanding evolves: [20]\n\nOnce our intuitions are educated by cognitive neuroscience and computer simulations, Chalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental experience, detached from any information-processing role, will be viewed as a peculiar idea of the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science of consciousness will keep eating away at the hard problem of consciousness until it vanishes.\n\n## Meta-problem\n\nIn 2018, Chalmers highlighted what he calls the \" meta-problem of consciousness \", another problem related to the hard problem of consciousness: [76]\n\nThe meta-problem of consciousness is (to a first approximation) the problem of explaining why we think that there is a [hard] problem of consciousness.\n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal reports\", and the behavior of expressing a belief that there is a hard problem of consciousness. [76]\n\nExplaining its significance, he says: [76]\n\nAlthough the meta-problem is strictly speaking an easy problem, it is deeply connected to the hard problem. We can reasonably hope that a solution to the meta-problem will shed significant light on the hard problem. A particularly strong line holds that a solution to the", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia2.pdf" - }, - { - "text": "\n\n## Hard problem of consciousness\n\nIn the philosophy of mind, the hard problem of consciousness is to explain why and how humans and other organisms have qualia, phenomenal consciousness, or subjective experience. [1][2] It is contrasted with the \"easy problems\" of explaining why and how physical systems give a (healthy) human being the ability to discriminate, to integrate information, and to perform behavioral functions such as watching, listening, speaking (including generating an utterance that appears to refer to personal behaviour or belief), and so forth. [1] The easy problems are amenable to functional explanation-that is, explanations that are mechanistic or behavioral-since each physical system can be explained (at least in principle) purely by reference to the \"structure and dynamics\" that underpin the phenomenon. [1][3]\n\nProponents of the hard problem argue that it is categorically different from the easy problems since no mechanistic or behavioral explanation could explain the character of an experience, not even in principle. Even after all the relevant functional facts are explicated, they argue, there will still remain a further question: \"why is the performance of these functions accompanied by experience?\" [1] To bolster their case, proponents of the hard problem frequently turn to various philosophical thought experiments, involving philosophical zombies (which, they claim, are conceivable) or inverted qualia, or the claimed ineffability of colour experiences, or the claimed unknowability of foreign states of consciousness, such as the experience of being a bat.\n\nThe terms \"hard problem\" and \"easy problems\" were coined by the philosopher David Chalmers in a 1994 talk given at The Science of Consciousness conference held in Tucson, Arizona. [4] The following year, the main talking points of Chalmers' talk were published in The Journal of Consciousness Studies . [1] The publication gained significant attention from consciousness researchers and became the subject of a special volume of the journal, [5][6] which was later published into a book. [7] In 1996, Chalmers published The Conscious Mind , a book-length treatment of the hard problem, in which he elaborated on his core arguments and responded to counterarguments. His use of the word easy is \"tongue-in-cheek\". [8] As the\n\nChalmers on stage for an Alan Turing Year event at De La Salle University, Manila, 27 March 2012\n\n\n\ncognitive psychologist Steven Pinker puts it, they are about as easy as going to Mars or curing cancer. \"That is, scientists more or less know what to look for, and with enough brainpower and funding, they would probably crack it in this century.\" [9]\n\nThe existence of the hard problem is disputed. It has been accepted by some philosophers of mind such as Joseph Levine, [10] Colin McGinn, [11] and Ned Block [12] and cognitive neuroscientists such as Francisco Varela, [13] Giulio Tononi, [14][15] and Christof Koch. [14][15] On the other hand, its existence is denied by other philosophers of mind, such as Daniel Dennett, [16] Massimo Pigliucci, [17] Thomas Metzinger, Patricia Churchland, [18] and Keith Frankish, [19] and by cognitive neuroscientists such as Stanislas Dehaene, [20] Bernard Baars, [21] Anil Seth, [22] and Antonio Damasio. [23] Clinical neurologist and skeptic", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\". [24] According to a 2020 PhilPapers survey, a majority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine problem, while 29.72% said that it does not exist. [25]\n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned Block believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different physical and functional neurological systems potentially having phenomenal overlap. [12] Another potential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular personal identity, as opposed to existing as someone else. [26]\n\n## Overview\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the problem of consciousness\" (1995) [1] and expanded upon it in The Conscious Mind (1996). His works provoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers for his argumentative rigour and \"impeccable clarity\". [27] Pinker later said, in 2018, \"In the end I still think that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a meaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether the same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with several other philosophers that it may be futile to hope for a solution at all, precisely because it is a conceptual problem, or, more accurately, a problem with our concepts.\" [28] Daniel Dennett and Patricia Churchland, among others, believe that the hard problem is best seen as a collection of easy problems that will be solved through further analysis of the brain and behaviour. [29][30]\n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of being awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \" the feeling of what it is like to be something.\" Consciousness, in this sense, is synonymous with experience. [31][27]\n\n## Chalmers' formulation\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience-perceptual discrimination, categorization, internal access, verbal report-there may still remain a further unanswered question: Why is the performance of these functions accompanied by experience?\n\n- - David Chalmers, Facing up to the problem of consciousness\n\nThe problems of consciousness, Chalmers argues, are of two kinds: the easy problems and the hard problem .\n\n## Easy problems\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts about the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and structure, or a hurricane being a logical consequence of the structures and functions of certain weather", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- Weisberg, Josh. \"The hard problem of consciousness\" (http://www.iep.utm.edu/hard-con). Internet Encyclopedia of Philosophy .\n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Hard\\_problem\\_of\\_consciousness&oldid=1261818884\"", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 34. Chalmers, David (2020). \"Is the hard problem of consciousness universal?\" (http://consc.ne t/papers/universal.pdf) (PDF). Journal of Consciousness Studies . 27 (5-6): 227-257. Retrieved 22 February 2022.\n - 35. Locke, John (1722). The works of John Locke: in three volumes . Vol. 1. London: Printed for A. Churchill, and A. Manship, and sold by W. Taylor in Pater-noster-Row. p. 293 (https://book s.google.com/books?id=0BfmAAAAMAAJ&pg=PA293).\n - 36. Leibniz, Monadology, 17, as quoted by Aranyosi, Istvan (2004). \"Chalmers's zombie arguments\" (http://www.personal.ceu.hu/students/03/Istvan\\_Aranyosi/Chapter%20IV.pdf) (PDF) (draft ed.). Central European University Personal Pages.\n - 37. Mill, John Stuart. A System of Logic (1843), Book V, Chapter V, section 3\n - 38. Huxley, Thomas Henry; Youmans, William Jay (1868). The elements of physiology and hygiene: a text-book for educational institutions . New York: D. Appleton and company. p. 178 (https://books.google.com/books?id=aVUAAAAAYAAJ&pg=PA178).\n - 39. Arnold, Dan (2021). \"Philosophy of Mind's \"Hard Problem\" in Light of Buddhist Idealism\". In Emmanuel, Steven M. (ed.). Philosophy's Big Questions: Comparing Buddhist and Western Approaches . New York: Columbia University Press. pp. 97-128. ISBN 978-0231174879.\n - 40. Bryan Van Norden, Buddhism Comes to China (https://www.youtube.com/watch?v=Q1xv3H mUddY), 17 March 2021, retrieved 2021-12-29\n - 41. Tiwald, Justin; Van Norden, Bryan W. eds. (2005), Readings in Later Chinese Philosophy, p. 101. Hackett Publishing.\n - 42. Levine, J. 1983. 'Materialism and qualia: the explanatory gap'. Pacific Philosophical Quarterly , 64: 354-361.\n - 43. Weisberg, Josh. \"The Hard Problem of Consciousness\" (https://www.iep.utm.edu/hard-con/). Internet Encyclopedia of Philosophy .\n - 44. Seager, William. \"Are Zombies Logically Possible?\" (https://www.utsc.utoronto.ca/~seager/z ombie.html). www.utsc.utoronto.ca . Retrieved 2020-09-03.\n - 45. Kaszniak, Alfred W.; Scott, Andrew C. (2007). \"Zombie Killer\". Association of Scientific Studies of Consciousness . S2CID 14891432 (https://api.semanticscholar.org/CorpusID:148 91432).\n - 46. Polger, Tom. \"Zombies: Entry\" (https://web.archive.org/web/20200615155145/http://host.unir oma3.it/progetti/kant/field/zombies.htm). host.uniroma3.it . Archived from the original (https:// host.uniroma3.it/progetti/kant/field/zombies.htm) on 2020-06-15. Retrieved 2020-09-03.\n - 47. Kirk, Robert (2019), \"Zombies\" (https://plato.stanford.edu/archives/spr2019/entries/zombie s/), in Zalta, Edward N. (ed.), The Stanford Encyclopedia of Philosophy (Spring 2019 ed.), Metaphysics Research Lab, Stanford University, retrieved 2020-09-03\n - 48. David Chalmers (1996) The Conscious Mind: In Search of a Fundamental Theory , pp. 15356. Oxford University Press, New York, ISBN 0-19-511789-1 (Pbk.)\n - 49. Dennett, Daniel (1999), \"The Zombie Hunch: Extinction of an Intuition?\" (https://www.nyu.ed u/gsas/dept/philo/courses/consciousness/papers/DD-zombie.html), Royal Institute of Philosophy Millennial Lecture\n - 50. Martine Nida-Rümelin; Donnchadh O Conaill (2019). \"Qualia: The Knowledge Argument\" (htt ps://plato.stanford.edu/archives/win2019/entries/qualia-knowledge/). In Edward N. Zalta (ed.). The Stanford Encyclopedia of Philosophy (Winter 2019 ed.). Metaphysics Research Lab, Stanford University. Retrieved 2020-09-03.\n - 51. Bourget, David; Chalmers, David J. (2014). \"What Do Philosophers Believe?\" (https://philpa pers.org/rec/BOUWDP). Philosophical Studies . 170 (3): 465-500. doi:10.1007/s11098-0130259-7 (https://doi.org/10.1007%2Fs11098-013-0259-7). S2CID 254936498 (https://api.sem anticscholar.org/CorpusID:254936498).", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 17. Massimo Pigliucci (2013). \"What hard problem?\" (http://philpapers.org/archive/PIGWHP.pdf) (PDF). Philosophy Now (99).\n - 18. Churchland, Patricia (1996). \"The Hornswoggle Problem\" (http://joelvelasco.net/teaching/23 00/hornswoggleprob.pdf) (PDF). Journal of Consciousness Studies . 3 (5-6): 402-408. Retrieved 10 January 2021.\n - 19. Frankish, Keith (2016). \"Illusionism as a Theory of Consciousness\" (https://nbviewer.jupyter. org/github/k0711/kf\\_articles/blob/master/Frankish\\_Illusionism%20as%20a%20theory%20o f%20consciousness\\_eprint.pdf) (PDF). Journal of Consciousness Studies . 23 (11-12): 1139. Retrieved 20 December 2018.\n - 20. Dehaene, Stanislas (2014). Consciousness and the brain: deciphering how the brain codes our thoughts . Viking Adult. pp. 259-266 (https://books.google.com/books?id=CWw2AAAAQ BAJ&pg=PT197). ISBN 978-0670025435.\n - 21. Edelman, Gerald; Gally, Joseph; Baars, Bernard (2011). \"Biology of Consciousness\" (https:// www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). Frontiers in Psychology . 2 (4): 4. doi:10.3389/fpsyg.2011.00004 (https://doi.org/10.3389%2Ffpsyg.2011.00004). PMC 3111444 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC3111444). PMID 21713129 (https://pubmed.ncbi.nlm.nih.gov/21713129).\n - 22. Seth, Anil (November 2016). \"The real problem\" (https://aeon.co/essays/the-hard-problem-of -consciousness-is-a-distraction-from-the-real-one). Aeon . Retrieved 22 April 2018.\n - 23. Sean Carroll (29 April 2019). \"Sean Carroll's Mindscape\" (https://www.preposterousunivers e.com/podcast/2019/04/29/episode-44-antonio-damasio-on-feelings-thoughts-and-the-evolu tion-of-humanity/). Preposterousuniverse.com (Podcast). Sean Carroll. Event occurs at 1:04.46. \"I'm just saying that the idea of a hard problem that you cannot transpose, I think is wrong.\"\n - 24. \"Psychological Scales. The Hard Problem of Consciousness\" (https://scales.arabpsycholog y.com/2022/11/19/hard-problem-of-consciousness-2/). arabpsychology.com . Retrieved 2023-10-29.\n - 25. Bourget, David; Chalmers, David J. (2020). \"Philosophers on Philosophy: The 2020 PhilPapers Survey\" (https://survey2020.philpeople.org). Philosophers' Imprint .\n - 26. Roberts, Tim S. (September 2007). \" The Even Harder Problem of Consciousness by Roberts. Tim S.\" (https://www.researchgate.net/publication/228618472) NeuroQuantology . 5 (2): 214-221. doi:10.14704/nq.2007.5.2.129 (https://doi.org/10.14704%2Fnq.2007.5.2.129).\n - 27. Chalmers, David (1996). The Conscious Mind . New York: Oxford University Press. pp. xiixiii, 95-106, backcover.\n - 28. Pinker, Steven (2018). Enlightenment Now . Viking. p. 481. ISBN 9780525427575.\n - 29. Dennett, Daniel; commentary on T. Moody, O. Flanagan and T. Polger. \"The Unimagined Preposterous of Zombies (https://ase.tufts.edu/cogstud/dennett/papers/unzombie.htm)\", Journal of Consciousness Studies vol. 2, no. 4, 1995, pp. 322-326.\n - 30. Churchland, Patricia Smith (2005). \"A neurophilosophical slant on consciousness research\". Cortical Function: A View from the Thalamus . Progress in Brain Research. Vol. 149. pp. 285-293. doi:10.1016/S0079-6123(05)49020-2 (https://doi.org/10.1016%2FS0079-612 3%2805%2949020-2). ISBN 9780444516794. PMID 16226591 (https://pubmed.ncbi.nlm.ni h.gov/16226591).\n - 31. Nagel, Thomas (October 1974). \"What is it like to be a bat?\". The Philosophical Review . 83 (4): 435-450. doi:10.2307/2183914 (https://doi.org/10.2307%2F2183914). JSTOR 2183914 (https://www.jstor.org/stable/2183914). S2CID 49125889 (https://api.semanticscholar.org/Co rpusID:49125889).\n - 32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/). Internet Encyclopedia of Philosophy . Retrieved 2024-10-09.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Today there is a strong tendency to simply equate consciousness with the qualia. Yet there is clearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of pain\" are qualities we are conscious of . So philosophy of mind tends to treat consciousness as if it consisted simply of the contents of consciousness (the phenomenal qualities), while it really is precisely consciousness of contents, the very givenness of whatever is subjectively given. And therefore the problem of consciousness does not pertain so much to some alleged \"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective subject, but rather to the nature of \"seeing\" itself (and in today's philosophy of mind astonishingly little is said about the latter). [129]\n\n## Relationship to scientific frameworks\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be solved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy problems\", although a significant minority disagrees. [9][130]\n\n## Neural correlates of consciousness\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof Koch have made significant progress toward identifying which neurobiological events occur concurrently to the experience of subjective consciousness. [131] These postulated events are referred to as neural correlates of consciousness or NCCs. However, this research arguably addresses the question of which neurobiological mechanisms are linked to consciousness but not the question of why they should give rise to consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting the principle that something such as what he terms \"global availability\" can be used as an indicator of consciousness, the neural correlates will be discovered \"in a century or two\". [132] Nevertheless, he stated regarding their relationship to the hard problem of consciousness:\n\nOne can always ask why these processes of availability should give rise to consciousness in the first place. As yet we cannot explain why they do so, and it may well be that full details about the processes of availability will still fail to answer this question. Certainly, nothing in the standard methodology I have outlined answers the question; that methodology assumes a relation between availability and consciousness, and therefore does nothing to explain it. [...] So the hard problem remains. But who knows: Somewhere along the line we may be led to the relevant insights that show why the link is there, and the hard problem may then be solved. [132]\n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard problem, but rather one of the so-called easy problems to which the hard problem is contrasted. [133] Kandel went on to note Crick and Koch's suggestion that once the binding problem-understanding what accounts for the unity of experience-is solved, it will be possible to solve the hard problem empirically. [133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is a distraction from what he calls the \"real problem\": understanding the neurobiology underlying", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "The philosophers Glenn Carruthers and Elizabeth Schier said in 2012 that the main arguments for the existence of a hard problem-philosophical zombies, Mary's room, and Nagel's bats-are only persuasive if one already assumes that \"consciousness must be independent of the structure and function of mental states, i.e. that there is a hard problem.\" Hence, the arguments beg the question. The authors suggest that \"instead of letting our conclusions on the thought experiments guide our theories of consciousness, we should let our theories of consciousness guide our conclusions from the thought experiments.\" [64]\n\nThe philosopher Massimo Pigliucci argued in 2013 that the hard problem is misguided, resulting from a \"category mistake\". [17] He said: \"Of course an explanation isn't the same as an experience, but that's because the two are completely independent categories, like colors and triangles. It is obvious that I cannot experience what it is like to be you, but I can potentially have a complete explanation of how and why it is possible to be you.\" [17]\n\nIn 2017, the philosopher Marco Stango, in a paper on John Dewey's approach to the problem of consciousness (which preceded Chalmers' formulation of the hard problem by over half a century), noted that Dewey's approach would see the hard problem as the consequence of an unjustified assumption that feelings and functional behaviors are not the same physical process: \"For the Deweyan philosopher, the 'hard problem' of consciousness is a 'conceptual fact' only in the sense that it is a philosophical mistake : the mistake of failing to see that the physical can be had as an episode of immediate sentiency.\" [65]\n\nThe philosopher Thomas Metzinger likens the hard problem of consciousness to vitalism, a formerly widespread view in biology which was not so much solved as abandoned. [66] Brian Jonathan Garrett has also argued that the hard problem suffers from flaws analogous to those of vitalism. [67]\n\nThe philosopher Peter Hacker argues that the hard problem is misguided in that it asks how consciousness can emerge from matter, whereas in fact sentience emerges from the evolution of living organisms. [68] He states: \"The hard problem isn't a hard problem at all. The really hard problems are the problems the scientists are dealing with. [...] The philosophical problem, like all philosophical problems, is a confusion in the conceptual scheme.\" [68] Hacker's critique extends beyond Chalmers and the hard problem, being directed against contemporary philosophy of mind and neuroscience more broadly. Along with the neuroscientist Max Bennett, he has argued that most of contemporary neuroscience remains implicitly dualistic in its conceptualizations and is predicated on the mereological fallacy of ascribing psychological concepts to the brain that can properly be ascribed only to the person as a whole. [69] Hacker further states that \"consciousness studies\", as it exists today, is \"literally a total waste of time\" and that \"the conception of consciousness which they have is incoherent\". [68]\n\n## Eliminative materialism / Illusionism\n\nEliminative materialism or eliminativism is the view that many or all of the mental states used in folk psychology (i.e., common-sense ways of discussing the mind) do not, upon scientific examination, correspond to real brain mechanisms. [59] According the 2020 PhilPapers survey, 4.51% of philosophers surveyed subscribe to eliminativism. [25]", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/). Internet Encyclopedia of Philosophy . Retrieved 2024-10-09.\n - 33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http s://philpapers.org/rec/CHAMFO). Journal of Consciousness Studies . 4 (1): 3-46.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "This stance has recently taken on the name of illusionism : the view that phenomenal consciousness is an illusion. The term was popularized by the philosopher Keith Frankish. [60] Frankish argues that \"illusionism\" is preferable to \"eliminativism\" for labelling the view that phenomenal consciousness is an illusion. More substantively, Frankish argues that illusionism about phenomenal consciousness is preferable to realism about phenomenal consciousness. He states: \"Theories of consciousness typically address the hard problem. They accept that phenomenal consciousness is real and aim to explain how it comes to exist. There is, however, another approach, which holds that phenomenal consciousness is an illusion and aims to explain why it seems to exist.\" [19] Frankish concludes that illusionism \"replaces the hard problem with the illusion problem-the problem of explaining how the illusion of phenomenality arises and why it is so powerful.\" [19]\n\nThe philosopher Daniel Dennett is another prominent figure associated with illusionism. After Frankish published a paper in the Journal of Consciousness Studies titled Illusionism as a Theory of Consciousness, [60] Dennett responded with his own paper with the spin-off title Illusionism as the Obvious Default Theory of Consciousness. [61] Dennett has been arguing for the illusory status of consciousness since early on in his career. For example, in 1979 he published a paper titled On the Absence of Phenomenology (where he argues for the nonexistence of phenomenal consciousness). [70] Similar ideas have been explicated in his 1991 book Consciousness Explained. [71] Dennett argues that the so-called \"hard problem\" will be solved in the process of solving what Chalmers terms the \"easy problems\". [16] He compares consciousness to stage magic and its capability to create extraordinary illusions out of ordinary things. [72] To show how people might be commonly fooled into overstating the accuracy of their introspective abilities, he describes a phenomenon called change blindness, a visual process that involves failure to detect scenery changes in a series of alternating images. [73] He accordingly argues that consciousness need not be what it seems to be based on introspection. To address the question of the hard problem, or how and why physical processes give rise to experience, Dennett states that the phenomenon of having experience is nothing more than the performance of functions or the production of behavior, which can also be referred to as the easy problems of consciousness. [16] Thus, Dennett argues that the hard problem of experience is included among-not separate from-the easy problems, and therefore they can only be explained together as a cohesive unit. [72]\n\nEliminativists differ on the role they believe intuitive judgement plays in creating the apparent reality of consciousness. The philosopher Jacy Reese Anthis is of the position that this issue is born of an overreliance on intuition, calling philosophical discussions on the topic of consciousness a form of \"intuition jousting\". [74] But when the issue is tackled with \"formal argumentation\" and \"precise semantics\" then the hard problem will dissolve. [74] The philosopher Elizabeth Irvine, in contrast, can be read as having the opposite view, since she argues that phenomenal properties (that is, properties of consciousness) do not exist in our common-sense view of the world. She states that \"the hard problem of consciousness may not be a genuine problem for non-philosophers (despite its overwhelming obviousness to philosophers).\" [75]", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia2.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia2.pdf", - "query": "What is David Chalmer's definition of \"consciousness\" ?", - "target_page": 2, - "target_passage": "Chalmers uses Thomas Nagel's definition of consciousness: \"the feeling of what it is like to be something.\"", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "- 32. \"Hard Problem of Consciousness\" (https://iep.utm.edu/hard-problem-of-conciousness/). Internet Encyclopedia of Philosophy . Retrieved 2024-10-09.\n - 33. Chalmers, David (January 1997). \"Moving forward on the problem of consciousness\" (http s://philpapers.org/rec/CHAMFO). Journal of Consciousness Studies . 4 (1): 3-46.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Steven Novella has dismissed it as \"the hard non-problem\". [24] According to a 2020 PhilPapers survey, a majority (62.42%) of the philosophers surveyed said they believed that the hard problem is a genuine problem, while 29.72% said that it does not exist. [25]\n\nThere are a number of other potential philosophical problems that are related to the Hard Problem. Ned Block believes that there exists a \"Harder Problem of Consciousness\", due to the possibility of different physical and functional neurological systems potentially having phenomenal overlap. [12] Another potential philosophical problem which is closely related to Benj Hellie's vertiginous question, dubbed \"The Even Harder Problem of Consciousness\", refers to why a given individual has their own particular personal identity, as opposed to existing as someone else. [26]\n\n## Overview\n\nCognitive scientist David Chalmers first formulated the hard problem in his paper \"Facing up to the problem of consciousness\" (1995) [1] and expanded upon it in The Conscious Mind (1996). His works provoked comment. Some, such as philosopher David Lewis and Steven Pinker, have praised Chalmers for his argumentative rigour and \"impeccable clarity\". [27] Pinker later said, in 2018, \"In the end I still think that the hard problem is a meaningful conceptual problem, but agree with Dennett that it is not a meaningful scientific problem. No one will ever get a grant to study whether you are a zombie or whether the same Captain Kirk walks on the deck of the Enterprise and the surface of Zakdorn. And I agree with several other philosophers that it may be futile to hope for a solution at all, precisely because it is a conceptual problem, or, more accurately, a problem with our concepts.\" [28] Daniel Dennett and Patricia Churchland, among others, believe that the hard problem is best seen as a collection of easy problems that will be solved through further analysis of the brain and behaviour. [29][30]\n\nConsciousness is an ambiguous term. It can be used to mean self consciousness, awareness, the state of being awake, and so on. Chalmers uses Thomas Nagel's definition of consciousness: \" the feeling of what it is like to be something.\" Consciousness, in this sense, is synonymous with experience. [31][27]\n\n## Chalmers' formulation\n\n. . .even when we have explained the performance of all the cognitive and behavioral functions in the vicinity of experience-perceptual discrimination, categorization, internal access, verbal report-there may still remain a further unanswered question: Why is the performance of these functions accompanied by experience?\n\n- - David Chalmers, Facing up to the problem of consciousness\n\nThe problems of consciousness, Chalmers argues, are of two kinds: the easy problems and the hard problem .\n\n## Easy problems\n\nThe easy problems are amenable to reductive inquiry. They are a logical consequence of lower-level facts about the world, similar to how a clock's ability to tell time is a logical consequence of its clockwork and structure, or a hurricane being a logical consequence of the structures and functions of certain weather", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 1. Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://consc.net/pape rs/facing.pdf) (PDF). Journal of Consciousness Studies . 2 (3): 200-219.\n - 2. Harnad, Stevan (1995). \"Why and how we are not zombies\" (http://cogprints.org/1601/6/har nad95.zombies.html). Journal of Consciousness Studies . 1 : 164-167. See also Harnad, Stevan (April 2000). \"How/why the mind-body problem is hard\" (http://cogprints.org/1617/1/ harnad00.mind.humphrey.html). Journal of Consciousness Studies . 7 (4): 54-61.\n - 3. See Cooney's foreword to the reprint of Chalmers' paper: Brian Cooney, ed. (1999). \"Chapter 27: Facing up to the problem of consciousness\". The place of mind . Cengage Learning. pp. 382 ff . ISBN 978-0534528256.\n - 4. Problem of Consciousness (Tuscan 1994) (https://www.youtube.com/watch?v=\\_lWp-6hH\\_6 g%7CHard)\n - 5. JCS vol. 4, pp. 3-46, 1997\n - 6. Chalmers, David (1997). \"Moving forward on the problem of consciousness\". Journal of Consciousness Studies . 4 (1): 3-46.\n - 7. Shear, Jonathan (1997). Explaining Consciousness: The Hard Problem . MIT Press. ISBN 978-0262692212.\n - 8. \"Episode 83, The David Chalmers Interview (Part I - Consciousness)\" (https://thepanpsycas t.com/panpsycast2/episode83-1). The Panpsycast Philosophy Podcast . 19 July 2020. Retrieved 2020-09-05.\n - 9. Pinker, Steven (29 January 2007). \"The Brain: The Mystery of Consciousness\" (http://conten t.time.com/time/magazine/article/0,9171,1580394-1,00.html). Time . Retrieved 19 December 2018.\n - 10. Levine, Joseph (2009-01-15). \"The Explanatory Gap\" (https://www.oxfordhandbooks.com/vi ew/10.1093/oxfordhb/9780199262618.001.0001/oxfordhb-9780199262618-e-17). The Oxford Handbook of Philosophy of Mind : 281-291. doi:10.1093/oxfordhb/9780199262618.003.0017 (https://doi.org/10.1093%2Foxfordhb%2F9 780199262618.003.0017). ISBN 978-0199262618.\n - 11. McGinn, Colin (20 February 2012). \"All machine and no ghost?\" (http://www.newstatesman. com/ideas/2012/02/consciousness-mind-brain). New Statesman . Retrieved 27 March 2012.\n - 12. Block, Ned (2002). \"The Harder Problem of Consciousness\" (https://philpapers.org/rec/BLO THP). The Journal of Philosophy . 99 (8): 391-425. doi:10.2307/3655621 (https://doi.org/10. 2307%2F3655621). JSTOR 3655621 (https://www.jstor.org/stable/3655621). S2CID 111383062 (https://api.semanticscholar.org/CorpusID:111383062).\n - 13. Varela, F.J. (1 April 1996). \"Neurophenomenology: a methodological remedy for the hard problem\" (https://www.ingentaconnect.com/content/imp/jcs/1996/00000003/00000004/718). Journal of Consciousness Studies . 3 (4): 330-349.\n - 14. Tononi, Giulio; Boly, Melanie; Massimini, Marcello; Koch, Christof (July 2016). \"Integrated information theory: from consciousness to its physical substrate\". Nature Reviews Neuroscience . 17 (7): 450-461. doi:10.1038/nrn.2016.44 (https://doi.org/10.1038%2Fnrn.20 16.44). PMID 27225071 (https://pubmed.ncbi.nlm.nih.gov/27225071). S2CID 21347087 (htt ps://api.semanticscholar.org/CorpusID:21347087).\n - 15. Tononi, Giulio; Koch, Christof (March 2015). \"Consciousness: here, there and everywhere?\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4387509). Philosophical Transactions of the Royal Society B: Biological Sciences . 370 (1668): 20140167. doi:10.1098/rstb.2014.0167 (ht tps://doi.org/10.1098%2Frstb.2014.0167). PMC 4387509 (https://www.ncbi.nlm.nih.gov/pmc/ articles/PMC4387509). PMID 25823865 (https://pubmed.ncbi.nlm.nih.gov/25823865).", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Today there is a strong tendency to simply equate consciousness with the qualia. Yet there is clearly something not quite right about this. The \"itchiness of itches\" and the \"hurtfulness of pain\" are qualities we are conscious of . So philosophy of mind tends to treat consciousness as if it consisted simply of the contents of consciousness (the phenomenal qualities), while it really is precisely consciousness of contents, the very givenness of whatever is subjectively given. And therefore the problem of consciousness does not pertain so much to some alleged \"mysterious, nonpublic objects\", i.e. objects that seem to be only \"visible\" to the respective subject, but rather to the nature of \"seeing\" itself (and in today's philosophy of mind astonishingly little is said about the latter). [129]\n\n## Relationship to scientific frameworks\n\nMost neuroscientists and cognitive scientists believe that Chalmers' alleged \"hard problem\" will be solved, or be shown to not be a real problem, in the course of the solution of the so-called \"easy problems\", although a significant minority disagrees. [9][130]\n\n## Neural correlates of consciousness\n\nSince 1990, researchers including the molecular biologist Francis Crick and the neuroscientist Christof Koch have made significant progress toward identifying which neurobiological events occur concurrently to the experience of subjective consciousness. [131] These postulated events are referred to as neural correlates of consciousness or NCCs. However, this research arguably addresses the question of which neurobiological mechanisms are linked to consciousness but not the question of why they should give rise to consciousness at all, the latter being the hard problem of consciousness as Chalmers formulated it. In \"On the Search for the Neural Correlate of Consciousness\", Chalmers said he is confident that, granting the principle that something such as what he terms \"global availability\" can be used as an indicator of consciousness, the neural correlates will be discovered \"in a century or two\". [132] Nevertheless, he stated regarding their relationship to the hard problem of consciousness:\n\nOne can always ask why these processes of availability should give rise to consciousness in the first place. As yet we cannot explain why they do so, and it may well be that full details about the processes of availability will still fail to answer this question. Certainly, nothing in the standard methodology I have outlined answers the question; that methodology assumes a relation between availability and consciousness, and therefore does nothing to explain it. [...] So the hard problem remains. But who knows: Somewhere along the line we may be led to the relevant insights that show why the link is there, and the hard problem may then be solved. [132]\n\nThe neuroscientist and Nobel laureate Eric Kandel wrote that locating the NCCs would not solve the hard problem, but rather one of the so-called easy problems to which the hard problem is contrasted. [133] Kandel went on to note Crick and Koch's suggestion that once the binding problem-understanding what accounts for the unity of experience-is solved, it will be possible to solve the hard problem empirically. [133] However, neuroscientist Anil Seth argued that emphasis on the so-called hard problem is a distraction from what he calls the \"real problem\": understanding the neurobiology underlying", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- Chalmers, David (1995). \"Facing up to the problem of consciousness\" (http://www.imprint.co.uk/ chalmers.html). Journal of Consciousness Studies . 2 (3): 200-219. CiteSeerX 10.1.1.103.8362 (https://citeseerx.ist.psu.edu/viewdoc/summary?doi=10.1.1.103. 8362). Archived (https://web.archive.org/web/20050308163649/http://www.imprint.co.uk/chal mers.html) from the original on 8 March 2005. Retrieved 11 October 2018.\n - Challa, Subhash; Moreland, Mark R.; Mušicki, Darko; Evans, Robin J. (2011). Fundamentals of Object Tracking . Cambridge University Press. doi:10.1017/CBO9780511975837 (https://doi. org/10.1017%2FCBO9780511975837). ISBN 978-0-5218-7628-5.\n - Christian, Brian (2020). The Alignment Problem: Machine learning and human values . W. W. Norton & Company. ISBN 978-0-3938-6833-3. OCLC 1233266753 (https://search.worldcat.o rg/oclc/1233266753).\n - Ciresan, D.; Meier, U.; Schmidhuber, J. (2012). \"Multi-column deep neural networks for image classification\". 2012 IEEE Conference on Computer Vision and Pattern Recognition . pp. 3642-3649. arXiv:1202.2745 (https://arxiv.org/abs/1202.2745). doi:10.1109/cvpr.2012.6248110 (https://doi.org/10.1109%2Fcvpr.2012.6248110). ISBN 9781-4673-1228-8. S2CID 2161592 (https://api.semanticscholar.org/CorpusID:2161592).\n - Clark, Jack (2015b). \"Why 2015 Was a Breakthrough Year in Artificial Intelligence\" (https://www. bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artificial-int elligence). Bloomberg.com . Archived (https://web.archive.org/web/20161123053855/https:// www.bloomberg.com/news/articles/2015-12-08/why-2015-was-a-breakthrough-year-in-artific ial-intelligence) from the original on 23 November 2016. Retrieved 23 November 2016.\n - CNA (12 January 2019). \"Commentary: Bad news. Artificial intelligence is biased\" (https://www.c hannelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loans-keychallenge-11097374). CNA . Archived (https://web.archive.org/web/20190112104421/https:// www.channelnewsasia.com/news/commentary/artificial-intelligence-big-data-bias-hiring-loan s-key-challenge-11097374) from the original on 12 January 2019. Retrieved 19 June 2020.\n - Cybenko, G. (1988). Continuous valued neural networks with two hidden layers are sufficient (Report). Department of Computer Science, Tufts University.\n - Deng, L.; Yu, D. (2014). \"Deep Learning: Methods and Applications\" (http://research.microsoft.c om/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF). Foundations and Trends in Signal Processing . 7 (3-4): 197-387. doi:10.1561/2000000039 (https://doi.org/10. 1561%2F2000000039). Archived (https://web.archive.org/web/20160314152112/http://resea rch.microsoft.com/pubs/209355/DeepLearning-NowPublishing-Vol7-SIG-039.pdf) (PDF) from the original on 14 March 2016. Retrieved 18 October 2014.\n - Dennett, Daniel (1991). Consciousness Explained . The Penguin Press. ISBN 978-0-7139-90379.\n - DiFeliciantonio, Chase (3 April 2023). \"AI has already changed the world. This report shows how\" (https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869 558.php). San Francisco Chronicle . Archived (https://web.archive.org/web/2023061901530 9/https://www.sfchronicle.com/tech/article/ai-artificial-intelligence-report-stanford-17869558. php) from the original on 19 June 2023. Retrieved 19 June 2023.\n - Dickson, Ben (2 May 2022). \"Machine learning: What is the transformer architecture?\" (https://b dtechtalks.com/2022/05/02/what-is-the-transformer). TechTalks . Archived (https://web.archiv e.org/web/20231122142948/https://bdtechtalks.com/2022/05/02/what-is-the-transformer/) from the original on 22 November 2023. Retrieved 22 November 2023.", - "page_start": 54, - "page_end": 54, - "source_file": "wikipedia3.pdf" - }, - { - "text": "consciousness, namely the neural correlates of various conscious processes. [22] This more modest goal is the focus of most scientists working on consciousness. [133] Psychologist Susan Blackmore believes, by contrast, that the search for the neural correlates of consciousness is futile and itself predicated on an erroneous belief in the hard problem of consciousness. [134]\n\n## Computational cognition\n\nA functionalist view in cognitive science holds that the mind is an information processing system, and that cognition and consciousness together are a form of computation. Cognition, distinct from consciousness, is explained by neural computation in the computational theory of cognition. The computational theory of mind asserts that not only cognition, but also phenomenal consciousness or qualia, are computational. While the computation system is realized by neurons rather than electronics, in theory it would be possible for artificial intelligence to be conscious.\n\n## Integrated information theory\n\nIntegrated information theory (IIT), developed by the neuroscientist and psychiatrist Giulio Tononi in 2004 and more recently also advocated by Koch, is one of the most discussed models of consciousness in neuroscience and elsewhere. [135][136] The theory proposes an identity between consciousness and integrated information, with the latter item (denoted as Φ) defined mathematically and thus in principle measurable. [136][137] The hard problem of consciousness, write Tononi and Koch, may indeed be intractable when working from matter to consciousness. [15] However, because IIT inverts this relationship and works from phenomenological axioms to matter, they say it could be able to solve the hard problem. [15] In this vein, proponents have said the theory goes beyond identifying human neural correlates and can be extrapolated to all physical systems. Tononi wrote (along with two colleagues):\n\nWhile identifying the \"neural correlates of consciousness\" is undoubtedly important, it is hard to see how it could ever lead to a satisfactory explanation of what consciousness is and how it comes about. As will be illustrated below, IIT offers a way to analyze systems of mechanisms to determine if they are properly structured to give rise to consciousness, how much of it, and of which kind. [138]\n\nAs part of a broader critique of IIT, Michael Cerullo suggested that the theory's proposed explanation is in fact for what he dubs (following Scott Aaronson) the \"Pretty Hard Problem\" of methodically inferring which physical systems are conscious-but would not solve Chalmers' hard problem. [136] \"Even if IIT is correct,\" he argues, \"it does not explain why integrated information generates (or is) consciousness.\" [136] Chalmers agrees that IIT, if correct, would solve the \"Pretty Hard Problem\" rather than the hard problem. [139]\n\n## Global workspace theory\n\nGlobal workspace theory (GWT) is a cognitive architecture and theory of consciousness proposed by the cognitive psychologist Bernard Baars in 1988. [140] Baars explains the theory with the metaphor of a theater, with conscious processes represented by an illuminated stage. [140] This theater integrates inputs", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia2.pdf" - }, - { - "text": "- 52. Chalmers, David (2003). \"Consciousness and its Place in Nature\". In Stich, Stephen P.; Warfield, Ted A. (eds.). Blackwell Guide to the Philosophy of Mind . Malden, MA: Blackwell. pp. 102-142. doi:10.1002/9780470998762.ch5 (https://doi.org/10.1002%2F978047099876 2.ch5). ISBN 9780470998762.\n - 53. Boutel, Adrian (2013). \"How to be a Type-C Physicalist\" (https://philpapers.org/rec/BOUHT B). Philosophical Studies . 164 (2): 301-320. doi:10.1007/s11098-012-9854-2 (https://doi.or g/10.1007%2Fs11098-012-9854-2). S2CID 254941872 (https://api.semanticscholar.org/Cor pusID:254941872).\n - 54. Majeed, Raamy (September 2016). \"The hard problem & its explanatory targets\". 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ISBN 978-0191535048.\n - 64. Carruthers, Glenn; Schier, Elizabeth (2012). \"Dissolving the hard problem of consciousness\" (http://consciousnessonline.files.wordpress.com/2012/01/disolvinghardproblem.pdf) (PDF). Consciousness Online fourth conference . Retrieved 7 July 2014.\n - 65. Stango, Marco (Summer 2017). \"A Deweyan assessment of three major tendencies in philosophy of consciousness\" (http://muse.jhu.edu/article/680916). Transactions of the Charles S. Peirce Society . 53 (3): 466-490. doi:10.2979/trancharpeirsoc.53.3.06 (https://doi. org/10.2979%2Ftrancharpeirsoc.53.3.06). S2CID 148690536 (https://api.semanticscholar.or g/CorpusID:148690536).", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia2.pdf" - }, - { - "text": "from a variety of unconscious and otherwise autonomous networks in the brain and then broadcasts them to unconscious networks (represented in the metaphor by a broad, unlit \"audience\"). [140] The theory has since been expanded upon by other scientists including cognitive neuroscientist Stanislas Dehaene. [141]\n\nIn his original paper outlining the hard problem of consciousness, Chalmers discussed GWT as a theory that only targets one of the \"easy problems\" of consciousness. [1] In particular, he said GWT provided a promising account of how information in the brain could become globally accessible, but argued that \"now the question arises in a different form: why should global accessibility give rise to conscious experience? As always, this bridging question is unanswered.\" [1] J. W. Dalton similarly criticized GWT on the grounds that it provides, at best, an account of the cognitive function of consciousness, and fails to explain its experiential aspect. [142] By contrast, A. C. Elitzur argued: \"While [GWT] does not address the 'hard problem', namely, the very nature of consciousness, it constrains any theory that attempts to do so and provides important insights into the relation between consciousness and cognition.\" [143]\n\nFor his part, Baars writes (along with two colleagues) that there is no hard problem of explaining qualia over and above the problem of explaining causal functions, because qualia are entailed by neural activity and themselves causal. [21] Dehaene, in his 2014 book Consciousness and the Brain , rejected the concept of qualia and argued that Chalmers' \"easy problems\" of consciousness are actually the hard problems. [20] He further stated that the \"hard problem\" is based only upon ill-defined intuitions that are continually shifting as understanding evolves: [20]\n\nOnce our intuitions are educated by cognitive neuroscience and computer simulations, Chalmers' hard problem will evaporate. The hypothetical concept of qualia, pure mental experience, detached from any information-processing role, will be viewed as a peculiar idea of the prescientific era, much like vitalism... [Just as science dispatched vitalism] the science of consciousness will keep eating away at the hard problem of consciousness until it vanishes.\n\n## Meta-problem\n\nIn 2018, Chalmers highlighted what he calls the \" meta-problem of consciousness \", another problem related to the hard problem of consciousness: [76]\n\nThe meta-problem of consciousness is (to a first approximation) the problem of explaining why we think that there is a [hard] problem of consciousness.\n\nIn his \"second approximation\", he says it is the problem of explaining the behavior of \"phenomenal reports\", and the behavior of expressing a belief that there is a hard problem of consciousness. 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Retrieved 14 April 2018.", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia2.pdf" - }, - { - "text": "Sundance maintains a bright line division of responsibility between the Chairman and the MD as clearly specified in the Board Charter and Role of Management document maintained in the corporate governance section of Sundance's website.\n\nComposition of skills and experience of the Board (out of 5 Directors)", - "page_start": 50, - "page_end": 50, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "- Paulson, Lawrence C. (February 2018). \"Computational Logic: Its Origins and Applications\" (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832843). Proceedings of the Royal Society A: Mathematical, Physical and Engineering Sciences . 474 (2210): 1-14. arXiv:1712.04375 (https://arxiv.org/abs/1712.04375). Bibcode:2018RSPSA.47470872P (https://ui.adsabs.harv ard.edu/abs/2018RSPSA.47470872P). doi:10.1098/rspa.2017.0872 (https://doi.org/10.109 8%2Frspa.2017.0872). PMC 5832843 (https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5832 843). PMID 29507522 (https://pubmed.ncbi.nlm.nih.gov/29507522). S2CID 3805901 (http s://api.semanticscholar.org/CorpusID:3805901).\n - Pedemonte, Bettina (25 June 2018). \"Strategic vs Definitory Rules: Their Role in Abductive Argumentation and their Relationship with Deductive Proof\" (https://www.ejmste.com/article/ strategic-vs-definitory-rules-their-role-in-abductive-argumentation-and-their-relationship-with -5539). Eurasia Journal of Mathematics, Science and Technology Education . 14 (9): 1-17. doi:10.29333/ejmste/92562 (https://doi.org/10.29333%2Fejmste%2F92562). ISSN 13058215 (https://search.worldcat.org/issn/1305-8215). S2CID 126245285 (https://api.semantics cholar.org/CorpusID:126245285). Archived (https://web.archive.org/web/20211207195246/h ttps://www.ejmste.com/article/strategic-vs-definitory-rules-their-role-in-abductive-argumentati on-and-their-relationship-with-5539) from the original on 7 December 2021. Retrieved 8 January 2022.\n - Pickel, Bryan (1 July 2020). \"Structured Propositions and Trivial Composition\" (https://doi.or g/10.1007%2Fs11229-018-1853-1). Synthese . 197 (7): 2991-3006. doi:10.1007/s11229018-1853-1 (https://doi.org/10.1007%2Fs11229-018-1853-1). hdl:20.500.11820/3427c028f2cb-4216-a199-9679a49ce71c (https://hdl.handle.net/20.500.11820%2F3427c028-f2cb-42 16-a199-9679a49ce71c). ISSN 1573-0964 (https://search.worldcat.org/issn/1573-0964). S2CID 49729020 (https://api.semanticscholar.org/CorpusID:49729020).\n - Pietroski, Paul (2021). \"Logical Form: 1. Patterns of Reason\" (https://plato.stanford.edu/entri es/logical-form/#pat). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211002190116/https://plato.sta nford.edu/entries/logical-form/#pat) from the original on 2 October 2021. Retrieved 4 December 2021.\n - Planty-Bonjour, Guy (2012). The Categories of Dialectical Materialism: Contemporary Soviet Ontology . Springer Science & Business Media. p. 62. ISBN 978-94-010-3517-0.\n - Possin, Kevin (2016). \"Conductive Arguments: Why is This Still a Thing?\" (https://philpapers. org/rec/POSCAW-4). Informal Logic . 36 (4): 563-593. doi:10.22329/il.v36i4.4527 (https://do i.org/10.22329%2Fil.v36i4.4527). Archived (https://web.archive.org/web/20220108171723/ht tps://philpapers.org/rec/POSCAW-4) from the original on 8 January 2022. Retrieved 8 January 2022.\n - Priest, Graham; Tanaka, Koji; Weber, Zach (2018). \"Paraconsistent Logic\" (https://plato.stan ford.edu/entries/logic-paraconsistent/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 14 December 2021.\n - Pépin, Jean (2004). \"Logos\". Encyclopedia of Religion (https://www.encyclopedia.com/philo sophy-and-religion/philosophy/philosophy-terms-and-concepts/logos). ISBN 978-0-02865733-2. Archived (https://web.archive.org/web/20211229134626/https://www.encyclopedi a.com/philosophy-and-religion/philosophy/philosophy-terms-and-concepts/logos) from the original on 29 December 2021. Retrieved 29 December 2021.\n - Putnam, H. (1969). \"Is Logic Empirical?\". Boston Studies in the Philosophy of Science . Vol. 5. pp. 216-241. doi:10.1007/978-94-010-3381-7\\_5 (https://doi.org/10.1007%2F978-94010-3381-7\\_5). ISBN 978-94-010-3383-1.\n - Quine, Willard Van Orman (1981). Mathematical Logic . Harvard University Press. p. 1. ISBN 978-0-674-55451-1.", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia1.pdf" - }, - { - "text": "## ACKNOWLEDGMENTS\n\nThis paper represents the work of seven authors, but some were required by their employer to remove their names. The remaining listed authors are extremely grateful to our colleagues for the effort and wisdom they contributed to this paper.\n\nIn addition, in drafting and revising this paper, we benefited from thoughtful comments and discussion from many people: Alex Hanna, Amandalynne Paullada, Ben Hutchinson, Ben Packer, Brendan O'Connor, Dan Jurafsky, Ehud Reiter, Emma Strubell, Emily Denton, Gina-Anne Levow, Iason Gabriel, Jack Clark, Kristen Howell, Lucy Vasserman, Maarten Sap, Mark Díaz, Miles Brundage, Nick Doiron, Rob Munro, Roel Dobbe, Samy Bengio, Suchin Gururangan, Vinodkumar Prabhakaran, William Agnew, William Isaac, and Yejin Choi and our anonymous reviewers.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.1.1 How to browse through the Editorial Content of the Portal\n\nThe editorial content of the Portal is organized into 4 main menu items:\n\n- 1. What we do\n- 2. Providing Data\n- 3. Using Data\n- 4. Resources\n\n\n\n## 1. Click on 'What we do' , then on submenu 'Our Activities'\n\nThe system displays a separate page with information on what is done in the Portal.\n\n", - "page_start": 9, - "page_end": 9, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "## Board Committees\n\nTo assist the Board in fulfilling its responsibilities, the Board has established three committees to consider certain issues and functions. These committees are as follows:\n\n - 〉 Audit Committee;\n - 〉 Remuneration Committee; and\n - 〉 Nomination Committee.\n\nEach committee operates under its own charter.\n\n## Audit Committee\n\nThe members of the Audit Committee as at the date of this Report are:\n\n - 〉 Mr Craig Carracher (Chairman of Audit Committee);\n - 〉 Mr Ross Smyth-Kirk; and\n - 〉 Mr Peter McAleer.\n\nThe Committee has appropriate financial expertise. All members of the Committee are financially literate and have an appropriate under standing of the industry in which the Company operates.\n\nThe Audit Committee's role is to assist the Board to fulfil its responsibilities associated with the Company's accounts, its external financial reporting, its internal control structure, risk\n\nCorporate Governance Statement\n\nmanagement systems and audit function. The primary functions of the Audit Committee are to:\n\n - 〉 review the financial information provided by the Board to shareholders and other parties ensuring that it is true and fair and complies with relevant accounting standards;\n - 〉 ensure that corporate risk management policies and internal controls are in place and are maintained in accordance with appropriate standards and statutory requirements;\n - 〉 oversee and evaluate the quality of the audits conducted by the external auditors;\n - 〉 provide for open communication between the external auditors and the Board for the exchange of views and information; and\n - 〉 recommend to the Board the nomination and remuneration of the external auditors and ensure their independence and integrity.\n\nIn fulfilling its responsibilities, the Audit Committee has rights of access to management and to auditors (external and internal) without management present and may seek explanations and additional information.\n\nThe Audit Committee met twice during the 2013 financial year.\n\nThe Audit Committee operates in accordance with a charter published in the 'Corporate Governance' section of the Company's website.\n\n## Auditor Independence and Engagement\n\nThe charter adopted by the Audit Committee confirms its role in assisting the Board in respect of the appointment, compensation, retention and oversight of the Company's external auditors. The external auditors are required to confirm that they have maintained their independence in accordance with the Corporations Act 2001 (Cth) and the rules of professional accounting bodies.\n\nThe performance of the external auditor is reviewed annually and applications for tender of external audit services are requested when deemed appropriate, taking into consideration assessment of performance, existing value and tender costs.\n\nAn analysis of fees paid to the external auditors, including a breakdown of fees for non-audit services, is provided in the Directors' Report. It is the policy of the external auditors to provide an annual declaration of their independence to the Audit Committee.\n\nu", - "page_start": 36, - "page_end": 36, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "- 52. Chalmers, David (2003). \"Consciousness and its Place in Nature\". In Stich, Stephen P.; Warfield, Ted A. (eds.). Blackwell Guide to the Philosophy of Mind . Malden, MA: Blackwell. pp. 102-142. doi:10.1002/9780470998762.ch5 (https://doi.org/10.1002%2F978047099876 2.ch5). ISBN 9780470998762.\n - 53. Boutel, Adrian (2013). \"How to be a Type-C Physicalist\" (https://philpapers.org/rec/BOUHT B). Philosophical Studies . 164 (2): 301-320. doi:10.1007/s11098-012-9854-2 (https://doi.or g/10.1007%2Fs11098-012-9854-2). S2CID 254941872 (https://api.semanticscholar.org/Cor pusID:254941872).\n - 54. Majeed, Raamy (September 2016). \"The hard problem & its explanatory targets\". Ratio . 29 (3): 298-311. doi:10.1111/rati.12103 (https://doi.org/10.1111%2Frati.12103).\n - 55. Levin, Janet (2008). \"Taking Type-B Materialism Seriously\" (https://philpapers.org/rec/LEVT TM). Mind and Language . 23 (4): 402-425. doi:10.1111/j.1468-0017.2008.00349.x (https://d oi.org/10.1111%2Fj.1468-0017.2008.00349.x).\n - 56. Mandik, Pete; Weisberg, Josh (2008). Wrenn, Chase (ed.). Type-Q Materialism (https://philp apers.org/rec/MANTM). Peter Lang Publishing Group.\n - 57. 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Archived (https://web.archive.org/web/20211207184932/https://philpapers.org/rec/JACPOL) from the original on 7 December 2021. Retrieved 29 December 2021.\n - Jago, Mark (2014). The Impossible: An Essay on Hyperintensionality . OUP Oxford. p. 41. ISBN 978-0-19-101915-9.\n - Janssen, Theo M. V.; Zimmermann, Thomas Ede (2021). \"Montague Semantics\" (https://plat o.stanford.edu/entries/montague-semantics/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. pp. 3-4. Retrieved 10 March 2023.\n - Johnson, Ralph H. (1999). \"The Relation Between Formal and Informal Logic\" (https://philpa pers.org/rec/JOHTRB-2). Argumentation . 13 (3): 265-274. doi:10.1023/A:1007789101256 (https://doi.org/10.1023%2FA%3A1007789101256). S2CID 141283158 (https://api.semantic scholar.org/CorpusID:141283158). Archived (https://web.archive.org/web/20211207184706/ https://philpapers.org/rec/JOHTRB-2) from the original on 7 December 2021. 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(2019). \"Structured Propositions\" (https://plato.stanford.edu/entries/propositi ons-structured/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211025211706/https://plato.sta nford.edu/entries/propositions-structured/) from the original on 25 October 2021. Retrieved 4 December 2021.\n - Klement, Kevin C. (1995b). \"Propositional Logic\" (https://iep.utm.edu/prop-log/). Internet Encyclopedia of Philosophy . ISSN 2161-0002 (https://search.worldcat.org/issn/2161-0002). Retrieved 23 September 2022.\n - Kline, Morris (1972). Mathematical Thought From Ancient to Modern Times . Oxford University Press. ISBN 978-0-19-506135-2.\n - Kneale, William; Kneale, Martha (1962). The Development of Logic . Clarendon Press. ISBN 978-0-19-824773-9.\n - Knuuttila, Simo (1980). Reforging the Great Chain of Being: Studies of the History of Modal Theories . Springer Science & Business Media. p. 71. ISBN 978-90-277-1125-0.", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "What explains mostly the physical behavior that occurs in region iii of thin films ?", - "target_page": 5, - "target_passage": "The observed behaviour in region iii) can be reason- ably attributed to the decreasing relevance of the con- tribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i ) high thickness, n /greaterorequalslant 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii ) intermediate thickness, 6 ≤ n /lessorsimilar 15, where the temperature corresponding to the onset of in-plane order, T C ( n ), is still /similarequal T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature T N ( n ) < T C ( n ); iii ) low thickness,1 ≤ n ≤ 5, where T C ( n ) /lessorsimilar T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii ) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "- [110] L. Rockford, Y. Liu, P. Mansky, T. P. Russell, M. Yoon, and S. G. J. Mochrie, 'Polymers on nanoperiodic, heterogeneous surfaces,' Phys. Rev. Lett. 82 , 2602-2605 (1999).\n - [111] A. Sehgal, V. Ferreiro, J. F. Douglas, E. J. Amis, and A. Karim, 'Pattern-directed dewetting of ultrathin polymer films,' Langmuir 18 , 7041-7048 (2002).\n - [112] M. Geoghegan and G. Krausch, 'Wetting at polymer surfaces and interfaces,' Prog. Polym. Sci. 28 , 261-302 (2003).\n - [113] P. Lenz and R. Lipowsky, 'Morphological transitions of wetting layers on structured surfaces,' Phys. Rev. Lett. 80 , 1920-1923 (1998).\n - [114] C. Bauer, S. Dietrich, and A. O. Parry, 'Morphological phase transitions of thin fluid films on chemically structured substrates,' Europhys. Lett. 47 , 474-480 (1999).\n - [115] R. Konnur, K. Kargupta, and A. Sharma, 'Instability and morphology of thin liquid films on chemically heterogeneous substrates,' Phys. Rev. Lett. 84 , 931-934 (2000).\n - [116] M. Brinkmann and R. Lipowsky, 'Wetting morphologies on substrates with striped surface domains,' J. Appl. Phys. 92 , 4296-4306 (2002).\n - [117] L. Brusch, H. Kuhne, U. Thiele, and M. Bar, 'Dewetting of thin films on heterogeneous substrates: Pinning vs. coarsening,' Phys. Rev. E 66 , 011602 (2002).\n - [118] U. Thiele, L. Brusch, M. Bestehorn, and M. Bar, 'Modelling thin-film dewetting on structured substrates and templates: Bifurcation analysis and numerical simulations,' Eur. Phys. J. E 11 , 255-271 (2003).\n - [119] U. Thiele, 'Open questions and promising new fields in dewetting,' Eur. Phys. J. E 12 , 409-416 (2003).\n - [120] D. M. Anderson, G. B. McFadden, and A. A. Wheeler, 'Diffuse-interface methods in fluid mechanics,' Ann. Rev. Fluid Mech. 30 , 139-165 (1998).\n - [121] U. Thiele, S. Madruga, and L. Frastia, 'Decomposition driven interface evolution for layers of binary mixtures: I. Model derivation and stratified base states,' Phys. Fluids 19 , 122106 (2007).\n - [122] O. A. Frolovskaya, A. A. Nepomnyashchy, A. Oron, and A. A. Golovin, 'Stability of a two-layer binary-fluid system with a diffuse interface,' Phys. Fluids 20 , 112105 (2008).\n - [123] S. Madruga and U. Thiele, 'Decomposition driven interface evolution for layers of binary mixtures: II. Influence of convective transport on linear stability,' Phys. Fluids 21 , 062104 (2009).", - "page_start": 32, - "page_end": 32, - "source_file": "1001.2669.pdf" - }, - { - "text": "\n\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height h p = hφ . The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\n\n\nshould also be investigated further in the simple case presented here.\n\n## IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso-", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the ultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an unstable manner resulting in an array of isotropically branched structures as shown, e.g., above in Fig. 1. This indicates that at least some of the patterns described in the literature may have arisen from processes in similar ultrathin 'postcursor' films.\n\nThe existence of the ultrathin 'postcursor' film is an experimental finding that can be drawn on when choosing a theoretical approach to account for the pattern formation (see below). Note however, that at the moment there exists no explanation for its existence. A possible hypothesis is that the substrate strongly attracts the nanoparticles. As a result they form a dense suspension layer having a thickness roughly equal to the diameter of the nanoparticles. The observed mesoscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration suspension from the higher concentration suspension on the surface of the substrate.\n\n## III. MODELLING APPROACHES\n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydrodynamics. Starting from the Stokes equations, together with continuity and boundary conditions at the substrate and free surface, one applies a long-wave approximation (assuming small surface slopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness profile h ( x, y, t ) . In the case of volatile liquids one finds [55-58, 64]\n\n∂ t h = ∇· [ Q c ∇ δF δh ] -Q e δF δh , (1)\n\nwith the mobility functions Q c ( h ) = h 3 / 3 η ≥ 0 (assuming Poiseuille flow in the film and no slip at the substrate; η is the dynamic viscosity) and Q e ≥ 0 for the convective and evaporative part of the dynamics, respectively. Q e is a rate constant that can be obtained from gas kinetic theory or from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the film is close to the saturation pressure. For alternative expressions that are used to describe the non-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65-69]. Finally, ∇ = ( ∂ x , ∂ y ) , and ∂ t , ∂ x and ∂ y denote partial derivatives w.r.t. time and the coordinates.\n\nFocusing on the influence of capillarity and wettability only, the energy functional F [ h ] is given by\n\nF [ h ] = ∫ dx ∫ dy [ γ 2 ( ∇ h ) 2 + f ( h ) -µh ] (2)", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [5] F. Brochard-Wyart and J. Daillant, 'Drying of solids wetted by thin liquid films,' Can. J. Phys. 68 , 1084-1088 (1989).\n - [6] P. Muller-Buschbaum, 'Dewetting and pattern formation in thin polymer films as investigated in real and reciprocal space,' J. Phys.-Condes. Matter 15 , R1549-R1582 (2003).\n - [7] R. Seemann, S. Herminghaus, C. Neto, S. Schlagowski, D. Podzimek, R. Konrad, H. Mantz, and K. Jacobs, 'Dynamics and structure formation in thin polymer melt films,' J. Phys.-Condes. Matter 17 , S267-S290 (2005).\n - [8] U. Thiele, 'Structure formation in thin liquid films,' in S. Kalliadasis and U. Thiele, editors, 'Thin films of Soft Matter,' pages 25-93, Springer, Wien (2007).\n - [9] R. Xie, A. Karim, J. F. Douglas, C. C. Han, and R. A. Weiss, 'Spinodal dewetting of thin polymer films,' Phys. Rev. Lett. 81 , 1251-1254 (1998).\n - [10] R. Seemann, S. Herminghaus, and K. Jacobs, 'Dewetting patterns and molecular forces: A reconciliation,' Phys. Rev. Lett. 86 , 5534-5537 (2001).\n - [11] U. Thiele, M. G. Velarde, and K. Neuffer, 'Dewetting: Film rupture by nucleation in the spinodal regime,' Phys. Rev. Lett. 87 , 016104 (2001).\n - [12] M. Bestehorn and K. Neuffer, 'Surface patterns of laterally extended thin liquid films in three dimensions,' Phys. Rev. Lett. 87 , 046101 (2001).\n - [13] J. Becker, G. Grun, R. Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, 'Complex dewetting scenarios captured by thin-film models,' Nat. Mater. 2 , 59-63 (2003).\n - [14] C. Redon, F. Brochard-Wyart, and F. Rondelez, 'Dynamics of dewetting,' Phys. Rev. Lett. 66 , 715718 (1991).\n - [15] R. Seemann, S. Herminghaus, and K. Jacobs, 'Shape of a liquid front upon dewetting,' Phys. Rev. Lett. 87 , 196101 (2001).\n - [16] R. Fetzer, K. Jacobs, A. Munch, B. Wagner, and T. P. Witelski, 'New slip regimes and the shape of dewetting thin liquid films,' Phys. Rev. Lett. 95 , 127801 (2005).\n - [17] F. Brochard-Wyart and C. Redon, 'Dynamics of liquid rim instabilities,' Langmuir 8 , 2324-2329 (1992).\n - [18] G. Reiter and A. Sharma, 'Auto-optimization of dewetting rates by rim instabilities in slipping polymer films,' Phys. Rev. Lett. 87 , 166103 (2001).\n - [19] A. Munch and B. Wagner, 'Contact-line instability of dewetting thin films,' Physica D 209 , 178-190 (2005).", - "page_start": 25, - "page_end": 25, - "source_file": "1001.2669.pdf" - }, - { - "text": "Benard instability,' Phys. Rev. Lett. 88 , 164501 (2002).\n\n - [50] J. Huang, F. Kim, A. R. Tao, S. Connor, and P. Yang, 'Spontaneous formation of nanoparticle stripe patterns through dewetting,' Nat. Mater. 4 , 896-900 (2005).\n - [51] S. H. Lee, P. J. Yoo, S. J. Kwon, and H. H. Lee, 'Solvent-driven dewetting and rim instability,' J. Chem. Phys. 121 , 4346-4351 (2004).\n - [52] L. Xu, T. F. Shi, P. K. Dutta, and L. An, 'Rim instability by solvent-induced dewetting,' J. Chem. Phys. 127 , 144704 (2007).\n - [53] L. Xu, T. F. Shi, and L. J. An, 'The dewetting dynamics of the polymer thin film by solvent annealing,' J. Chem. Phys. 129 , 044904 (2008).\n - [54] M. Elbaum and S. G. Lipson, 'How does a thin wetted film dry up?' Phys. Rev. Lett. 72 , 3562-3565 (1994).\n - [55] N. Samid-Merzel, S. G. Lipson, and D. S. Tannhauser, 'Pattern formation in drying water films,' Phys. Rev. E 57 , 2906-2913 (1998).\n - [56] A. Padmakar, K. Kargupta, and A. Sharma, 'Instability and dewetting of evaporating thin water films on partially and completely wettable substrates,' J. Chem. Phys. 110 , 1735-1744 (1999).\n - [57] A. V. Lyushnin, A. A. Golovin, and L. M. Pismen, 'Fingering instability of thin evaporating liquid films,' Phys. Rev. E 65 , 021602 (2002).\n - [58] L. M. Pismen, 'Spinodal dewetting in a volatile liquid film,' Phys. Rev. E 70 , 021601 (2004).\n - [59] C. Poulard, O. Benichou, and A. M. Cazabat, 'Freely receding evaporating droplets,' Langmuir 19 , 8828-8834 (2003).\n - [60] Y. Gotkis, I. Ivanov, N. Murisic, and L. Kondic, 'Dynamic structure formation at the fronts of volatile liquid drops,' Phys. Rev. Lett. 97 , 186101 (2006).\n - [61] E. Pauliac-Vaujour and P. Moriarty, 'Meniscus-mediated organization of colloidal nanoparticles,' J. Phys. Chem. C 111 , 16255-16260 (2007).\n - [62] C. Gigault, K. Dalnoki-Veress, and J. R. Dutcher, 'Changes in the morphology of self-assembled polystyrene microsphere monolayers produced by annealing,' J. Colloid Interface Sci. 243 , 143-155 (2001).\n - [63] A. Oron, S. H. Davis, and S. G. Bankoff, 'Long-scale evolution of thin liquid films,' Rev. Mod. Phys. 69 , 931-980 (1997).\n - [64] U. Thiele, 'Thin film evolution equations from (evaporating) dewetting liquid layers to epitaxial growth,' J. Phys.-Cond. Mat. (2010), (at press).", - "page_start": 28, - "page_end": 28, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ ϕ l ( T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\n\n\nfilm leads to an effective 2d-like trend. Region ii ) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i ) and ii ).\n\n/negationslash\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ ϕ l ( T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l , but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T /lessorsimilar T N (8), an abrupt drop of ∆ ϕ 3 and ∆ ϕ 4 , which rapidly reach an almost constant value, only slightly larger than ∆ ϕ 1 . In the temperature range T N (8) /lessorsimilar T < T C (8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi -FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Q z,max of the structure factor S (0 , 0 , q z ). In Fig. 8 the average of Q z,max vs T is reported, again for n = 8 and for different lateral dimensions L 26 . As expected from the previous argument, we see that Q z,max = 0 for T N (8) < T < T C (8), while it begins to shift to higher values as soon as the temperature decreases below T N (8), making apparent a progressive fan stabilization with Q z,max = 0 and reaching a value of about 21 · for T = 10K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements 16 ) on a HCPlattice 14,15 , it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 -16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Q z , position of the maximum of S ( /vector q ), vs. temperature for thickness n = 8. Inset: magnetic vector ( m x l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\n\n\nFIG. 9: ∆ ϕ l for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around T C ( n ) (error bars lye within point size).\n\n\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J 1 -J 2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ ϕ l with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1.. . 5 and 8. . . 12 ), where ∆ ϕ l is roughly 10 · , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "## Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti (1 , 2 , 3) , A. Rettori (2 , 3) , and A. Cuccoli (2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2) CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3) CNR-INFM S 3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n , decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n## I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems 1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties 2 , and in view of possible technological applications 3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed 4,5 . A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials 6 , itinerant MnSi 7 , binary compounds as FeGe 8 , glass transition of spins 9 , and XY helimagnets, as Holmium, Terbium or Dysprosium 10 . In the latter case, a new universality class was predicted because a Z 2 × SO (2) symmetry is spontaneously broken in the ordered phase 2 : In fact, when dealing with such systems, in addition to the SO (2) symmetry of the spin degrees of freedom /vector S i , one has to consider also the Z 2 symmetry of the spin chirality κ ij ∝ [ /vector S i × /vector S j ] z .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods 11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures 12 . Recent experimental data on ultra-thin Holmium films 13 have been lately interpreted and discussed 14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al. 16 , allows for competitive middle-range in-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "## I. INTRODUCTION\n\nThe patterns formed in dewetting processes have attracted strong interest since Reiter analysed the process quantitatively in the early nineties. In these experiments, that proved to be a paradigm in our understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is deposited on a flat silicon oxide substrate is brought above the glass transition temperature. The film ruptures in several places, forming holes which subsequently grow, competing for space. As a result, a random polygonal network of liquid rims emerges. The rims may further decay into lines of small drops due to a Rayleigh-type instability [1-3]. The related problems of retracting contact lines on partially wetting substrates and the opening of single holes in rather thick films have also been studied [4, 5].\n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple non-volatile liquids and polymers (for reviews see Refs. [6-8]). All stages of the dewetting of a film are studied: the initial film rupture via nucleation or a surface instability (called spinodal dewetting) [1, 9-13], the growth process of individual holes [14-16], the evolution of the resulting hole pattern [3, 13], and the stability of the individual dewetting fronts [17-19]. We note in passing, that descriptions of dewetting patterns may also be found in historic papers, particularly for the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] considered turpentine on water and Marangoni [21, p. 352f] oil on water.\n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. However, these systems have not yet been investigated in any great depth. Such systems are complicated because their behaviour is determined by the interplay between the various solute (or colloid) and solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one has to distinguish between 'normal' convective dewetting and evaporative dewetting. A number of experiments have been performed employing (colloidal) solutions of polymers [22-25], macromolecules like collagen and DNA [26-31] and nanoparticles [32-40]. The latter are sometimes referred to as 'nanofluids'. The initial focus of much of the research in the field has been on investigating the structures that are formed which are similar to the ones observed in the 'classical' dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from spinodal dewetting and heterogeneous nucleation and growth, respectively. They are 'decorated' with the solute and therefore conserve the transient dewetting pattern as a dried-in structure when all the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [20] C. Tomlinson, 'On the motion of certain liquids on the surface of water,' Phil. Mag. Ser. 4 39 , 32-48 (1870).\n - [21] C. G. Marangoni, 'Ueber die Ausbreitung der Tropfen einer Flussigkeit auf der Oberflache einer anderen,' Ann. Phys. (Poggendorf) 143 , 337-354 (1871).\n - [22] O. Karthaus, L. Grasjo, N. Maruyama, and M. Shimomura, 'Formation of ordered mesoscopic polymer arrays by dewetting,' Chaos 9 , 308-314 (1999).\n - [23] X. Gu, D. Raghavan, J. F. Douglas, and A. Karim, 'Hole-growth instability in the dewetting of evaporating polymer solution films,' J. Polym. Sci. Pt. B-Polym. Phys. 40 , 2825-2832 (2002).\n - [24] S. W. Hong, J. F. Xia, and Z. Q. Lin, 'Spontaneous formation of mesoscale polymer patterns in an evaporating bound solution,' Adv. Mater. 19 , 1413-1417 (2007).\n - [25] G. Liu, C. F. Zhang, J. Zhao, and Y. X. Zhu, 'Study of the morphology of the three-phase contact line and its evolution by morphological examination after droplet evaporation of aqueous polymer solutions,' Langmuir 24 , 7923-7930 (2008).\n - [26] M. Mertig, U. Thiele, J. Bradt, G. Leibiger, W. Pompe, and H. Wendrock, 'Scanning force microscopy and geometrical analysis of two-dimensional collagen network formation,' Surface and Interface Analysis 25 , 514-521 (1997).\n - [27] M. Mertig, U. Thiele, J. Bradt, D. Klemm, and W. Pompe, 'Dewetting of thin collagenous precursor films,' Appl. Phys. A 66 , S565-S568 (1998).\n - [28] U. Thiele, M. Mertig, and W. Pompe, 'Dewetting of an evaporating thin liquid film: Heterogeneous nucleation and surface instability,' Phys. Rev. Lett. 80 , 2869-2872 (1998).\n - [29] H. Maeda, 'An atomic force microscopy study of ordered molecular assemblies and concentric ring patterns from evaporating droplets of collagen solutions,' Langmuir 15 , 8505-8513 (1999).\n - [30] I. I. Smalyukh, O. V. Zribi, J. C. Butler, O. D. Lavrentovich, and G. C. L. Wong, 'Structure and dynamics of liquid crystalline pattern formation in drying droplets of DNA,' Phys. Rev. Lett. 96 , 177801 (2006).\n - [31] L. Zhang, S. Maheshwari, H. C. Chang, and Y. X. Zhu, 'Evaporative self-assembly from complex DNA-colloid suspensions,' Langmuir 24 , 3911-3917 (2008).\n - [32] M. Maillard, L. Motte, A. T. Ngo, and M. P. Pileni, 'Rings and hexagons made of nanocrystals: A Marangoni effect,' J. Phys. Chem. B 104 , 11871-11877 (2000).\n - [33] G. L. Ge and L. Brus, 'Evidence for spinodal phase separation in two-dimensional nanocrystal selfassembly,' J. Phys. Chem. B 104 , 9573-9575 (2000).", - "page_start": 26, - "page_end": 26, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "Where are located the magnetic ions in the lattice of the studied layers ?", - "target_page": 2, - "target_passage": "the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "H = -  J 0 ∑ 〈 ij 〉 /vector S i · /vector S j + J 1 ∑ 〈 ik 〉 /vector S i · /vector S k + J 2 ∑ 〈 il 〉 /vector S i · /vector S l   . (1)\n\n/vector S i are classical planar unit vectors representing the direction of the total angular momentum of the magnetic ions, whose magnitude √ j ( j +1) ( j = 8 for Holmium ions) is already encompassed within the definition of the interaction constants J 0 , 1 , 2 . As sketched in Fig. 1, the magnetic ions are located on the sites of a body-centered tetragonal (BCT) lattice; the first sum appearing in the Hamiltonian describes the in-plane ( xy ) nearest neighbor (NN) interaction, which is taken ferromagnetic (FM), with exchange strength J 0 > 0; the second sum represents the coupling, of exchange strength J 1 , between spins belonging to nearest neighbor (NN) planes along the z -direction (which we will assume to coincide with the film growth direction); finally, the third sum takes into account the interaction, of exchange strength J 2 , between spins lying on next-nearest neighbor (NNN) planes along z . In order to have frustration, giving rise to noncollinear order along z in the bulk, NN interaction J 1 can be taken both ferro- or antiferromagnetic, but NNN coupling J 2 has necessarily to be antiferromagnetic, and the condition | J 2 | > | J 1 | / 4 must be fulfilled. Such simplified Hamiltonian was already employed to simulate helical ordering in bulk systems by Diep 1,17 and Loison 18 . In the bulk limit, the state of minimal energy of a system described by Eq.(1) corresponds to a helical arrangement of spins. The ground state energy per spin is equal to e g ( Q z ) = [ -4 J 0 -2 J 1 (4 cos ( Q z c ' ) + δ cos (2 Q z c ' ))] where c ' is the distance between NN layers, δ = J 2 J 1 , and Q z c ' = arccos ( -1 δ ) is the angle between spins lying on adjacent planes along the z -direction. The observed helical arrangement in bulk holmium corresponds to Q z c ' /similarequal 30 . 5 · 10 : such value can be obtained from the formula above with the set of coupling constants J 0 =67.2K, J 1 =20.9K, and J 2 = -24.2 K, that we have employed in our simulations. The given values for the exchange constants are the same already used by Weschke et al. in Ref. 13 to interpret experimental data on Holmium films on the basis of a J 1 -J 2 model, after a proper scaling by the numbers of NN and NNN on neighboring layers of a BCT lattice.\n\nIn the following we will denote with n the film thickness, i.e. the number of spin layers along the z direction, and with L × L the number of spins in each layer (i.e., L is the lattice size along both the x and y directions). In our simulations thickness values from 1 to 24 were considered, while the range of lateral size L was from 8 to 64. Periodic boundary conditions were applied along x and y , while free boundaries were obviously taken along the film growth direction z .\n\nThermal equilibrium was attained by the usual Metropolis algorithm 19 , supplemented by the overrelaxed technique 20 in order to speed-up the sampling of the spin configuration space: a typical 'Monte Carlo step' was composed by four Metropolis and four-five over-relaxed moves per particle. Such judicious mix of moves is able both to get faster the thermal equilibrium and to minimize the correlation 'time' between successive samples, i.e. the undesired effects due to lack of in-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "samples 15 , the projected Mn 3 d magnetic moments are obtained as -1.4 µ B and +0.8 µ B per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory 7 . Evidence for this can be observed from measurement of the Mn L 2 , 3 XMCD signal at temperatures above the (Ga,Mn)As T C . Similar to the previous study 7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L 2 , 3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As 7,9,15 but in contrast to Mn in more metallic environments such as Mn x Fe 1 -x 7 or MnAs 16 . A slight broadening is observed on the low energy side of the Mn L 3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I 0 exp( -z/λ TEY ), the thickness of the strongly coupled interface layer is estimated to be ∼ 0.7 nm or 2-3\n\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101 , 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93 , 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91 , 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78 , 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103 , 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54 , 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref. 7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ ϕ l ( T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\n\n\nfilm leads to an effective 2d-like trend. Region ii ) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i ) and ii ).\n\n/negationslash\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ ϕ l ( T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l , but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T /lessorsimilar T N (8), an abrupt drop of ∆ ϕ 3 and ∆ ϕ 4 , which rapidly reach an almost constant value, only slightly larger than ∆ ϕ 1 . In the temperature range T N (8) /lessorsimilar T < T C (8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi -FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Q z,max of the structure factor S (0 , 0 , q z ). In Fig. 8 the average of Q z,max vs T is reported, again for n = 8 and for different lateral dimensions L 26 . As expected from the previous argument, we see that Q z,max = 0 for T N (8) < T < T C (8), while it begins to shift to higher values as soon as the temperature decreases below T N (8), making apparent a progressive fan stabilization with Q z,max = 0 and reaching a value of about 21 · for T = 10K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements 16 ) on a HCPlattice 14,15 , it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 -16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Q z , position of the maximum of S ( /vector q ), vs. temperature for thickness n = 8. Inset: magnetic vector ( m x l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\n\n\nFIG. 9: ∆ ϕ l for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around T C ( n ) (error bars lye within point size).\n\n\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J 1 -J 2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ ϕ l with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1.. . 5 and 8. . . 12 ), where ∆ ϕ l is roughly 10 · , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "To confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe\n\nL 2 , 3 absorption edges in order to determine the magnetic response of the individual elements. In L 2 , 3 XMCD, electrons are excited from a 2 p core level to the unoccupied 3 d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3 d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products - either fluorescent x-rays or electrons - of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L 2 , 3 absorption, the probing depths for FY and TEY detection are λ FY ≈ 100 nm and λ TEY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as ( I l -I r ) / ( I l + I r ) where I l ( r ) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L 3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70 · to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L 2 , 3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules 14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1: (colors online) (a) : body-centered tetragonal (BCT) lattice with J 0 in-plane coupling constant, and out-of-plane J 1 , and J 2 competing interactions.\n\n\n\nbe achieved with different number of interacting layers: notably, nearest and next-nearest layers competitive interactions are enough to get a helical structure with a whatever pitch wavevector. Such observation gives us a possible way to solve the conundrum previously emerged, as we have the possibility of varying the range of interactions without modifying the helical pitch, thus decoupling the two relevant length scales along the film growth direction, and making accessible a range of n of the order of, or smaller than, the helical pitch, but still large enough that a substantial number of layers can behave as 'bulk' layers. Therefore, while in the previous papers we have studied the properties of ultrathin magnetic films of Ho assuming a model with six interlayer exchange interactions, here we investigate by MC simulations the properties of the same system by making use of the simplest model Hamiltonian able to describe the onset of a helical magnetic order in Holmium, i.e. we consider only two inter-layer coupling constants, as previously done in Ref. 11.\n\nThe paper is organized as follows: In Sec. II the model Hamiltonian will be defined, and the MC techniques, and all the thermodynamic quantities relevant for this study, will be introduced. In Sec. III the results obtained for different thicknesses will be presented, both in the matter of the critical properties of the model and of the magnetic ordered structures observed. Finally, in Sec. IV we shall discuss such results, drawing also some conclusions.\n\n## II. MODEL HAMILTONIAN AND MONTE CARLO OBSERVABLES\n\nThe model Hamiltonian we use in our simulations is the minimal one able to describe helimagnetic structures:\n\nH = -  J 0 ∑ 〈 ij 〉 /vector S i · /vector S j + J 1 ∑ 〈 ik 〉 /vector S i �� /vector S k + J 2 ∑ 〈 il 〉 /vector S i · /vector S l   . (1)", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0510.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90 · to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies 6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane 〈 100 〉 orientations, and the latter dominant close to T C ( ∼ 35 K) giving an easy axis along the [1 ¯ 10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the T C of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field H E , indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/ d dependence of H E was found previously for MnAs/(Ga,Mn)As bilayers 4 , and is generally observed in exchanged-biased thin films 12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆ E = M FS H E d = 0 . 003 erg/cm 2 . This value is rather small compared to typical exchange bias systems 12 , reflecting the low moment density M FS of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures 13 , while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "## Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti (1 , 2 , 3) , A. Rettori (2 , 3) , and A. Cuccoli (2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2) CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3) CNR-INFM S 3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n , decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n## I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems 1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties 2 , and in view of possible technological applications 3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed 4,5 . A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials 6 , itinerant MnSi 7 , binary compounds as FeGe 8 , glass transition of spins 9 , and XY helimagnets, as Holmium, Terbium or Dysprosium 10 . In the latter case, a new universality class was predicted because a Z 2 × SO (2) symmetry is spontaneously broken in the ordered phase 2 : In fact, when dealing with such systems, in addition to the SO (2) symmetry of the spin degrees of freedom /vector S i , one has to consider also the Z 2 symmetry of the spin chirality κ ij ∝ [ /vector S i × /vector S j ] z .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods 11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures 12 . Recent experimental data on ultra-thin Holmium films 13 have been lately interpreted and discussed 14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al. 16 , allows for competitive middle-range in-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures T N ( n ) and T C ( n ) vs. film thickness n .\n\n\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at T C (8) = 133 . 3(3)K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that T C ( n ) results quite n -independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify T C ( n ), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χ κ (Fig. 4c), which for the largest L has a maximum at T = 85K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of T N (8) by looking at the Binder cumulant u 4 ( κ ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at T N (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at T N (8), being the entropy substantially removed at T C (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n /lessorsimilar 15, where a clear separation between T N ( n ) and T C ( n ) can be easily figured out. In such temperature window, the strong surface effects produce a quasi -FM set-up of the magnetic film structure along the z -direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of T N ( n ) and T C ( n ) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where T N (6) = 38(4), that is T N (6) ∼ 1 3 T C (6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below T C ( n ). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ ϕ l between magnetic moments on NN layers ( l + 1 , l ) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\n\n\nangle of the magnetization between nearest planes:\n\n∆ ϕ l = ϕ l +1 -ϕ l = arccos [ M x l M x l +1 + M y l M y l +1 ] (10)\n\nwhere ( M x l , M y l ) is the magnetic vector profile for each plane l . ∆ ϕ l is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ ϕ l keeps an almost temperature independent very small value; what's more, ∆ ϕ l seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of 'bulk planes' inside the film, so that we are left with only a 2d trend at T C ( n ), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n## IV. DISCUSSION AND CONCLUSION", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "Here, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers 4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures 10,11 ) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref. 7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260 · C, using previously established methods 3,8 . A low Mn concentration of x ≈ 0 . 03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼ 0 · C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L 2 , 3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "teractions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Q z such that Q z c ' /similarequal 30 · , where c ' = c/ 2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x -y planes, while z will be taken parallel to c . For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 -16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as 'surface planes', i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0510.pdf", - "query": "What is the minimum number of spin layers in a film before a correct bulk is reached ?", - "target_page": 1, - "target_passage": "For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "teractions by including six different exchange constants along the c crystallographic axis, and gives a helix pitch wave-vector Q z such that Q z c ' /similarequal 30 · , where c ' = c/ 2 is the distance between nearest neighboring spin layers parallel to the ab crystallographic planes, henceforth denoted also as x -y planes, while z will be taken parallel to c . For n > 16, n being the number of spin layers in the film, a correct bulk limit is reached, while for lower n the film properties are clearly affected by the strong competition among the helical pitch and the surface effects, which involve the majority of the spin layers. In the thickness range n = 9 -16, i.e. right for thickness values comparable with the helical pitch, three different magnetic phases emerged, with the high-temperature, disordered, paramagnetic phase and the low-temperature, long-range ordered one separated by an intriguing, intermediatetemperature block phase, where outer ordered layers coexist with some inner disordered ones, the phase transition of the latter eventually displaying the signatures of a Kosterlitz-Thouless one. Finally, for n ≤ 7 the film collapses once and for all to a quasi-collinear order.\n\nThe complex phase diagram unveiled by such MC simulations awaken however a further intriguing question: to what extent the observed behavior may be considered a simple consequence of the competition between helical order and surface effects? I.e., is it just a matter of having such a competition or does the range of interactions also play a relevant role? Indeed, when the range of the interactions is large enough we have a greater number of planes which can be thought of as 'surface planes', i.e. for which the number of interacting neighbors are significantly reduced with respect to the bulk layers; therefore, we expect that the larger the interaction range, the stronger should be the surface effects. But, at the same time, the same modulation of the magnetic order can", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "## IV. DISCUSSION AND CONCLUSION\n\nA possible framework to analyze the results presented in the previous Section is suggested by Fig. 5, where we can easily distinguish three significant regions: i ) high thickness, n /greaterorequalslant 16, where the films substantially display a bulk behaviour, with the single planes ordering temperature coinciding with the helical phase transition one; ii ) intermediate thickness, 6 ≤ n /lessorsimilar 15, where the temperature corresponding to the onset of in-plane order, T C ( n ), is still /similarequal T Ho N , but where the helical/fan arrangement stabilizes only below a finite temperature T N ( n ) < T C ( n ); iii ) low thickness,1 ≤ n ≤ 5, where T C ( n ) /lessorsimilar T Ho N but no fan phase is present at any temperature.\n\nThe observed behaviour in region iii ) can be reasonably attributed to the decreasing relevance of the contribution to the total energy of the system coming from the competitive interactions among NNN planes as the film thickness decreases; moreover, the thinness of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ ϕ l ( T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\n\n\nfilm leads to an effective 2d-like trend. Region ii ) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i ) and ii ).\n\n/negationslash\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ ϕ l ( T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l , but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T /lessorsimilar T N (8), an abrupt drop of ∆ ϕ 3 and ∆ ϕ 4 , which rapidly reach an almost constant value, only slightly larger than ∆ ϕ 1 . In the temperature range T N (8) /lessorsimilar T < T C (8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi -FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Q z,max of the structure factor S (0 , 0 , q z ). In Fig. 8 the average of Q z,max vs T is reported, again for n = 8 and for different lateral dimensions L 26 . As expected from the previous argument, we see that Q z,max = 0 for T N (8) < T < T C (8), while it begins to shift to higher values as soon as the temperature decreases below T N (8), making apparent a progressive fan stabilization with Q z,max = 0 and reaching a value of about 21 · for T = 10K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements 16 ) on a HCPlattice 14,15 , it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 -16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Q z , position of the maximum of S ( /vector q ), vs. temperature for thickness n = 8. Inset: magnetic vector ( m x l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\n\n\nFIG. 9: ∆ ϕ l for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around T C ( n ) (error bars lye within point size).\n\n\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J 1 -J 2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ ϕ l with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1.. . 5 and 8. . . 12 ), where ∆ ϕ l is roughly 10 · , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/ d dependence (dashed line).\n\n\n\n/s32\n\n - M. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73 , 165205 (2006).\n - 16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102 , 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "## Interplay among helical order, surface effects and range of interacting layers in ultrathin films.\n\nF. Cinti (1 , 2 , 3) , A. Rettori (2 , 3) , and A. Cuccoli (2)\n\n(1) Department of Physics, University of Alberta, Edmonton, Alberta, Canada T6G 2J1\n\n(2) CNISM and Department of Physics, University of Florence, 50019 Sesto Fiorentino (FI), Italy. and\n\n(3) CNR-INFM S 3 National Research Center, I-41100 Modena, Italy\n\n(Dated: June 8, 2022)\n\nThe properties of helical thin films have been thoroughly investigated by classical Monte Carlo simulations. The employed model assumes classical planar spins in a body-centered tetragonal lattice, where the helical arrangement along the film growth direction has been modeled by nearest neighbor and next-nearest neighbor competing interactions, the minimal requirement to get helical order. We obtain that, while the in-plane transition temperatures remain essentially unchanged with respect to the bulk ones, the helical/fan arrangement is stabilized at more and more low temperature when the film thickness, n , decreases; in the ordered phase, increasing the temperature, a softening of the helix pitch wave-vector is also observed. Moreover, we show also that the simulation data around both transition temperatures lead us to exclude the presence of a first order transition for all analyzed sizes. Finally, by comparing the results of the present work with those obtained for other models previously adopted in literature, we can get a deeper insight about the entwined role played by the number (range) of interlayer interactions and surface effects in non-collinear thin films.\n\nPACS numbers: 64.60.an,64.60.De,75.10.Hk,75.40.Cx,75.70.Ak.\n\n## I. INTRODUCTION\n\nThe study of low dimensional frustrated magnetic systems 1 still raises great interest, both in consequence of theoretical aspects, related to their peculiar critical properties 2 , and in view of possible technological applications 3 . Indeed, beside conventional ferromagnetic or antiferromagnetic phase transitions, in many new materials other nontrivial and unconventional forms of ordering have been observed 4,5 . A quantity of particular interest in this context is the spin chirality, an order parameter which turned out to be extremely relevant in, e.g., magnetoelectric materials 6 , itinerant MnSi 7 , binary compounds as FeGe 8 , glass transition of spins 9 , and XY helimagnets, as Holmium, Terbium or Dysprosium 10 . In the latter case, a new universality class was predicted because a Z 2 × SO (2) symmetry is spontaneously broken in the ordered phase 2 : In fact, when dealing with such systems, in addition to the SO (2) symmetry of the spin degrees of freedom /vector S i , one has to consider also the Z 2 symmetry of the spin chirality κ ij ∝ [ /vector S i × /vector S j ] z .\n\nFor these rare-earth elements, the development of new and sophisticated experimental methods 11 has allowed to obtain ultra-thin films where the non-collinear modulation is comparable with the film thickness. Under such conditions the lack of translational invariance due to the presence of surfaces results decisive in order to observe a drastic change of the magnetic structures 12 . Recent experimental data on ultra-thin Holmium films 13 have been lately interpreted and discussed 14,15 on the basis of detailed classical Monte Carlo (MC) simulations of a spin Hamiltonian, which is believed to give a realistic modeling of bulk Holmium. Such Hamiltonian, proposed by Bohr et al. 16 , allows for competitive middle-range in-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures T N ( n ) and T C ( n ) vs. film thickness n .\n\n\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at T C (8) = 133 . 3(3)K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that T C ( n ) results quite n -independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify T C ( n ), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χ κ (Fig. 4c), which for the largest L has a maximum at T = 85K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of T N (8) by looking at the Binder cumulant u 4 ( κ ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at T N (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at T N (8), being the entropy substantially removed at T C (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n /lessorsimilar 15, where a clear separation between T N ( n ) and T C ( n ) can be easily figured out. In such temperature window, the strong surface effects produce a quasi -FM set-up of the magnetic film structure along the z -direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of T N ( n ) and T C ( n ) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where T N (6) = 38(4), that is T N (6) ∼ 1 3 T C (6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below T C ( n ). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ ϕ l between magnetic moments on NN layers ( l + 1 , l ) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\n\n\nangle of the magnetization between nearest planes:\n\n∆ ϕ l = ϕ l +1 -ϕ l = arccos [ M x l M x l +1 + M y l M y l +1 ] (10)\n\nwhere ( M x l , M y l ) is the magnetic vector profile for each plane l . ∆ ϕ l is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ ϕ l keeps an almost temperature independent very small value; what's more, ∆ ϕ l seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of 'bulk planes' inside the film, so that we are left with only a 2d trend at T C ( n ), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n## IV. DISCUSSION AND CONCLUSION", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2 × 10 5 measurements, taken after discarding up to 5 × 10 4 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed 21 , as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method 22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1 × 10 3 for the single simulation, and between 1 and 5 × 10 4 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l :\n\nm l = √ ( m x l ) 2 +( m y l ) 2 , (2)\n\nwhich is related to the SO (2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\nM = 1 n n ∑ l =1 m l . (3)\n\nTurning to the helical order, which is the relevant quantity for the Z 2 × SO (2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter 1,2\n\nκ = 1 4( n -1) L 2 sin Q z ∑ 〈 ij 〉 [ S x i S y j -S y i S x j ] , (4)\n\nwhere the sum refers to spins belonging to NN layers i and j , respectively, while Q z is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\nM HM = 1 K ∫ π 0 dq z S ( /vector q ) (5)\n\nwhere S ( /vector q ), with /vectorq = (0 , 0 , q z ), is the structure factor 24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Q z\n\nFIG. 2: (color online) Specific heat c v per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of c v vs. L obtained through MH technique. The continuum red line is a power law fit.\n\n\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs. 14,15 , where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S ( /vectorq ) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\nc v = nL 2 β 2 ( 〈 e 2 〉 - 〈 e 〉 2 ) , (6)\n\n∂ β o = nL 2 ( 〈 oe 〉 - 〈 o 〉〈 e 〉 ) , (8)\n\nχ o = nL 2 β ( 〈 o 2 〉 - 〈 o 〉 2 ) , (7)\n\nu 4 ( o ) = 1 -〈 o 4 〉 3 〈 o 2 〉 2 , (9)", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 3: (color online) Binder cumulants at thickness n = 16, colors as in Fig. 2. (a) : Binder cumulant for the order parameter defined in Eq. (3). (b) : Binder cumulant extracted from the integral of the structure factor (see Sec. II). Inset: structure factor for L = 64 between T = 131 K (upper curve) and T = 140 K (lower), with 1 K temperature step.\n\n\n\n## III. RESULTS\n\nThe results obtained by MC simulations of the model introduced in Sec. II will be presented starting from n = 16, i.e. the highest investigated film thickness which still displays a bulk-like behaviour. In Fig. 2 the specific heat for samples with n = 16 and lateral dimension L = 24 , 32 , 48 , 64 is shown. The location of the specific heat maximum shows a quite definite evolution toward the bulk transition temperature, T Ho N /similarequal 132K 10 (it is worthwhile to note that for this XY model the mean field theory predicts a critical temperature T Ho N,MF /similarequal 198K).\n\nThe intensity of the maximum of c v has been analyzed by the MH technique for the same lateral dimensions (see inset of Fig. 2): it clearly appears as it increases with L in a smooth way.\n\nThe Binder cumulant for the average order parameter defined in Eq. (3) was obtained close to the c v peak and is reported in Fig. 3a; its analysis leads to an estimate of the critical temperature of the sample (given by the location of the common crossing point of the different curves reported in the figure) of T C (16) = 133 . 2(5) This value can be considered in a rather good agreement with the experimental ordering temperature of Holmium T Ho N , the relative difference being about 1%. Even such a mismatch between T Ho N and T C (16) could be completely eliminated by slightly adjusting the in-plane coupling constant J 0 , but, as discussed in Sec. II, we shall preserve the value reported in Refs. 13, and 12 in order to allow for a correct comparison with the results reported in those papers.\n\nThe development of the helical arrangement of magnetization along the film growth direction was investigated by looking at the integral of the structure factor S ( /vector q ) along the z -direction, i.e. by taking /vector q = (0 , 0 , q z ), and making again use of the cumulant analysis in order to locate the helical transition temperature at T N (16) =\n\nFIG. 4: (color online) Thermodynamic quantities obtained for thickness n = 8 in the temperature range 0-150 K. Colors and symbols as in Fig. 2. (a) : specific heat; (b) : chirality order parameter. (c) : susceptibility χ κ . (d) : Binder cumulant for κ .\n\n\n\n133 . 1(3)K (see Fig. 3b). The crossing points of the Binder's cumulants of the helical order parameter immediately appear to be located, within the error bars, at the same temperature of those for the average magnetization previously discussed. In addition, it is worthwhile to observe that the peak evolution of S (0 , 0 , q z ), in particular close to T N (16) (inset of Fig. 3b), displays the typical behaviour expected for an helical structure. We can thus conclude that for n = 16, as it is commonly observed in bulk samples, the establishment of the in-plane order coincides with onset of the perpendicular helical arrangement at T N (16). However, due to helix distortion in the surface regions, the maximum of S (0 , 0 , q z ) stabilizes at values of q z sensibly smaller (e.g. Q z ( T N (16)) ≈ 16 · , and Q z ( T = 10 K ) ≈ 28 · ) with respect to the bulk one ( Q Ho z = 30 . 5 · ).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0510.pdf" - }, - { - "text": "samples 15 , the projected Mn 3 d magnetic moments are obtained as -1.4 µ B and +0.8 µ B per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory 7 . Evidence for this can be observed from measurement of the Mn L 2 , 3 XMCD signal at temperatures above the (Ga,Mn)As T C . Similar to the previous study 7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L 2 , 3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As 7,9,15 but in contrast to Mn in more metallic environments such as Mn x Fe 1 -x 7 or MnAs 16 . A slight broadening is observed on the low energy side of the Mn L 3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I 0 exp( -z/λ TEY ), the thickness of the strongly coupled interface layer is estimated to be ∼ 0.7 nm or 2-3\n\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101 , 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93 , 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91 , 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78 , 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103 , 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54 , 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref. 7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C 5 and C 8 ) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C 10 and C 12 ). For even longer chains (C 14 ), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale ( > 100 µ m) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "What the rough sales amount of the nordstrom.com website ?", - "target_page": 3, - "target_passage": "$2 billion in nordstrom.com sales", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Retail Business Net Sales\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------------------------|---------|---------|---------|\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel 2 : | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | - |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot 3 : | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n## Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53 rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n## Retail Business Gross Profit\n\nThe following table summarizes the Retail Business gross profit:", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------|---------|---------|---------|\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | 2014 | 2013 | 2013 | 2012 | 2012 |\n|---------------------|-----------|------------|-----------|------------|-----------|------------|\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n## OVERVIEW\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: 'Nordstrom' branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name 'Last Chance.' As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards ™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Nordstrom Rack net sales for the quarter increased $130, or 17%, reflecting 27 new Nordstrom Rack store openings since the fourth quarter of 2013, while comparable sales increased 3.2%. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat. Shoes and Accessories were the category highlights for Nordstrom Rack.\n\n## Gross Profit\n\nOur total company gross profit rate decreased 53 basis points compared with the same period in the prior year, primarily due to increased markdowns at Nordstrom Rack.\n\n## Retail Selling, General, and Administrative Expenses\n\nOur Retail SG&A rate increased 80 basis points primarily due to expenses related to the acquisition of Trunk Club and ongoing technology and fulfillment expenses.\n\n## Credit Expenses\n\nIn the fourth quarter, expenses for our Credit segment of $54 increased from $38 in the prior year. The increase was primarily driven by higher operational expenses resulting from a 6% increase in credit volume during the fourth quarter of 2014. The fourth quarter of 2013 also included the impact of the conversion of our Nordstrom Rewards travel benefit into Nordstrom Notes, which decreased operational expenses in the prior year.\n\nFor further information on our quarterly results in 2014 and 2013, refer to Note 17: Selected Quarterly Data in the Notes to Consolidated Financial Statements in Item 8: Financial Statements and Supplementary Data.\n\n## 2015 Outlook\n\nOur expectations for 2015 are as follows:\n\n| Net sales | 7 percent to 9 percent increase |\n|------------------------------|-----------------------------------|\n| Comparable sales | 2 percent to 4 percent increase |\n| Earnings per diluted share 1 | $3.65 to $3.80 |\n\nCapital expenditures, net of property incentives, of approximately $1.2 billion are expected in 2015, an increase from $751 in 2014. The increase relates to store expansion, including Canada and Manhattan, and ongoing investments to improve the customer experience through flagship store remodels and a third fulfillment center expected to open in the second half of the year. To date in 2015, we have opened our second full-line store in Canada. We plan to open 27 Nordstrom Rack stores, three additional Nordstrom full-line stores in the U.S. and another full-line store in Canada during 2015. Planned net store openings are expected to increase our retail square footage by approximately 6.1%.", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## COMPETITIVE CONDITIONS\n\nWe operate in a highly competitive business environment. We compete with other national, regional, local and online retailers that may carry similar lines of merchandise, including department stores, specialty stores, off-price stores, boutiques and Internet businesses. Our specific competitors vary from market to market. We believe the keys to competing in our industry are providing great customer service and customer experiences in stores and online, which includes compelling price and value, fashion newness, quality of products, selection, convenience, technology, product fulfillment, personalization and appealing, relevant store environments in top locations.\n\n## INVENTORY\n\nWe plan our merchandise purchases and receipts to coincide with expected sales trends. For instance, our merchandise purchases and receipts increase prior to our Anniversary Sale, which has historically extended over the last two weeks of July. We also purchase and receive a larger amount of merchandise in the fall as we prepare for the holiday shopping season (from late November through December). Beginning in 2012, we increased our investment in pack and hold inventory at Nordstrom Rack, which involves the strategic purchase of merchandise from some of our full-line stores' top brands in advance of the upcoming selling seasons to take advantage of favorable buying opportunities. This inventory is typically held for six months on average and has contributed to the growth in our Nordstrom Rack business. We pay for our merchandise purchases under the terms established with our vendors.\n\nIn order to offer merchandise that our customers want, we purchase from a wide variety of high-quality suppliers, including domestic and foreign businesses. We also have arrangements with agents and contract manufacturers to produce our private label merchandise. We expect our suppliers to meet our 'Nordstrom Partnership Guidelines,' which address our corporate social responsibility standards for matters such as legal and regulatory compliance, labor, health and safety and the environment, and are available on our website at Nordstrom.com.\n\n## EMPLOYEES\n\nDuring 2014, we employed approximately 67,000 employees on a full- or part-time basis. Due to the seasonal nature of our business, employment increased to approximately 68,000 employees in July 2014 and 73,500 in December 2014. All of our employees are non-union. We believe our relationship with our employees is good.\n\n## CAUTIONARY STATEMENT\n\nCertain statements in this Annual Report on Form 10-K contain or may suggest 'forward-looking' information (as defined in the Private Securities Litigation Reform Act of 1995) that involve risks and uncertainties, including, but not limited to, anticipated financial outlook for the fiscal year ending January 30, 2016, anticipated annual total and comparable sales rates, anticipated new store openings in existing, new and international markets, anticipated Return on Invested Capital and trends in our operations. Such statements are based upon the current beliefs and expectations of the company's management and are subject to significant risks and uncertainties. Actual future results may differ materially from historical results or current expectations depending upon factors including, but not limited to:", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\n## NOTE 17: SELECTED QUARTERLY DATA 1 (UNAUDITED)\n\n| | 1st Quarter | 2nd Quarter | 3rd Quarter | 4th Quarter | Total |\n|----------------------------------------------|---------------|---------------|---------------|---------------|---------|\n| Fiscal year 2014 | | | | | |\n| Net sales | $2,837 | $3,296 | $3,040 | $3,938 | $13,110 |\n| Comparable sales increase 2 | 3.9% | 3.3% | 3.9% | 4.7% | 4.0% |\n| Credit card revenues | 94 | 96 | 100 | 105 | 396 |\n| Gross profit 3 | 1,015 | 1,166 | 1,079 | 1,444 | 4,704 |\n| Selling, general and administrative expenses | (844) | (931) | (917) | (1,084) | (3,777) |\n| Earnings before income taxes | 230 | 296 | 228 | 431 | 1,185 |\n| Net earnings | 140 | 183 | 142 | 255 | 720 |\n| Earnings per basic share | $0.74 | $0.97 | $0.74 | $1.35 | $3.79 |\n| Earnings per diluted share | $0.72 | $0.95 | $0.73 | $1.32 | $3.72 |\n| Fiscal year 2013 | | | | | |\n| Net sales | $2,657 | $3,104 | $2,791 | $3,614 | $12,166 |\n| Comparable sales increase 2 | 2.7% | 4.4% | 0.1% | 2.6% | 2.5% |\n| Credit card revenues | 92 | 92 | 93 | 97 | 374 |\n| Gross profit 3 | 984 | 1,100 | 1,000 | 1,345 | 4,429 |\n| Selling, general and administrative expenses | (801) | (857) | (840) | (955) | (3,453) |\n| Earnings before income taxes | 236 | 298 | 218 | 437 | 1,189 |\n| Net earnings | 145 | 184 | 137 | 268 | 734 |\n| Earnings per basic share | $0.74 | $0.94 | $0.70 | $1.39 | $3.77 |\n| Earnings per diluted share | $0.73 | $0.93 | $0.69 | $1.37 | $3.71 |", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "NET SALES ($)\n\n| FISCAL YEAR | 2014 | 2013 | % CHANGE |\n|--------------------------------------------------|---------|---------|------------|\n| Net sales | $13,110 | $12,166 | 7.8 |\n| Earnings before interest and income taxes (EBIT) | 1,323 | 1,350 | (2.0) |\n| Net earnings | 720 | 734 | (1.9) |\n| Earnings per diluted share | 3.72 | 3.71 | 0.3 |\n| Cash dividends paid per share | 1.32 | 1.20 | 10.0 |\n\n\n\n## NET SALES PERCENTAGE INCREASE\n\n\n\n| '10 | '11 | '12 | '13 | '14 |\n|-------|-------|-------|-------|-------|\n| 12.7 | 12.7 | 12.1 | 3.4 | 7.8 |\n\n## INVENTORY TURN**\n\nSALES PER SQUARE FOOT AND 4-WALL SALES PER SQUARE FOOT ($)*\n\n\n\n\n\n## COMPARABLE SALES PERCENTAGE INCREASE\n\n\n\n\n\n4-Wall Sales Per Square Foot Sales Per Square Foot\n\nCASH FLOW FROM OPERATIONS ($)EARNINGS BEFORE INTEREST AND INCOME TAXES (EBIT) ($)\n\n\n\n\n\n'10\n\n'11\n\n'12\n\n'13\n\n'14\n\nRETURN ON ASSETS AND RETURN ON INVESTED CAPITAL (ROIC) (%)***\n\n\n\nReturn on Assets\n\nReturn on Invested Capital\n\n## Dollars in millions except per share and per square foot amounts.\n\n*4-wall sales per square foot is calculated as sales for Nordstrom U.S. full-line stores, Nordstrom Rack stores, Je/ffrey boutiques, our Canada full-line store, Last Chance and Trunk Club showrooms divided by their weighted-average square footage.\n\n**Inventory Turn is calculated as annual cost of sales and related buying and occupancy costs (for all segments) divided by 4-quarter average inventory. Our inventory turnover rate decreased in 2012, 2013 and 2014 primarily due to increasing our investment in pack and hold inventory beginning in 2012, which helped fuel the growth of Nordstrom Rack. ***See Return on Invested Capital (ROIC) Non-GAAP financial measure on page 26 for additional information and reconciliation to the most directly comparable GAAP financial measure.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Gross Profit (2014 vs. 2013)\n\nOur Retail gross profit rate decreased 52 basis points compared with 2013 due to increased markdowns and Nordstrom Rack's accelerated store expansion. The growth in Nordstrom Rack stores resulted in a higher occupancy expense as sales volume at new stores typically take several years to reach the average of our mature stores and also have substantial pre-opening costs. Retail gross profit increased $275 in 2014 due to an increase in net sales, partially offset by increased markdowns.\n\nOur inventory turnover rate decreased to 4.67 times in 2014, from 5.07 times in 2013. Ending inventory per square foot increased 8.8% compared with the same period in 2013, which outpaced the total sales per square foot increase of 3.9% primarily due to planned inventory growth related to Nordstrom Rack and Nordstromrack.com and HauteLook.\n\n## Gross Profit (2013 vs. 2012)\n\nOur Retail gross profit rate decreased 41 basis points compared with 2012 primarily due to higher expenses associated with the growth in the Nordstrom Rewards customer loyalty program and higher occupancy costs related to Nordstrom Rack's accelerated store expansion. Retail gross profit increased $99 in 2013 compared with 2012 due to an increase in net sales at Nordstrom.com and Nordstrom Rack, which was partially offset by a decrease in full-line net sales and increased occupancy costs related to Nordstrom Rack's accelerated store expansion.\n\nOur inventory turnover rate decreased to 5.07 times in 2013, from 5.37 times in 2012. This was primarily due to our increased investment in pack and hold inventory at Nordstrom Rack, which helped fuel the growth in that channel. On a per square foot basis, we ended the year with a 9.4% increase in our ending inventory on a 0.8% increase in sales compared with 2012. The increase in ending inventory per square foot relative to the increase in sales per square foot was primarily due to the impact of the 53 rd week in 2012, which decreased inventory levels in our full-line stores and included an additional week of sales in 2012. In 2013, we also planned inventory increases in full-line stores to fuel growth in well-performing merchandise categories and increased our pack and hold inventory at Nordstrom Rack.\n\n## Retail Business Selling, General and Administrative Expenses\n\nRetail Business selling, general and administrative expenses ('Retail SG&A') are summarized in the following table:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|------------------------------------------------------------------|--------|--------|--------|\n| Selling, general and administrative expenses | $3,588 | $3,272 | $3,172 |\n| Selling, general and administrative expenses as a % of net sales | 27.4% | 26.9% | 27.0% |\n\n## Selling, General and Administrative Expenses (2014 vs. 2013)\n\nOur Retail SG&A rate increased 48 basis points in 2014 compared with 2013 primarily due to expenses related to the acquisition of Trunk Club and ongoing fulfillment and technology investments. Our Retail SG&A increased $316 in 2014 due primarily to growth-related investments in fulfillment and technology.\n\n## Selling, General and Administrative Expenses (2013 vs. 2012)\n\nOur Retail SG&A rate decreased 8 basis points in 2013 compared with 2012 due to expense leverage from increased sales volume. Our Retail SG&A expenses increased $100 in 2013 compared with 2012 due primarily to growth-related investments in our ecommerce business, Nordstrom Rack's accelerated store expansion and Canada pre-opening expenses. The increase also reflected expenses associated with higher sales volume and the opening of 22 Nordstrom Rack stores in 2013.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "| Per Share Information | | | | | |\n| Earnings per diluted share | $3.72 | $3.71 | $3.56 | $3.14 | $2.75 |\n| Dividends declared per share | 1.32 | 1.20 | 1.08 | 0.92 | 0.76 |\n| Store Information (at year-end) | | | | | |\n| Nordstrom full-line stores - U.S. | 116 | 117 | 117 | 117 | 115 |\n| Nordstrom Rack and other stores 7 | 176 | 143 | 123 | 108 | 89 |\n| Total square footage | 27,061,000 | 26,017,000 | 25,290,000 | 24,745,000 | 23,838,000 |", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many employees did Nordstrom count in 2014 ?", - "target_page": 17, - "target_passage": "During 2014, we employed approximately 67,000 employees on a full- or part-time basis.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n## Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53 rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n## Retail Business Gross Profit\n\nThe following table summarizes the Retail Business gross profit:", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n## OVERVIEW\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: 'Nordstrom' branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name 'Last Chance.' As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards ™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------|---------|---------|---------|\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | 2014 | 2013 | 2013 | 2012 | 2012 |\n|---------------------|-----------|------------|-----------|------------|-----------|------------|\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Retail Business Net Sales\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------------------------|---------|---------|---------|\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel 2 : | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | - |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot 3 : | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Consolidated Statements of Earnings\n\nIn millions except per share amounts\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|------------------------------------------------------|---------|---------|---------|\n| Net sales | $13,110 | $12,166 | $11,762 |\n| Credit card revenues | 396 | 374 | 372 |\n| Total revenues | 13,506 | 12,540 | 12,134 |\n| Cost of sales and related buying and occupancy costs | (8,406) | (7,737) | (7,432) |\n| Selling, general and administrative expenses | (3,777) | (3,453) | (3,357) |\n| Earnings before interest and income taxes | 1,323 | 1,350 | 1,345 |\n| Interest expense, net | (138) | (161) | (160) |\n| Earnings before income taxes | 1,185 | 1,189 | 1,185 |\n| Income tax expense | (465) | (455) | (450) |\n| Net earnings | $720 | $734 | $735 |\n| Earnings per share: | | | |\n| Basic | $3.79 | $3.77 | $3.62 |\n| Diluted | $3.72 | $3.71 | $3.56 |\n| Weighted-average shares outstanding: | | | |\n| Basic | 190.0 | 194.5 | 203.0 |\n| Diluted | 193.6 | 197.7 | 206.7 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.\n\n## Nordstrom, Inc.\n\n## Consolidated Statements of Comprehensive Earnings\n\nIn millions\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|----------------------------------------------------------------|--------|--------|--------|\n| Net earnings | $720 | $734 | $735 |\n| Postretirement plan adjustments, net of tax of $7, ($6) and $1 | (11) | 10 | (2) |\n| Foreign currency translation adjustment | (14) | (2) | - |\n| Comprehensive net earnings | $695 | $742 | $733 |\n\nThe accompanying Notes to Consolidated Financial Statements are an integral part of these financial statements.", - "page_start": 48, - "page_end": 48, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\n## NOTE 1: NATURE OF OPERATIONS AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\n## The Company\n\nFounded in 1901 as a shoe store in Seattle, Washington, Nordstrom, Inc. is now a leading fashion specialty retailer that offers customers a well-edited selection of high-quality fashion brands focused on apparel, shoes, cosmetics and accessories for men, women and children. This breadth of merchandise allows us to serve a wide range of customers who appreciate quality fashion and a superior shopping experience. We offer an extensive selection of high-quality brand-name and private label merchandise through multiple retail channels, including 116 'Nordstrom' branded full-line stores in the U.S. and at Nordstrom.com (collectively, 'Nordstrom'), one Canada full-line store, 167 off-price Nordstrom Rack stores, Nordstromrack.com and HauteLook, five Trunk Club showrooms and TrunkClub.com, two Jeffrey boutiques and one Last Chance clearance store. Our stores are located in 38 states throughout the U.S and in one province in Canada.\n\nThrough our Credit segment, we provide our customers with a variety of payment products and services, including a Nordstrom private label card, two Nordstrom Visa credit cards and a debit card for Nordstrom purchases. These products also allow our customers to participate in our loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment would incur if our customers used third-party cards.\n\n## Fiscal Year\n\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31 st . References to 2014 and all years within this document are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\n\n## Principles of Consolidation\n\nThe consolidated financial statements include the balances of Nordstrom, Inc. and its subsidiaries. All intercompany transactions and balances are eliminated in consolidation.\n\n## Use of Estimates\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the U.S. requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenues and expenses, and disclosure of contingent assets and liabilities during the reporting period. Uncertainties regarding such estimates and assumptions are inherent in the preparation of financial statements and actual results may differ from these estimates and assumptions. Our most significant accounting judgments and estimates include the allowance for credit losses, revenue recognition, inventory, goodwill, stock-based compensation and income taxes.\n\n## Net Sales\n\nWe recognize revenue from sales at our retail stores at the point of sale, net of estimated returns and excluding sales taxes. Revenue from sales to customers shipped directly from our stores, website and catalog, which includes shipping revenue when applicable, is recognized upon estimated receipt by the customer. We estimate customer merchandise returns based on historical return patterns and reduce sales and cost of sales accordingly. Activity in the allowance for sales returns, net, for the past three fiscal years is as follows:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|--------------------------------|---------|---------|---------|\n| Allowance at beginning of year | $128 | $116 | $103 |\n| Additions | 2,129 | 1,880 | 1,724 |\n| Returns, net 1 | (2,097) | (1,868) | (1,711) |\n| Allowance at end of year | $160 | $128 | $116 |\n\n## Credit Card Revenues", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\n## NOTE 5: SELF-INSURANCE\n\nOur self-insurance reserves are summarized as follows:\n\n| | January 31, 2015 | February 1, 2014 |\n|------------------------------|--------------------|--------------------|\n| Workers' compensation | $70 | $66 |\n| Employee health and welfare | 23 | 23 |\n| General liability | 16 | 16 |\n| Total self-insurance reserve | $109 | $105 |\n\nOur workers' compensation policies have a retention per claim of $1 or less and no policy limits.\n\nWe are self-insured for the majority of our employee health and welfare coverage and we do not use stop-loss coverage. Participants contribute to the cost of their coverage through both premiums and out-of-pocket expenses and are subject to certain plan limits and deductibles.\n\nOur general liability policies, encompassing employment practices liability and commercial general liability, have a retention per claim of $3 or less and a policy limit up to $30 and $150, respectively.\n\n## NOTE 6: 401(k) PLAN\n\nWe provide a 401(k) plan for our employees that allows for employee elective contributions and discretionary company contributions. Employee elective contributions are funded through voluntary payroll deductions. Our discretionary company contribution is funded in an amount determined by our Board of Directors each year. Our expense related to company contributions totaled $77, $77 and $83 in 2014, 2013 and 2012.\n\n## NOTE 7: POSTRETIREMENT BENEFITS\n\nWe have an unfunded defined benefit Supplemental Executive Retirement Plan ('SERP'), which provides retirement benefits to certain officers and select employees. The SERP has different benefit levels depending on the participant's role in the company. At the end of 2014, we had 59 participants in the plan, including 27 officers and select employees eligible for SERP benefits, 31 retirees and 1 beneficiary. This plan is non-qualified and does not have a minimum funding requirement.", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "\n\n' I've found that Nordstrom employees go to great lengths to please the customer. That's hard to find in most stores these days.\n\n'\n\nOUR CUSTOMER, SUSAN F.\n\n## A NOTE FROM OUR\n\n## CHAIRMAN\n\nOur top priority at Nordstrom is to improve our customers' experience, continuously. This priority challenges us each day and is the basis for our long-term strategy to provide all Nordstrom customers with a best-in-class experience centered on service, product and capabilities, whenever and wherever they want. This commitment to Nordstrom customers is, in itself, the foundation of the deep and shared commitment of the Board of Directors and management to our shareholders-to enhance shareholder value over the long run through capital allocation discipline and to hold ourselves accountable for financial results.\n\nAbout a decade ago, we began investing strategically in the company's multi-channel capabilities across stores and online to meet the changing expectations of our customers. Investing early in technology, merchandising and stores, as well as integrating the in-store and online experience, helped position the company to achieve exceptional growth and superior returns. For the last several years, we further accelerated our level of investment to fuel growth across all our businesses-full-price, o/ff-price, stores and online-to help Nordstrom deliver strong results this year and support profitable growth for years to come. We expect these investments to drive long-term shareholder value.\n\nAs the Board of Directors looks back on the many accomplishments of 2014 and ahead to the future, we support our executive management team led by Blake, Pete and Erik Nordstrom. We view 2014 to be a watershed moment in our history, with the successful entry into Canada, the expansion of the Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. These milestones are the outcome of our strategy, which is squarely focused on serving customers on their terms and delivering the Nordstrom experience they expect from us. More importantly, our forward-thinking strategy puts us on track to achieve our goal of top-quartile shareholder return, driven by high single-digit sales growth and mid-teens return on invested capital. We believe this will lead us to be a $20 billion business by 2020, with superior returns, creating significant shareholder value.\n\nThe hard work and performance of the team have not gone unnoticed. Fortune magazine recently published their annual ranking of the World's Most Admired Companies, listing Nordstrom at #14. This is the seventh consecutive year we've appeared in the Top 50. Additionally, Nordstrom was ranked number one among all companies for quality of product/services. Within our peer group of general merchandisers, we ranked number one overall as well as for innovation, people management, use of corporate assets, quality of management, long-term investment value and quality of products/services. These accolades reflect the vision, high achievement and values we believe the company stands for, and the dedication and hard work of more than 67,000 Nordstrom employees.\n\nThis past February, we were fortunate to add Shellye Archambeau to the Board of Directors. As the chief executive o/fficer of MetricStream, Inc., we believe Shellye enhances an already strong Board that is deeply committed to the highest standards of ethics, accountability and governance.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\n## NOTE 17: SELECTED QUARTERLY DATA 1 (UNAUDITED)\n\n| | 1st Quarter | 2nd Quarter | 3rd Quarter | 4th Quarter | Total |\n|----------------------------------------------|---------------|---------------|---------------|---------------|---------|\n| Fiscal year 2014 | | | | | |\n| Net sales | $2,837 | $3,296 | $3,040 | $3,938 | $13,110 |\n| Comparable sales increase 2 | 3.9% | 3.3% | 3.9% | 4.7% | 4.0% |\n| Credit card revenues | 94 | 96 | 100 | 105 | 396 |\n| Gross profit 3 | 1,015 | 1,166 | 1,079 | 1,444 | 4,704 |\n| Selling, general and administrative expenses | (844) | (931) | (917) | (1,084) | (3,777) |\n| Earnings before income taxes | 230 | 296 | 228 | 431 | 1,185 |\n| Net earnings | 140 | 183 | 142 | 255 | 720 |\n| Earnings per basic share | $0.74 | $0.97 | $0.74 | $1.35 | $3.79 |\n| Earnings per diluted share | $0.72 | $0.95 | $0.73 | $1.32 | $3.72 |\n| Fiscal year 2013 | | | | | |\n| Net sales | $2,657 | $3,104 | $2,791 | $3,614 | $12,166 |\n| Comparable sales increase 2 | 2.7% | 4.4% | 0.1% | 2.6% | 2.5% |\n| Credit card revenues | 92 | 92 | 93 | 97 | 374 |\n| Gross profit 3 | 984 | 1,100 | 1,000 | 1,345 | 4,429 |\n| Selling, general and administrative expenses | (801) | (857) | (840) | (955) | (3,453) |\n| Earnings before income taxes | 236 | 298 | 218 | 437 | 1,189 |\n| Net earnings | 145 | 184 | 137 | 268 | 734 |\n| Earnings per basic share | $0.74 | $0.94 | $0.70 | $1.39 | $3.77 |\n| Earnings per diluted share | $0.73 | $0.93 | $0.69 | $1.37 | $3.71 |", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 1B. Unresolved Staff Comments.\n\nNone.\n\n## Item 2. Properties.\n\nThe following table summarizes the number of retail stores we own or lease, and the percentage of total store square footage represented by each listed category as of January 31, 2015:\n\n| | Number of stores | % of total store square footage |\n|--------------------------------------|--------------------|-----------------------------------|\n| Leased stores on leased land | 195 | 38% |\n| Owned stores on leased land | 61 | 40% |\n| Owned stores on owned land | 35 | 21% |\n| Partly owned and partly leased store | 1 | 1% |\n| Total | 292 | 100% |\n\nThe following table summarizes our store activity during the last three years:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-------------------------------------|--------|--------|--------|\n| Number of stores, beginning of year | 260 | 240 | 225 |\n| Stores opened | 31 | 22 | 16 |\n| Stores acquired | 4 | - | - |\n| Stores closed | (3) | (2) | (1) |\n| Number of stores, end of year | 292 | 260 | 240 |\n| Nordstrom full-line stores - U.S. | 116 | 117 | 117 |\n| Nordstrom Rack | 167 | 140 | 119 |\n| Other 1 | 9 | 3 | 4 |\n\nIn 2014, we opened three Nordstrom full-line stores (The Woodlands, Texas; Calgary, Alberta; and Jacksonville, Florida) and 27 Nordstrom Rack stores (Palm Desert, California; San Francisco, California; Chicago, Illinois; Riverside, California; Skokie, Illinois; Tulsa, Oklahoma; Wauwatosa, Wisconsin; Brooklyn, New York; Columbus, Ohio; Houston, Texas; Manhassett, New York; Chicago, Illinois; Dayton, Ohio; Houston, Texas; Queens, New York; Brentwood, Tennessee; Greenville, South Carolina; Madison, Wisconsin; Tempe, Arizona; Brooklyn, New York; Livingston, New Jersey; West Palm Beach, Florida; Brandon, Florida; Columbia, South Carolina; Des Moines, Iowa; Philadelphia, Pennsylvania; and Summerlin, Nevada). As part of our purchase of Trunk Club in August 2014, we acquired four Trunk Club showrooms (Los Angeles, California; Chicago, Illinois; Dallas, Texas; and Washington D.C.) and opened one additional Trunk Club showroom (New York City, New York) in December 2014. Additionally, in 2014, we closed three Nordstrom full-line stores (Orlando, Florida; Vancouver, Washington; and Portland, Oregon).\n\nTo date in 2015, we have opened one Nordstrom full-line store in Ottawa, Ontario. During the remainder of 2015, we have announced the opening of four additional Nordstrom full-line stores (San Juan, Puerto Rico; Vancouver, British Columbia; Minneapolis, Minnesota; and Wauwatosa, Wisconsin) and the opening of 27 additional Nordstrom Rack stores (Bakersfield, California; Redlands, California; Reno, Nevada; Princeton, New Jersey; Westwood, Massachusetts; Webster, Texas; Laguna Niguel, California; Miami, Florida; Springfield, Virginia; St. Louis Park, Minnesota; Dublin, California; Albany, New York; Anchorage, Alaska; Baton Rouge, Louisiana; Buffalo, New York; Cerritos, California; Clearwater, Florida; Eatontown, New Jersey; Emeryville, California; Fort Collins, Colorado; Long Beach, California; Mount Pleasant, South Carolina; Newark, Delaware; Rockaway, New Jersey; Syracuse, New York; Thousand Oaks, California; and Wayne, New Jersey).", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_JWN_2014.pdf", - "query": "How many stores did Nordstrom posses at the end of 2014 ?", - "target_page": 22, - "target_passage": "Number of stores, end of year : 292", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "## Net Sales (2014 vs. 2013)\n\nIn 2014, total company net sales increased 7.8%, which was attributable to the comparable sales increase of 4.0%. During the year, we opened three Nordstrom full-line stores, including our first store in Canada, and 27 Nordstrom Rack stores. Additionally, as a result of the acquisition of Trunk Club, we acquired four Trunk Club showrooms and opened one additional Trunk Club showroom in 2014. These additions increased our square footage by 5.5% and represented 2.8% of our total net sales for 2014.\n\nNordstrom net sales, which consist of the U.S. full-line and Nordstrom.com businesses, were $9,678 in 2014, an increase of 3.8% compared with 2013, with comparable sales up 3.6%. These increases reflected continued momentum in our Nordstrom.com channel. Both the number of items sold and the average selling price increased on a comparable basis in 2014. Category highlights included Accessories, Cosmetics and Men's Apparel.\n\nU.S. full-line net sales for 2014 were $7,682, a decrease of 0.3% compared with 2013 and comparable sales decreased by 0.5%. The topperforming geographic regions for full-line stores were the Southeast and Southwest.\n\nOur Nordstrom.com, Nordstromrack.com and HauteLook channels continued to experience outsized growth. Nordstrom.com net sales increased 23% and Nordstromrack.com and HauteLook net sales increased 22%, both driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales increased $477, or 17%, compared with 2013, reflecting incremental volume from existing stores and the impact of 27 new stores since fiscal 2013. Comparable sales increased 3.8% for the year. Shoes and Accessories were the top-performing categories for the year. On a comparable basis, the average selling price of Nordstrom Rack merchandise increased while the number of items sold was flat.\n\n## Net Sales (2013 vs. 2012)\n\nNet sales for 2013 increased 3.4% compared with 2012, driven by a comparable sales increase of 2.5%, attributable to growth at Nordstrom.com and Nordstrom Rack's accelerated store expansion. During 2013, we opened 22 Nordstrom Rack stores and relocated one Nordstrom full-line store and two Nordstrom Rack stores. These additions represented 1.6% of our total net sales for 2013 and increased our square footage by 2.9%. The 53 rd week in 2012 contributed approximately $162 in additional net sales.\n\nNordstrom net sales for 2013 were $9,327, an increase of 1.0% compared with 2012, with comparable sales up 2.3%. Strong growth at Nordstrom.com was partially offset by sales decreases at our full-line stores. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012. Category highlights included Cosmetics, Men's Shoes and Women's Apparel.\n\nFull-line net sales for 2013 were $7,705, a decrease of 3.3% compared with 2012, which was primarily driven by a comparable sales decrease of 2.1% for the year. The top-performing geographic regions for full-line stores for 2013 were the Southwest and Southeast. Nordstrom.com showed strong sales growth with net sales of $1,622, an increase of 28% compared with 2012, with comparable sales up 30% on a comparable 52-week basis. These increases were driven by expanded merchandise selection and ongoing technology investments to enhance the customer experience.\n\nNordstrom Rack net sales were $2,738, up 12.0% compared with 2012, primarily due to 37 new store openings in 2012 and 2013. Comparable sales increased 2.7% for the year. Cosmetics and Shoes were the strongest-performing categories for the year. Both the average selling price and the number of items sold increased on a comparable basis in 2013 compared with 2012.\n\n## Retail Business Gross Profit\n\nThe following table summarizes the Retail Business gross profit:", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "| Retail stores by channel | | U.S. | Nordstrom Rack and Other 1 | Nordstrom Rack and Other 1 | Total | Total |\n|------------------------------|-------|------------------------|------------------------------|------------------------------|---------|------------------------|\n| State/Province | Count | Square Footage (000's) | Count | Square Footage (000's) | Count | Square Footage (000's) |\n| Alabama | - | - | 1 | 35 | 1 | 35 |\n| Alaska | 1 | 97 | - | - | 1 | 97 |\n| Alberta | - | - | 1 | 142 | 1 | 142 |\n| Arizona | 2 | 384 | 7 | 262 | 9 | 646 |\n| California 2 | 32 | 5,489 | 38 | 1,473 | 70 | 6,962 |\n| Colorado | 3 | 559 | 4 | 148 | 7 | 707 |\n| Connecticut | 1 | 189 | 1 | 36 | 2 | 225 |\n| Delaware | 1 | 127 | - | - | 1 | 127 |\n| Florida 2 | 9 | 1,389 | 12 | 414 | 21 | 1,803 |\n| Georgia | 3 | 555 | 5 | 165 | 8 | 720 |\n| Hawaii | 1 | 211 | 1 | 44 | 2 | 255 |\n| Idaho | - | - | 1 | 37 | 1 | 37 |\n| Illinois | 4 | 947 | 11 | 401 | 15 | 1,348 |\n| Indiana | 1 | 134 | 1 | 35 | 2 | 169 |\n| Iowa | - | - | 1 | 35 | 1 | 35 |\n| Kansas | 1 | 219 | 1 | 35 | 2 | 254 |\n| Kentucky | - | - | 1 | 33 | 1 | 33 |\n| Maine | - | - | 1 | 30 | 1 | 30 |\n| Maryland | 4 | 765 | 4 | 156 | 8 | 921 |\n| Massachusetts | 4 | 595 | 5 | 193 | 9 | 788 |\n| Michigan | 3 | 552 | 4 | 145 | 7 | 697 |", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 7. Management's Discussion and Analysis of Financial Condition and Results of Operations.\n\nDollar, share and square footage amounts in millions except percentages, per share and per square foot amounts\n\n## OVERVIEW\n\nNordstrom is a leading fashion specialty retailer offering apparel, shoes, cosmetics and accessories for women, men and children. We offer an extensive selection of high-quality brand-name and private label merchandise through our various channels: 'Nordstrom' branded full-line stores and online store at Nordstrom.com, Nordstrom Rack stores, Nordstromrack.com and HauteLook and other retail channels, including Trunk Club showrooms and TrunkClub.com, our Jeffrey boutiques and our clearance store that operates under the name 'Last Chance.' As of January 31, 2015, our stores are located in 38 states throughout the United States and in one province in Canada. In addition, we offer our customers a Nordstrom Rewards ™ loyalty program along with a variety of payment products and services, including credit and debit cards.\n\nWe continue to see the ongoing evolution of retail, with increasing customer interaction between our stores and ecommerce. We are making progress to meet customer expectations of a personalized experience that merges the richness of stores with the convenience of online. Because the customer views us simply as Nordstrom, we believe there is tremendous value in strengthening our platform for the customer experience that encompasses full-price, off-price, in-store and online. While each channel represents a substantial growth opportunity, there are significant synergies across channels to create a unique customer experience to gain market share.\n\nWe considered 2014 a watershed year in our company history, with our successful entry into Canada, continued expansion of our Nordstrom Rack business through store growth, the launch of Nordstromrack.com and the acquisition of Trunk Club. Our performance in 2014 reflected continued progress in executing our customer strategy through investments to drive growth across channels. We achieved total net sales growth of 7.8%, adding nearly $1 billion to our top-line and delivering record sales and earnings per diluted share. Our financial position remains strong and this marked the sixth consecutive year we generated over $1 billion in cash flow from operations.\n\nOur partnership with vendors and brands enhances our product offering. We offer Topshop merchandise at 53 full-line stores and online, with plans to reach over 80 stores in 2015. Our new partnership with Madewell in 2015, initially available at 15 of our stores and online, is another way to provide sought-after brands that appeal to new and existing customers.\n\nIn 2014, we opened our first full-line store in Canada in Calgary, Alberta, reflecting a multi-year effort from our team to address the unique challenges of crossing the border. With our store outperforming our expectations, we are encouraged with our customers' response in this market. We are looking forward to opening stores in 2015 in Ottawa, Ontario and Vancouver, British Columbia. In the U.S. we increased our presence with two full-line stores in The Woodlands, Texas and Jacksonville, Florida. In 2015, we plan to open three full-line stores in Puerto Rico, Minneapolis, Minnesota and Milwaukee, Wisconsin.\n\nAt Nordstrom Rack, we offer customers great brands at great prices, with 48 of the top 50 full-line brands represented. We opened 27 Nordstrom Rack stores in 2014, a record number of openings, contributing to Nordstrom Rack's total sales growth of 17%.", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 1. Business.\n\n## DESCRIPTION OF BUSINESS\n\nFounded in 1901 as a retail shoe business in Seattle, Nordstrom later incorporated in Washington state in 1946 and went on to become one of the leading fashion specialty retailers based in the U.S. As of March 16, 2015, we operate 290 U.S. stores located in 38 states as well as a robust ecommerce business through Nordstrom.com, Nordstromrack.com and HauteLook and TrunkClub.com. We also operate two Nordstrom full-line stores in Canada. The west and east coasts of the U.S. are the areas in which we have the largest presence. We have two reportable segments: Retail and Credit.\n\nAs of March 16, 2015, the Retail segment includes our 115 'Nordstrom' branded full-line stores in the U.S. and Nordstrom.com, 167 off-price Nordstrom Rack stores, two Canada full-line stores, Nordstromrack.com and HauteLook, and other retail channels including five Trunk Club showrooms and TrunkClub.com, our two Jeffrey boutiques and one clearance store that operates under the name 'Last Chance.' Through these multiple retail channels, we strive to deliver the best customer experience possible. We offer an extensive selection of high-quality brand-name and private label merchandise focused on apparel, shoes, cosmetics and accessories. Our integrated Nordstrom full-line stores and online store allow us to provide our customers with a seamless shopping experience. In-store purchases are primarily fulfilled from that store's inventory, but when inventory is unavailable at that store it may also be shipped to our customers from our fulfillment center in Cedar Rapids, Iowa, or from other Nordstrom full-line stores. Online purchases are primarily shipped to our customers from our Cedar Rapids fulfillment center, but may also be shipped from our Nordstrom full-line stores. Our customers can also pick up online orders in our Nordstrom full-line stores if inventory is available at one of our locations. These capabilities allow us to better serve customers across various channels and improve sales. Nordstrom Rack stores purchase high-quality brand-name merchandise primarily from the same vendors carried in Nordstrom full-line stores and also serve as outlets for clearance merchandise from our Nordstrom stores and other retail channels. During the year, we launched Nordstromrack.com and the associated mobile app. Nordstromrack.com combines the technology expertise of HauteLook with the merchant expertise of Nordstrom Rack. Nordstromrack.com and HauteLook offer limited-time sale events on fashion and lifestyle brands as well as a persistent selection of off-price, high-quality brand-name merchandise and are integrated with a single customer log-in, shared shopping cart and streamlined checkout process. Furthermore, we can accommodate returns from these sites by mail or at any Nordstrom Rack location.\n\nOur Credit segment includes our wholly owned federal savings bank, Nordstrom fsb, through which we provide a private label credit card, two Nordstrom Visa credit cards and a debit card. The credit and debit cards feature a loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment would incur if our customers used third-party cards.\n\nFor more information about our business and our reportable segments, see Item 7: Management's Discussion and Analysis of Financial Condition and Results of Operations and Note 16: Segment Reporting in Item 8: Financial Statements and Supplementary Data.\n\n## FISCAL YEAR\n\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31 st . References to 2014 and all years within this document are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\n\n## TRADEMARKS", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 1B. Unresolved Staff Comments.\n\nNone.\n\n## Item 2. Properties.\n\nThe following table summarizes the number of retail stores we own or lease, and the percentage of total store square footage represented by each listed category as of January 31, 2015:\n\n| | Number of stores | % of total store square footage |\n|--------------------------------------|--------------------|-----------------------------------|\n| Leased stores on leased land | 195 | 38% |\n| Owned stores on leased land | 61 | 40% |\n| Owned stores on owned land | 35 | 21% |\n| Partly owned and partly leased store | 1 | 1% |\n| Total | 292 | 100% |\n\nThe following table summarizes our store activity during the last three years:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-------------------------------------|--------|--------|--------|\n| Number of stores, beginning of year | 260 | 240 | 225 |\n| Stores opened | 31 | 22 | 16 |\n| Stores acquired | 4 | - | - |\n| Stores closed | (3) | (2) | (1) |\n| Number of stores, end of year | 292 | 260 | 240 |\n| Nordstrom full-line stores - U.S. | 116 | 117 | 117 |\n| Nordstrom Rack | 167 | 140 | 119 |\n| Other 1 | 9 | 3 | 4 |\n\nIn 2014, we opened three Nordstrom full-line stores (The Woodlands, Texas; Calgary, Alberta; and Jacksonville, Florida) and 27 Nordstrom Rack stores (Palm Desert, California; San Francisco, California; Chicago, Illinois; Riverside, California; Skokie, Illinois; Tulsa, Oklahoma; Wauwatosa, Wisconsin; Brooklyn, New York; Columbus, Ohio; Houston, Texas; Manhassett, New York; Chicago, Illinois; Dayton, Ohio; Houston, Texas; Queens, New York; Brentwood, Tennessee; Greenville, South Carolina; Madison, Wisconsin; Tempe, Arizona; Brooklyn, New York; Livingston, New Jersey; West Palm Beach, Florida; Brandon, Florida; Columbia, South Carolina; Des Moines, Iowa; Philadelphia, Pennsylvania; and Summerlin, Nevada). As part of our purchase of Trunk Club in August 2014, we acquired four Trunk Club showrooms (Los Angeles, California; Chicago, Illinois; Dallas, Texas; and Washington D.C.) and opened one additional Trunk Club showroom (New York City, New York) in December 2014. Additionally, in 2014, we closed three Nordstrom full-line stores (Orlando, Florida; Vancouver, Washington; and Portland, Oregon).\n\nTo date in 2015, we have opened one Nordstrom full-line store in Ottawa, Ontario. During the remainder of 2015, we have announced the opening of four additional Nordstrom full-line stores (San Juan, Puerto Rico; Vancouver, British Columbia; Minneapolis, Minnesota; and Wauwatosa, Wisconsin) and the opening of 27 additional Nordstrom Rack stores (Bakersfield, California; Redlands, California; Reno, Nevada; Princeton, New Jersey; Westwood, Massachusetts; Webster, Texas; Laguna Niguel, California; Miami, Florida; Springfield, Virginia; St. Louis Park, Minnesota; Dublin, California; Albany, New York; Anchorage, Alaska; Baton Rouge, Louisiana; Buffalo, New York; Cerritos, California; Clearwater, Florida; Eatontown, New Jersey; Emeryville, California; Fort Collins, Colorado; Long Beach, California; Mount Pleasant, South Carolina; Newark, Delaware; Rockaway, New Jersey; Syracuse, New York; Thousand Oaks, California; and Wayne, New Jersey).", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Retail Business Net Sales\n\nIn our ongoing effort to enhance the customer experience, we are focused on providing customers with a seamless experience across our channels. While our customers may engage with us through multiple channels, we know they value the overall Nordstrom brand experience and view us simply as Nordstrom, which is ultimately how we view our business. To provide additional transparency into our net sales by channel, we present the following summary of our Retail Business:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------------------------|---------|---------|---------|\n| Net sales by channel: | | | |\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n| Net sales increase | 7.8% | 3.4% | 12.1% |\n| Comparable sales increase (decrease) by channel 2 : | | | |\n| Nordstrom full-line stores - U.S. | (0.5%) | (2.1%) | 3.9% |\n| Nordstrom.com | 23.1% | 29.5% | 37.1% |\n| Nordstrom | 3.6% | 2.3% | 7.5% |\n| Nordstrom Rack | 3.8% | 2.7% | 7.4% |\n| Nordstromrack.com and HauteLook | 22.1% | 27.3% | - |\n| Total company | 4.0% | 2.5% | 7.3% |\n| Sales per square foot 3 : | | | |\n| Total sales per square foot | $493 | $474 | $470 |\n| 4-wall sales per square foot | 413 | 408 | 417 |\n| Full-line sales per square foot - U.S. | 371 | 372 | 385 |\n| Nordstrom Rack sales per square foot | 552 | 553 | 568 |\n| Percentage of net sales by merchandise category: | | | |\n| Women's Apparel | 30% | 31% | 31% |\n| Shoes | 23% | 23% | 23% |\n| Men's Apparel | 16% | 16% | 16% |\n| Women's Accessories | 14% | 14% | 13% |\n| Cosmetics | 11% | 11% | 11% |\n| Kids' Apparel | 4% | 3% | 3% |\n| Other | 2% | 2% | 3% |\n| Total | 100% | 100% | 100% |", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\nThe following table summarizes net sales within our reportable segments:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|-----------------------------------|---------|---------|---------|\n| Nordstrom full-line stores - U.S. | $7,682 | $7,705 | $7,964 |\n| Nordstrom.com | 1,996 | 1,622 | 1,269 |\n| Nordstrom | 9,678 | 9,327 | 9,233 |\n| Nordstrom Rack | 3,215 | 2,738 | 2,445 |\n| Nordstromrack.com and HauteLook | 360 | 295 | 236 |\n| Other retail 1 | 116 | 35 | 35 |\n| Total Retail segment | 13,369 | 12,395 | 11,949 |\n| Corporate/Other | (259) | (229) | (187) |\n| Total net sales | $13,110 | $12,166 | $11,762 |\n\nThe following table summarizes net sales by merchandise category:\n\n| Fiscal year | 2014 | 2014 | 2013 | 2013 | 2012 | 2012 |\n|---------------------|-----------|------------|-----------|------------|-----------|------------|\n| | Net sales | % of total | Net sales | % of total | Net sales | % of total |\n| Women's Apparel | $3,950 | 30% | $3,733 | 31% | $3,684 | 31% |\n| Shoes | 3,038 | 23% | 2,828 | 23% | 2,716 | 23% |\n| Men's Apparel | 2,129 | 16% | 1,943 | 16% | 1,866 | 16% |\n| Women's Accessories | 1,801 | 14% | 1,644 | 14% | 1,574 | 13% |\n| Cosmetics | 1,400 | 11% | 1,312 | 11% | 1,255 | 11% |\n| Kids' Apparel | 483 | 4% | 413 | 3% | 381 | 3% |\n| Other | 309 | 2% | 293 | 2% | 286 | 3% |\n| Total net sales | $13,110 | 100% | $12,166 | 100% | $11,762 | 100% |", - "page_start": 75, - "page_end": 75, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Nordstrom, Inc.\n\n## Notes to Consolidated Financial Statements\n\nDollar and share amounts in millions except per share, per option and per unit amounts\n\n## NOTE 1: NATURE OF OPERATIONS AND SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\n## The Company\n\nFounded in 1901 as a shoe store in Seattle, Washington, Nordstrom, Inc. is now a leading fashion specialty retailer that offers customers a well-edited selection of high-quality fashion brands focused on apparel, shoes, cosmetics and accessories for men, women and children. This breadth of merchandise allows us to serve a wide range of customers who appreciate quality fashion and a superior shopping experience. We offer an extensive selection of high-quality brand-name and private label merchandise through multiple retail channels, including 116 'Nordstrom' branded full-line stores in the U.S. and at Nordstrom.com (collectively, 'Nordstrom'), one Canada full-line store, 167 off-price Nordstrom Rack stores, Nordstromrack.com and HauteLook, five Trunk Club showrooms and TrunkClub.com, two Jeffrey boutiques and one Last Chance clearance store. Our stores are located in 38 states throughout the U.S and in one province in Canada.\n\nThrough our Credit segment, we provide our customers with a variety of payment products and services, including a Nordstrom private label card, two Nordstrom Visa credit cards and a debit card for Nordstrom purchases. These products also allow our customers to participate in our loyalty program designed to increase customer visits and spending. Although the primary purposes of our Credit segment are to foster greater customer loyalty and drive more sales, we also generate revenues from finance charges and other fees on these cards. In addition, we save on interchange fees that the Retail segment would incur if our customers used third-party cards.\n\n## Fiscal Year\n\nWe operate on a 52/53-week fiscal year ending on the Saturday closest to January 31 st . References to 2014 and all years within this document are based on a 52-week fiscal year, except 2012, which is based on a 53-week fiscal year.\n\n## Principles of Consolidation\n\nThe consolidated financial statements include the balances of Nordstrom, Inc. and its subsidiaries. All intercompany transactions and balances are eliminated in consolidation.\n\n## Use of Estimates\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the U.S. requires management to make estimates and assumptions that affect the reported amounts of assets, liabilities, revenues and expenses, and disclosure of contingent assets and liabilities during the reporting period. Uncertainties regarding such estimates and assumptions are inherent in the preparation of financial statements and actual results may differ from these estimates and assumptions. Our most significant accounting judgments and estimates include the allowance for credit losses, revenue recognition, inventory, goodwill, stock-based compensation and income taxes.\n\n## Net Sales\n\nWe recognize revenue from sales at our retail stores at the point of sale, net of estimated returns and excluding sales taxes. Revenue from sales to customers shipped directly from our stores, website and catalog, which includes shipping revenue when applicable, is recognized upon estimated receipt by the customer. We estimate customer merchandise returns based on historical return patterns and reduce sales and cost of sales accordingly. Activity in the allowance for sales returns, net, for the past three fiscal years is as follows:\n\n| Fiscal year | 2014 | 2013 | 2012 |\n|--------------------------------|---------|---------|---------|\n| Allowance at beginning of year | $128 | $116 | $103 |\n| Additions | 2,129 | 1,880 | 1,724 |\n| Returns, net 1 | (2,097) | (1,868) | (1,711) |\n| Allowance at end of year | $160 | $128 | $116 |\n\n## Credit Card Revenues", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "\n\n\n\nOUR NEW LOOK FROM WINDOWS THAT BRING THE OUTSIDE IN TO DEPARTMENTS THAT SEAMLESSLY FLOW TOGETHEROUR NEW STORE DESIGN CREATES AN EXCITING SPACE THAT CAN CHANGE WITH HOW OUR CUSTOMERS SHOP.\n\n\n\nto be within two-day ground delivery of approximately half the population of the United States, which will help improve delivery times for customers and help us meet their rising expectations.\n\nFinally, in 2014, we acquired Trunk Club, a high-growth personalized men's clothing business based on a service model that is highly complementary to our own. We believe Trunk Club is a natural extension of our business, and together we will continue to evolve and bring together the online and o/ffline worlds to deliver a great shopping experience.\n\n## OFF-PRICE: NORDSTROM RACK, NORDSTROMRACK.COM AND HAUTELOOK\n\nWe opened a record 27 new Nordstrom Rack stores, ending 2014 with 167 stores and on track to meet our long-term growth plans\n\nof 300 stores by 2020. Customers continue to respond favorably to the treasure-hunt experience that defines Nordstrom Rack stores. As we expand in many markets for the first time, we hope to continue delivering a great experience, as this business represents a terrific opportunity for us to attract new customers. Last year, Nordstrom Rack was our biggest source of new customers, attracting nearly 4 million. Also, a year ago, we began accepting returns of HauteLook and Nordstromrack.com merchandise at any Nordstrom Rack store. This drove nearly 1 million trips to Nordstrom Rack stores in 2014. The Nordstrom Rack customer also tends to be younger than our full-line customer, and there is a meaningful opportunity for these customers to begin shopping our full-price channels as well. We plan to open 27 more Nordstrom Racks in 2015 across the U.S.\n\n\n\n\n\n' I love how you used models with physical challenges in your Anniversary catalog. Nice work! '\n\nOUR CUSTOMER, DONNA A.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "The following table lists our U.S. and Canada retail store count and facility square footage by state/province as of January 31, 2015:\n\nNordstrom Full-Line Stores -", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What type of nanostructured material works notably well to build gas nanosensors ?", - "target_page": 1, - "target_passage": "carbon nanotubes (CNT) [2] have been shown to work remarkably well as de- tectors of small gas molecules", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra 1,2 , ∗ D. J. Mowbray 1,2 , K. S. Thygesen 2 , A. Rubio 1,3 , and K. W. Jacobsen 2 1 Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain 2 Center for Atomic-scale Materials Design, Department of Physics, Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3 Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.-b, 68.43.-h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3-8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert - a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11-13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13-21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the\n\nchange in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "- ∗ Electronic address: juanmaria.garcia@ehu.es\n- [1] Gas Sensing Materials, MRS Bull. , vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, 'Electronic and transport properties of nanotubes', Rev. Mod. Phys. 79 (2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, 'Nanotube molecular wires as chemical sensors', Science 287 (5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, 'Extreme oxygen sensitivity of electronic properties of carbon nanotubes', Science 287 (5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, Integration and Applications (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-P'aez, A. H. Romero, E. Mu˜noz-Sandoval, L. M. Mart'ınez, H. Terrones, and M. Terrones, 'Fabrication of vapor and gas sensors using films of aligned CN x nanotubes', Chem. Phys. Lett. 386 (1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, 'Designing real nanotube-based gas sensors', Phys. Rev. Lett. 100 (17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, 'Tailoring gas sensing properties of carbon nanotubes', J. Appl. Phys. 104 (2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, 'Variable range hopping in oxygen-exposed single-wall carbon nanotube networks', Phys. Stat. Solidi A 205 (6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, 'Influence of O2 and N2 on the conductivity of carbon nanotube networks', Phys. Rev. B 79 (19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, 'Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory', Chem. Phys. Lett. 387 (4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, 'Defective carbon nanotubes for single-molecule sensing', Phys. Rev. B 80 (15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc'ıa-Lastra, K. S. Thygesen, M. Strange, and ' Angel Rubio, 'Conductance of sidewall-functionalized carbon nanotubes: Universal dependence on adsorption sites', Phys. Rev. Lett. 101 (23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, ' Ab initio study of an iron atom interacting with single-wall carbon nanotubes', Phys. Rev. B 67 (20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, 'Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3 d transition metals: A first-principles study', Phys. Rev. B 69 (7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, 'Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes', J. Phys. Chem. B 110 (28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, 'First-principles study of metal adatom adsorption on graphene', Phys. Rev. B 77 , 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, 'Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes', J. Phys. Chem. C 112 (19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), 'Grupos Consolidados UPV/EHU del Gobierno Vasco' (IT-319-07), e-I3 ETSF project (Contract Number 211956), 'Red Espa˜nola de Supercomputaci'on', NABIIT and the Danish Center for Scientific Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jos'e Castillejo programs.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant ( > 1 Ω ) for small changes in CO concentration in the relevant range of around 0.1-10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 ˚ A for representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 ˚ A × 15 ˚ A × 14.622 ˚ A). For this size of supercell a Γ -point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nE form [ M @ VC ] = E [ M @ VC ] + nE [ C ] -E [ M@NT ] (1)\n\nwhere E [M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E [C] is the energy per carbon atom in a pristine nanotube, and E [M@NT]", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\n\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\nE form [ VC ] = E [ VC ] + nE [ C ] -E [ NT ] , (2)\n\nwhere E [VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov et al. for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\nE ads [ X @M@VC ] = E [ X @M@VC ] -E [ X ] -E [ M@VC ] , (3)\n\nFIG. 2: Calculated (a) adsorption energy E ads in eV and (b) change in conductance ∆ G in units of G 0 = 2 e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E [ X @M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E [ X ] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\nΘ[ X ] = K [ X ] C [ X ] 1 + ∑ Y K [ Y ] C [ Y ] , (4)\n\nwhere K = k + /k -is the ratio of forward and backward rate constants for the adsorption reaction,\n\nK [ X ] = exp [ -E ads [ X ] + TS [ X ] k B T ] . (5)\n\nIn these expressions C [ X ] is the concentration of species X , S [ X ] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆ R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C 0 = 0.1 ppm. Note the change from linear to log scale on the y -axis at ∆ R = 10 Ω .\n\n\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations ( ∼ 10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2 G 0 . The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d -levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged\n\nconductances, i.e. G = ( G ↑ + G ↓ ) / 2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, l φ , is smaller than the average distance between the dopants, d , we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\nR s ( X ) = 1 /G ( X ) -1 / ( 2 G 0 ) , (6)\n\nwhere G ( X ) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1 / ( 2 G 0 ) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆ R N ≈ ∑ X R s ( X )(Θ[ X,C ] -Θ[ X,C 0 ]) , (7)\n\nwhere N is the number of dopants, Θ[ X,C ] is the fractional coverage of species X at concentration C of the target and C 0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "In Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C 0 = 0 . 1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼ 1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when l φ < d . However, even for l φ > d and assuming that the Anderson localization length, l loc in the system exceeds l φ , Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance 〈 R 〉 [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N , should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where l φ > l loc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Jacobsen, 'Benchmark density functional theory calculations for nanoscale conductance', J. Chem. Phys. 128 (11), 114714 (Mar. 2008), doi:10.1063/1.2839275.\n- [25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Ordej'on, and D. S'anchez-Portal, 'The SIESTA method for ab initio ordern materials simulation', J. Phys.: Condens. Matter 14 (11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n- [26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge University Press, London, 1961).\n- [27] P. Atkins and J. de Paula, Physical Chemistry , 8th ed. (Oxford University Press, London, 2006).\n- [28] D. Lide, Handbook of Chemistry and Physics , 87th ed. (CRCPress, 2006-2007).\n- [29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, 'Scal-\n\n- ing theory put into practice: First-principles modeling of transport in doped silicon wires', Phys. Rev. Lett. 99 (7), 076803 (Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n- [30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, W.-J. Chun, Y. Koike, and K. Asakura, 'X-ray absorption fine structure (XAFS) analyses of Ni species trapped in graphene sheet of carbon nanofibers', Phys. Rev. B 73 (14), 144103 (Apr. 2006), doi:10.1103/PhysRevB.73.144103.\n- [31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, F. J. Garcia-Vidal, A. Rubio, and F. Flores, 'Tuning the conductance of single-walled carbon nanotubes by ion irradiation in the Anderson localization regime', Nature Materials 4 , 534 (Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C 5 and C 8 ) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C 10 and C 12 ). For even longer chains (C 14 ), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale ( > 100 µ m) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "To confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe\n\nL 2 , 3 absorption edges in order to determine the magnetic response of the individual elements. In L 2 , 3 XMCD, electrons are excited from a 2 p core level to the unoccupied 3 d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3 d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products - either fluorescent x-rays or electrons - of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L 2 , 3 absorption, the probing depths for FY and TEY detection are λ FY ≈ 100 nm and λ TEY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as ( I l -I r ) / ( I l + I r ) where I l ( r ) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L 3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70 · to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L 2 , 3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules 14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2538.pdf", - "query": "What seems to be a great technique to ensure vacancies are formed in carbon nanotubes (CNT) ?", - "target_page": 4, - "target_passage": "Furthermore, it has been shown that CNT vacan- cies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ion", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1: Structural schematics and formation energy for a 3d transition metal occupied monovacancy (black), divacancy I (gray), or divacancy II (white) in a (6,6) carbon nanotube. Formation energies of the empty vacancies are indicated by dashed lines.\n\n\n\nis the total energy of the pristine nanotube with a physisorbed transition metal atom. We have considered the monovacancy and two divacancies shown in Fig. 1. The energy required to form an empty vacancy is obtained from\n\nE form [ VC ] = E [ VC ] + nE [ C ] -E [ NT ] , (2)\n\nwhere E [VC] is the total energy of the nanotube with a vacancy of n atoms.\n\nThe calculated formation energies for the 3d transition metals are shown in Fig. 1. From the horizontal lines we see that both divacancies are more stable than the monovacancy. This may be attributed to the presence of a two-fold coordinated C atom in the monovacancy, while all C atoms remain three-fold coordinated in the divacancies. When a transition metal atom occupies a vacancy, the strongest bonding to the C atoms is through its d orbitals [26]. For this reason, Cu and Zn, which both have filled d-bands, are rather unstable in the CNT. For the remaining metals, adsorption in the monovacancies leads to quite stable structures. This is because the three-fold coordination of the C atoms and the CNT's hexagonal structure are recovered when the metal atom is inserted. On the other hand, metal adsorption in divacancies is slightly less stable because of the resulting pentagon defects, see upper panel in Fig. 1. A similar behaviour has been reported by Krasheninnikov et al. for transition metal atoms in graphene [21].\n\nThe adsorption energies for N2, O2, H2O, CO, NH3, and H2S on the metallic site of the doped (6,6) CNTs are shown in Fig. 2(a). The adsorption energy of a molecule X is defined by\n\nE ads [ X @M@VC ] = E [ X @M@VC ] -E [ X ] -E [ M@VC ] , (3)\n\nFIG. 2: Calculated (a) adsorption energy E ads in eV and (b) change in conductance ∆ G in units of G 0 = 2 e 2 /h for N2, O2, H2O, CO, NH3, and H2S on 3d transition metals occupying a monovacancy (top), divacancy I (middle), and divacancy II (bottom) in a (6,6) carbon nanotube.\n\nwhere E [ X @M@VC] is the total energy of molecule X on a transition metal atom occupying a vacancy, and E [ X ] is the gas phase energy of the molecule.\n\nFrom the adsorption energies plotted in Fig. 2(a), we see that the earlier transition metals tend to bind the adsorbates stronger than the late transition metals. The latest metals in the series (Cu and Zn) bind adsorbates rather weakly in the divacancy structures. We also note that O2 binds significantly stronger than any of the three target molecules on Ti, V, Cr, and Mn (except for Cr in divacancy I where H2S is found to dissociate). Active sites containing these metals are therefore expected to be completely passivated if oxygen is present in the background. Further, we find H2O is rather weakly bound to most of the active sites. This ensures that these types of sensors are robust against changes in humidity.\n\nIn thermodynamic equilibrium [27], the coverage of the active sites follows from\n\nΘ[ X ] = K [ X ] C [ X ] 1 + ∑ Y K [ Y ] C [ Y ] , (4)\n\nwhere K = k + /k -is the ratio of forward and backward rate constants for the adsorption reaction,\n\nK [ X ] = exp [ -E ads [ X ] + TS [ X ] k B T ] . (5)\n\nIn these expressions C [ X ] is the concentration of species X , S [ X ] is its gas phase entropy and T is the temperature. Experimental values for the gas phase entropies have been taken from Ref. [28].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2538.pdf" - }, - { - "text": "all N impurities. At this point it suffices to see that the conservative estimates obtained from Eq. (7) predict measurable signals in response to small changes in concentration of the target molecules.\n\nTo our knowledge, controlled doping of CNTs with transition metal atoms has so far not been achieved. It has, however, been found that metal atoms incorporated into the CNT lattice during catalytic growth are afterwards very difficult to remove [30]. Furthermore, it has been shown that CNT vacancies, which are needed for the metallic doping, may be formed in a controlled way by irradiation by Ar ions [31]. This suggests that metallic doping of CNTs should be possible.\n\nIn summary, we have presented a general model of nanostructured chemical sensors which takes the adsorption energies of the relevant chemical species and their individual scattering resistances as the only input. On the basis of this model we have performed a computational screening of transition metal doped CNTs, and found that Ni-doped CNTs are promising candidates for detecting CO in a background of air. The model may be applied straightforwardly to other nanostructures than CNTs, other functionalizations than metal doping and other gas compositions than air.\n\nThe authors acknowledge financial support from Spanish MEC (FIS2007-65702-C02-01), 'Grupos Consolidados UPV/EHU del Gobierno Vasco' (IT-319-07), e-I3 ETSF project (Contract Number 211956), 'Red Espa˜nola de Supercomputaci'on', NABIIT and the Danish Center for Scientific Computing. The Center for Atomic-scale Materials Design (CAMD) is sponsored by the Lundbeck Foundation. JMG-L acknowledges funding from Spanish MICINN through Juan de la Cierva and Jos'e Castillejo programs.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "change in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.\n\nWe find that oxidation of the active metal site passivates the sensor in the case of doping by Ti, V, Cr, and Mn under standard conditions (room temperature and 1 bar of pressure). Among the remaining metals, we identify Ni as is the most promising candidate for CO detection. For this system the change in resistance per active site is generally significant ( > 1 Ω ) for small changes in CO concentration in the relevant range of around 0.1-10 ppm. Our approach is quite general and is directly applicable to other nanostructures than CNTs, other functionalizations than metal doping, and other backgrounds than atmospheric air.\n\nAll total energy calculations and structure optimizations have been performed with the real-space density functional theory (DFT) code GPAW [22] which is based on the projector augmented wave method. We use a grid spacing of 0.2 ˚ A for representing the density and wave functions and the PBE exchange correlation functional [23]. Transport calculations for the optimized structures have been performed using the nonequilibrium Green's function method [24] with an electronic Hamiltonian obtained from the SIESTA code [25] in a double zeta polarized (DZP) basis set. Spin polarization has been taken into account in all calculations.\n\nMetallic doping of a (6,6) CNT has been modeled in a supercell containing six repeated minimal unit cells along the CNT axis (dimensions: 15 ˚ A × 15 ˚ A × 14.622 ˚ A). For this size of supercell a Γ -point sampling of the Brillouin zone was found to be sufficient. The formation energy for creating a vacancy (VC) occupied by a transition metal atom (M) was calculated using the relation\n\nE form [ M @ VC ] = E [ M @ VC ] + nE [ C ] -E [ M@NT ] (1)\n\nwhere E [M@VC] is the total energy of a transition metal atom occupying a vacancy in the nanotube, n is the number of carbon atoms removed to form the vacancy, E [C] is the energy per carbon atom in a pristine nanotube, and E [M@NT]", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "## Computational Design of Chemical Nanosensors: Metal Doped Carbon Nanotubes\n\nJ. M. Garc´ıa-Lastra 1,2 , ∗ D. J. Mowbray 1,2 , K. S. Thygesen 2 , A. Rubio 1,3 , and K. W. Jacobsen 2 1 Nano-Bio Spectroscopy group and ETSF Scientific Development Centre, Dpto. F´ısica de Materiales, Universidad del Pa´ıs Vasco, Centro de F´ısica de Materiales CSIC-UPV/EHU- MPC and DIPC, Av. Tolosa 72, E-20018 San Sebasti´an, Spain 2 Center for Atomic-scale Materials Design, Department of Physics, Technical University of Denmark, DK-2800 Kgs. Lyngby, Denmark 3 Fritz-Haber-Institut der Max-Planck-Gesellschaft, Berlin, Germany\n\nWe use computational screening to systematically investigate the use of transition metal doped carbon nanotubes for chemical gas sensing. For a set of relevant target molecules (CO, NH3, H2S) and the main components of air (N2, O2, H2O), we calculate the binding energy and change in conductance upon adsorption on a metal atom occupying a vacancy of a (6,6) carbon nanotube. Based on these descriptors, we identify the most promising dopant candidates for detection of a given target molecule. From the fractional coverage of the metal sites in thermal equilibrium with air, we estimate the change in the nanotube resistance per doping site as a function of the target molecule concentration assuming charge transport in the diffusive regime. Our analysis points to Ni-doped nanotubes as candidates for CO sensors working under typical atmospheric conditions.\n\nPACS numbers: 73.63.-b, 68.43.-h, 73.50.Lw\n\nThe ability to detect small concentrations of specific chemical species is fundamental for a variety of industrial and scientific processes as well as for medical applications and environmental monitoring [1]. In general, nanostructured materials should be well suited for sensor applications because of their large surface to volume ratio which makes them sensitive to molecular adsorption. Specifically, carbon nanotubes (CNT) [2] have been shown to work remarkably well as detectors of small gas molecules. This has been demonstrated both for individual CNTs [3-8] as well as for CNT networks [9, 10].\n\nPristine CNTs are known to be chemically inert - a property closely related to their high stability. As a consequence, only radicals bind strong enough to the CNT to notably affect its electrical properties [2, 5, 11-13]. To make CNTs attractive for sensor applications thus requires some kind of functionalization, e.g. through doping or decoration of the CNT sidewall [13-21]. Ideally, this type of functionalization could be used to control not only the reactivity of the CNT but also the selectivity towards specific chemical species.\n\nIn this work we consider the possibility of using CNTs doped by 3d transition metal atoms for chemical gas sensing. We use computational screening to systematically identify the most promising dopant candidates for detection of three different target molecules (CO, NH3, H2S) under typical atmospheric conditions. The screening procedure is based on the calculation of two microscopic descriptors: the binding energy and scattering resistance of the molecules when adsorbed on a doped CNT. These two quantities give a good indication of the gas coverage and impact on the resistance. For the most promising candidates we then employ a simple thermodynamic model of the CNT sensor. In this model, the binding energies are used to obtain the fractional coverage of the metallic sites as a function of the target molecule concentration under ambient conditions. Under the assumption of transport in the diffusive rather than localization regime, the\n\nchange in CNT resistivity may then be obtained from the calculated coverages and single impurity conductances.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2538.pdf" - }, - { - "text": "- ∗ Electronic address: juanmaria.garcia@ehu.es\n- [1] Gas Sensing Materials, MRS Bull. , vol. 24 (1999).\n- [2] J. C. Chalier, X. Blase, and S. Roche, 'Electronic and transport properties of nanotubes', Rev. Mod. Phys. 79 (2), 677 (May 2007), doi:10.1103/RevModPhys.79.677.\n- [3] J. Kong, N. R. Franklin, C. Zhou, M. G. Chapline, S. Peng, K. Cho, and H. Dai, 'Nanotube molecular wires as chemical sensors', Science 287 (5453), 622 (Jan. 2000), doi:10.1126/science.287.5453.622.\n- [4] P. G. Collins, K. Bradley, M. Ishigami, and A. Zettl, 'Extreme oxygen sensitivity of electronic properties of carbon nanotubes', Science 287 (5459), 1801 (Mar. 2000), doi:10.1126/science.287.5459.1801.\n- [5] C. Hierold, Carbon Nanotube Devices: Properties, Modeling, Integration and Applications (Wiley-VCH, Weinheim, 2008).\n- [6] F. Villalpando-P'aez, A. H. Romero, E. Mu˜noz-Sandoval, L. M. Mart'ınez, H. Terrones, and M. Terrones, 'Fabrication of vapor and gas sensors using films of aligned CN x nanotubes', Chem. Phys. Lett. 386 (1-3), 137 (Mar. 2004), doi:10.1016/j.cplett.2004.01.052.\n- [7] A. R. Rocha, M. Rossi, A. Fazzio, and A. J. R. da Silva, 'Designing real nanotube-based gas sensors', Phys. Rev. Lett. 100 (17), 176803 (May 2008), doi:10.1103/PhysRevLett.100.176803.\n- [8] S. Brahim, S. Colbern, R. Gump, and L. Grigorian, 'Tailoring gas sensing properties of carbon nanotubes', J. Appl. Phys. 104 (2), 024502 (Jul. 2008), doi:10.1063/1.2956395.\n- [9] C. Morgan, Z. Alemipour, and M. Baxendale, 'Variable range hopping in oxygen-exposed single-wall carbon nanotube networks', Phys. Stat. Solidi A 205 (6), 1394 (May 2008), doi:10.1002/pssa.200778113.\n- [10] D. J. Mowbray, C. Morgan, and K. S. Thygesen, 'Influence of O2 and N2 on the conductivity of carbon nanotube networks', Phys. Rev. B 79 (19), 195431 (May 2009), doi:10.1103/PhysRevB.79.195431.\n- [11] L. Valentini, F. Mercuri, I. Armentano, C. Cantalini, S. Picozzi, L. Lozzi, S. Santucci, A. Sgamellotti, and J. M. Kenny, 'Role of defects on the gas sensing properties of carbon nanotubes thin films: experiment and theory', Chem. Phys. Lett. 387 (4-6), 356 (Apr. 2004), doi:10.1016/j.cplett.2004.02.038.\n- [12] Z. Zanolli and J.-C. Charlier, 'Defective carbon nanotubes for single-molecule sensing', Phys. Rev. B 80 (15), 155447 (Oct. 2009), doi:10.1103/PhysRevB.80.155447.\n- [13] J. M. Garc'ıa-Lastra, K. S. Thygesen, M. Strange, and ' Angel Rubio, 'Conductance of sidewall-functionalized carbon nanotubes: Universal dependence on adsorption sites', Phys. Rev. Lett. 101 (23), 236806 (Dec. 2008), doi:10.1103/PhysRevLett.101.236806.\n- [14] S. B. Fagan, R. Mota, A. J. R. da Silva, and A. Fazzio, ' Ab initio study of an iron atom interacting with single-wall carbon nanotubes', Phys. Rev. B 67 (20), 205414 (May 2003), doi:10.1103/PhysRevB.67.205414.\n- [15] Y. Yagi, T. M. Briere, M. H. F. Sluiter, V. Kumar, A. A. Farajian, and Y. Kawazoe, 'Stable geometries and magnetic properties of single-walled carbon nanotubes doped with 3 d transition metals: A first-principles study', Phys. Rev. B 69 (7), 075414 (Feb 2004), doi:10.1103/PhysRevB.69.075414.\n- [16] S. H. Yang, W. H. Shin, J. W. Lee, S. Y. Kim, S. I. Woo, and J. K. Kang, 'Interaction of a transition metal atom with intrinsic defects in single-walled carbon nanotubes', J. Phys. Chem. B 110 (28), 13941 (Jun. 2006), doi:10.1021/jp061895q.\n- [17] K. T. Chan, J. B. Neaton, and M. L. Cohen, 'First-principles study of metal adatom adsorption on graphene', Phys. Rev. B 77 , 235430 (Jun. 2008), doi:10.1103/PhysRevB.77.235430.\n- [18] C. S. Yeung, L. V. Liu, and Y. A. Wang, 'Adsorption of small gas molecules onto Pt-doped single-walled carbon nanotubes', J. Phys. Chem. C 112 (19), 7401 (Apr. 2008), doi:10.1021/jp0753981.\n- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "In Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C 0 = 0 . 1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼ 1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when l φ < d . However, even for l φ > d and assuming that the Anderson localization length, l loc in the system exceeds l φ , Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance 〈 R 〉 [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N , should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where l φ > l loc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆ R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C 0 = 0.1 ppm. Note the change from linear to log scale on the y -axis at ∆ R = 10 Ω .\n\n\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations ( ∼ 10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2 G 0 . The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d -levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged\n\nconductances, i.e. G = ( G ↑ + G ↓ ) / 2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, l φ , is smaller than the average distance between the dopants, d , we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\nR s ( X ) = 1 /G ( X ) -1 / ( 2 G 0 ) , (6)\n\nwhere G ( X ) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1 / ( 2 G 0 ) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆ R N ≈ ∑ X R s ( X )(Θ[ X,C ] -Θ[ X,C 0 ]) , (7)\n\nwhere N is the number of dopants, Θ[ X,C ] is the fractional coverage of species X at concentration C of the target and C 0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, ' Ab initio study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms', Phys. Rev. B 78 (19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, 'Embedding transitionmetal atoms in graphene: Structure, bonding, and magnetism', Phys. Rev. Lett. 102 (12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, 'Real-space grid implementation of the projector augmented wave method', Phys. Rev. B 71 (3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, 'Generalized gradient approximation made simple', Phys. Rev. Lett. 77 (18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C 5 and C 8 ) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C 10 and C 12 ). For even longer chains (C 14 ), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale ( > 100 µ m) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [24] M. Strange, I. S. Kristensen, K. S. Thygesen, and K. W. Jacobsen, 'Benchmark density functional theory calculations for nanoscale conductance', J. Chem. Phys. 128 (11), 114714 (Mar. 2008), doi:10.1063/1.2839275.\n- [25] J. M. Soler, E. Artacho, J. D. Gale, A. Garcia, J. Junquera, P. Ordej'on, and D. S'anchez-Portal, 'The SIESTA method for ab initio ordern materials simulation', J. Phys.: Condens. Matter 14 (11), 2745 (Mar. 2002), doi:10.1088/0953-8984/14/11/302.\n- [26] J. S. Griffith, The Theory of Transition-Metal Ions (Cambridge University Press, London, 1961).\n- [27] P. Atkins and J. de Paula, Physical Chemistry , 8th ed. (Oxford University Press, London, 2006).\n- [28] D. Lide, Handbook of Chemistry and Physics , 87th ed. (CRCPress, 2006-2007).\n- [29] T. Markussen, R. Rurali, A.-P. Jauho, and M. Brandbyge, 'Scal-\n\n- ing theory put into practice: First-principles modeling of transport in doped silicon wires', Phys. Rev. Lett. 99 (7), 076803 (Aug. 2007), doi:10.1103/PhysRevLett.99.076803.\n- [30] M. Ushiro, K. Uno, T. Fujikawa, Y. Sato, K. Tohji, F. Watari, W.-J. Chun, Y. Koike, and K. Asakura, 'X-ray absorption fine structure (XAFS) analyses of Ni species trapped in graphene sheet of carbon nanofibers', Phys. Rev. B 73 (14), 144103 (Apr. 2006), doi:10.1103/PhysRevB.73.144103.\n- [31] C. Gomez-Navarro, P. J. de Pablo, J. Gomez-Herrero, B. Biel, F. J. Garcia-Vidal, A. Rubio, and F. Flores, 'Tuning the conductance of single-walled carbon nanotubes by ion irradiation in the Anderson localization regime', Nature Materials 4 , 534 (Jun. 2005), doi:10.1038/nmat1414.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How many employees did HON Industries count in 2003 ?", - "target_page": 15, - "target_passage": "Members (employees) at year-end : 8,926", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## HON INDUSTRIES 2003\n\n## FINANCIAL HIGHLIGHTS", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES", - "page_start": 56, - "page_end": 56, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES 2003\n\n## TO OUR SHAREHOLDERS:\n\nLEFT: Stan A. Askren, PRESIDENT\n\n\n\nRIGHT: Jack D. Michaels, CHAIRMAN AND CHIEF EXECUTIVE OFFICER\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect - in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\nWe outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\nAlthough we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are\n\nleaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best - operational excellence. Our transformation continues:\n\n## BUILDING BRAND MARKET POWER\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the 'perfect match' with end-users in every segment we serve.\n\n## ACHIEVING BEST TOTAL COST AND LEAN ENTERPRISE\n\n'Best total cost' means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell - all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nThe Company has contingent liabilities, which have arisen in the course of its business, including pending litigation, preferential payment claims in customer bankruptcies, environmental remediation, taxes, and other claims. The Company currently has a claim for approximately $7.6 million pending against it, arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure, and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount.\n\n## Significant Customer\n\nOne office furniture customer accounted for approximately 13% of consolidated net sales in 2003 and 14% in 2002 and 2001.\n\n## Operating Segment Information\n\nIn accordance with SFAS No. 131, 'Disclosures about Segments of an Enterprise and Related Information,' management views the Company as being in two operating segments: office furniture and hearth products, with the former being the principal segment. The office furniture segment manufactures and markets a broad line of metal and wood commercial and home office furniture, which includes storage products, desks, credenzas, chairs, tables, bookcases, freestanding office partitions and panel systems, and other related products. The hearth products segment manufactures and markets a broad line of manufactured gas-, pellet-, and wood-burning fireplaces and stoves, fireplace inserts, gas logs, and chimney systems, principally for the home.\n\nThe Company's hearth products segment is somewhat seasonal, with the third (July-September) and fourth (October-December) fiscal quarters historically having higher sales than the prior quarters. In fiscal 2003, 56% of consolidated net sales of hearth products were generated in the third and fourth quarters.\n\nFor purposes of segment reporting, intercompany sales transfers between segments are not material, and operating profit is income before income taxes exclusive of certain unallocated corporate expenses. These unallocated corporate expenses include the net costs of the Company's corporate operations, interest income, and interest\n\nexpense. Management views interest income and expense as corporate financing costs and not as an operating segment cost. In addition, management applies an effective income tax rate to its consolidated income before income taxes so income taxes are not reported or viewed internally on a segment basis. Identifiable assets by segment are those assets applicable to the respective industry segments. Corporate assets consist principally of cash and cash equivalents, short-term investments, and corporate office real estate and related equipment.\n\nNo geographic information for revenues from external customers or for long-lived assets is disclosed, since the Company's primary market and capital investments are concentrated in the United States.\n\nReportable segment data reconciled to the consolidated financial statements for the years ended 2003, 2002, and 2001 is as follows:", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nsales volume, offset by increased investment in brand equity building and new product development of approximately $7 million, and increased incentive compensation of which approximately $4 million was for a debenture earn out related to a prior acquisition.\n\nSelling and administrative expenses include freight expense for shipments to customers, product development costs, and amortization expense of intangible assets. The Selling and Administrative Expenses note included in the Notes to Consolidated Financial Statements provides further information regarding the comparative expense levels for these major expense items.\n\n## RESTRUCTURING CHARGES\n\nDuring 2003, the Company closed two office furniture facilities and consolidated production into other U.S. manufacturing locations to increase efficiencies, streamline processes, and reduce overhead costs. The two facilities were located in Hazleton, Pennsylvania, and Milan, Tennessee. In connection with the closures, the Company recorded $15.7 million of pre-tax charges or $0.17 per diluted share. These charges included $6.7 million of accelerated depreciation of machinery and equipment which was recorded in cost of sales, $3.4 million of severance, and $5.6 million of facility exit, production relocation, and other costs which were recorded as restructuring costs. A total of 316 members were terminated and received severance due to these shutdowns. The closures are substantially complete. The Company anticipates additional costs of $0.3 to $0.5 million during the first quarter of 2004 related to these closures.\n\nThe Hazleton, Pennsylvania, facility is an owned facility and has been reclassified to current assets as it is currently being held as available for sale. It is included in the 'Prepaid expenses and other current assets' in the January 3, 2004, condensed consolidated balance sheet at its carrying value of $2.1 million. The Milan, Tennessee, facility is a leased facility that is no longer being used in the production of goods. The restructuring expense for 2003 included $1.4 million of costs that will continue to be incurred under the lease contract reduced by estimated sublease rentals that could be reasonably obtained.\n\nDuring 2002, the Company recorded a pretax charge of approximately $5.4 million due to the shutdown of an office furniture facility in Jackson, Tennessee. A total of 125 members were terminated and received severance due to this shutdown. During the second quarter of 2003, a restructuring credit of approximately $0.6 million or $0.01 per diluted share was taken back into income relating to this charge.\n\nThis was due to the fact that the Company was able to exit a lease with the lessor at more favorable terms than previously estimated.\n\nDuring the second quarter of 2001, the Company recorded a pretax charge of $24 million or $0.26 per diluted share for a restructuring plan that involved consolidating physical facilities, discontinuing low-volume product lines, and reductions of workforce. Included in the charge was the closedown of three of its office furniture facilities located in Williamsport, Pennsylvania; Tupelo, Mississippi; and Santa Ana, California. Approximately 500 members were terminated and received severance due to the closedown of these facilities. During the second quarter of 2002, a restructuring credit of approximately $2.4 million was taken back into income relating to this charge. This was mainly due to the fact that the Company was able to exit a lease with a lessor at more favorable terms than originally estimated and the Company's ability to minimize the number of members terminated as compared to the original plan.\n\n## OPERATING INCOME", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nincluded in the Cash, Cash Equivalents, and Investments note included in the Notes to Consolidated Financial Statements.\n\n## CAPITAL EXPENDITURE INVESTMENTS\n\nCapital expenditures were $34.8 million in 2003, $25.9 million in 2002, and $36.9 million in 2001. Expenditures during 2003, 2002, and 2001 have been consistently focused on machinery and equipment needed to support new products, process improvements, and cost savings initiatives. Expenditures in 2003 also included the purchase from a related party of a previously leased hearth products plant for $3.6 million.\n\n## ACQUISITIONS\n\nDuring 2001, the Company completed the acquisition of three small hearth products distributors for a total purchase price of approximately $7.6 million. The acquisitions were accounted for using the purchase method, and the results of the three distributors have been included in the Company's financial statements since the date of acquisition. On January 5, 2004, the Company completed the acquisition of Paoli Inc., a provider of wood case goods and seating, for approximately $80 million. The acquisition will be accounted for using the purchase method.\n\n## LONG-TERM DEBT\n\nLong-term debt, including capital lease obligations, was 1% of total capitalization at January 3, 2004, 2% at December 28, 2002, and 12% at December 29, 2001. The reductions in long-term debt during 2003 and 2002 were due to the retirement of Industrial Revenue Bonds. The Company does not expect future capital resources to be a constraint on planned growth. Additional borrowing capacity of $136 million, less amounts used for designated letters of credit, is available through a revolving bank credit agreement in the event cash generated from operations should be inadequate to meet future needs. Certain of the Company's credit agreements include covenants that limit the assumption of additional debt and lease obligations. The Company has been, and currently is, in compliance with the covenants related to the debt agreements.\n\n## CONTRACTUAL OBLIGATIONS\n\nThe following table discloses the Company's obligations and commitments to make future payments under contracts:\n\n## PAYMENTS DUE BY PERIOD\n\n| (In thousands) | Total | Less than 1 year | 1 - 3 years | 4 - 5 years | After 5 years |\n|----------------------------------|-----------|---------------------|----------------|----------------|-----------------|\n| Long-term debt | $ 28,933 | 26,243 | 212 | 95 | 2,383 |\n| Capital lease obligations | 2,338 | 523 | 799 | 426 | 590 |\n| Operating leases | 50,750 | 13,012 | 19,166 | 9,510 | 9,062 |\n| Transportation service contract | 9,650 | 4,794 | 4,856 | - | - |\n| Other long-term obligations | 11,893 | 4,289 | 1,430 | 914 | 5,260 |\n| Total | $ 103,564 | 48,861 | 26,463 | 10,945 | 17,295 |\n\nOther long-term obligations includes $2,959,000 earn-out on convertible debentures included in current liabilities, $69,000 of financial guarantees with customers, and $8,865,000 of payments included in long-term liabilities, due to members who are participants in the Company's salary deferral program.\n\n## CASH DIVIDENDS", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES 2003\n\n## THE HON COMPANY: PRACTICAL AND PROFESSIONAL\n\n\n\n## A CASE STUDY IN KNOWING OUR CUSTOMERS\n\nThe HON Company today is the country's largest provider of office furniture to small and medium-sized businesses. We're widely recognized for having the broadest line of durable, functional, practical, and professional office furniture - from storage files to seating, desks, panel systems, and tables - and we're admired for bringing it all in at a competitive price.\n\nAs tough as it is to become a leader, it's even tougher to hold on to the lead. To do it, we're working to know our customers better than ever, and to continually respond to their evolving needs. We've come to understand that our customers want the same reliable and affordable furniture they've always wanted from us, but with a twist: greater choice.\n\nOver the past three years we've raised the bar in terms of design and aesthetics. We create design that is beautiful without being intimidating or pretentious; design that provides complete workplace solutions with a value-added contemporary twist of color, or fabric, or function.\n\nFor example, our award-winning Perpetual ® Series of seating and desking products is made of wood, steel, and laminate, and offers a range of finishes. Other innovations include combined seating and file storage, combined organizer tray top and file storage, and mobile marker boards. In short, our\n\nbrand's aesthetic drive is way up, while our price and functionality remain absolutely consistent and true to expectation.\n\nOne customer, an office manager of a Chicago-based manufacturer, is exactly the kind of end-user we're looking for. In addition to her other responsibilities, she's in charge of ordering furniture for her 65-person firm - and she knows exactly what she wants. 'I don't care how many times you tell me your product is comfortable,' she says, 'I'm the hands-on type, so I have to touch it, sit on it, and see it myself. I looked for chairs that had great back support, good casters to roll around on, adjustable arms, backs, and seats, and generous width but didn't cost a fortune. I also wanted them to look good and wear well. I don't want to have to buy replacements any time soon. All in all, HON was the brand that fit the bill.'\n\nMaking our customers happy, productive, and satisfied is the focus The HON Company is all about. We're committed to staying on track, focusing on customer needs, and building a brand - and products - that will last for generations.", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nclaims. The Company currently has a claim for approximately $7.6 million pending against it arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount. It is our opinion, after consultation with legal counsel, that additional liabilities, if any, resulting from these matters, are not expected to have a material adverse effect on our financial condition, although such matters could have a material effect on our quarterly or annual operating results and cash flows when resolved in a future period.\n\n## Looking Ahead\n\nThe Company is encouraged by indications that the economy is recovering and is cautiously optimistic that the office furniture industry will begin to rebound in the second half of 2004. Global Insight, BIFMA's forecasting consultant, increased its estimate for the industry shipment growth from 2.4% to 5.6% in 2004, with first quarter flat and improving as the year progresses.\n\nThe hearth segment is impacted by the housing market, which may experience a slight decline from record high levels, but is expected to remain at healthy levels. Management believes its strong brand recognition and new innovative product introductions in addition to strengthening distribution will allow it to grow its hearth segment.\n\nOn January 5, 2004, the Company completed the acquisition of Paoli Inc., a leading provider of wood case goods and seating. The Company intends to continue to build on Paoli's strong position in the market and excellent selling capabilities while leveraging its lean enterprise practices to achieve greater cost efficiencies and improved customer performance.\n\nThe Company's strategy is to grow its business through aggressive investment in building its brands, enhancing its strong member-owner culture, and remaining focused on its rapid continuous improvement program to continue to build best total cost. The Company plans to reinvest a large portion of its cost savings from plant\n\nconsolidations and its rapid continuous improvement program to continue to build brands, product solutions, and selling models.\n\nBecause of the following factors, as well as other variables affecting the Company's operating results, past financial performance may not be a reliable indicator of future performance, and historical trends should not be used to anticipate results or trends in future periods:", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n## Nature of Operations\n\nHON INDUSTRIES Inc., with its subsidiaries (the 'Company'), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n## Summary of Significant Accounting Policies\n\n## PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\n\nThe consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n## CASH, CASH EQUIVALENTS, AND INVESTMENTS\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## afkljdf aojvoaipddddS EEKING I N V E S T O R S FOR A PERFECT MATCH\n\nJoin us in the dynamic, aggressive, profitable growth of HON INDUSTRIES.\n\nTHE BEST IS YET TO COME!\n\nManagement's Discussion and Analysis … 32 Consolidated Financial Statements and Notes … 39 Eleven-Year Summary … 56 Reports of Independent Auditors … 58 A Message from the Board of Directors … 61 Board of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "Did automating the writing of EM-to-IP handoffs notes using LLM lead to life-threatening outputs ?", - "target_page": 8, - "target_passage": "none of the incorrect output text elements reached life-threatening risk", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n## Original Investigation | Emergency Medicine\n\n## DevelopingandEvaluatingLargeLanguageModel-GeneratedEmergencyMedicine HandoffNotes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n## Abstract\n\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\nDESIGN, SETTING, AND PARTICIPANTS This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\nEXPOSURE LLM-generated EM handoff notes.\n\nMAINOUTCOMESANDMEASURES LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE(0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\nCONCLUSIONSANDRELEVANCE In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n\n\nOpenAccess. This is an open access article distributed under the terms of the CC-BY License.\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n(Reprinted)\n\n## KeyPoints\n\nQuestion Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\nFindings In this cohort study of 1600 EMpatient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\nMeaning These findings suggest the value of a manual, patient safetyfocused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n\n\n+\n\n\n\nInvited Commentary\n\n## + Supplemental content\n\nAuthor affiliations and article information are listed at the end of this article.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen. 42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n## Models\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1) 43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B 44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n## Data Processing\n\nAs LLM 2 only has a context size of 4096 tokens, 44 weused 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1-based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n## ModelTraining and Inference\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in\n\n## Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the Figure .\n\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Record a", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "Abstract (continued)\n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-inloop implementation design for this model and demonstrates an effective strategy to measure preimplementation patient safety of LLM models.\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n## Introduction\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of clinical responsibility, have been identified as a critical source of medical errors. 1,2 The Joint Commission, the Accreditation Council for Graduate Medical Education, and the Association of American Medical Colleges have all recommended the development of high-quality and standardized handoff processes to address the substantial patient risk of this ubiquitous event. 3,4 Implementing handoff tools has previously demonstrated significant reductions in medical errors. 5,6 High-quality handoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by medical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints. 7-10 The EM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly adhered to in emergency departments (EDs), including in medical centers with formalized handoff systems. 11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with adverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high risk, and an electronic health record (EHR)-based technology is commonly mentioned as the most desired assistive tool in improving ED transitions of care. 15-18 Limited work to date has demonstrated EMelectronic handoff tools as feasible, efficient, and effective. 19-21 In April 2023, EM and internal medicine leadership of the study site collaboratively developed and launched a mandatory, EHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for realtime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal evaluation of new EM-to-IP handoff notes through random medical record review and unstructured clinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of the handoff notes.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "- /SM590000 The write activity since it was disconnected", - "page_start": 561, - "page_end": 561, - "source_file": "sg247938.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise. 49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows. 29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy. 54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps), 30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n## Limitations\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs 32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "- 21 . Singleton JM, Sanchez LD, Masser BA, Reich B. Efficiency of electronic signout for ED-to-inpatient admission at a non-teaching hospital. Intern Emerg Med . 2018;13(7):1105-1110. doi:10.1007/s11739-018-1816-z\n - 22 . Downing NL, Bates DW, Longhurst CA. Physician burnout in the electronic health record era: are we ignoring the real cause? Ann Intern Med . 2018;169(1):50-51. doi:10.7326/M18-0139\n - 23 . Pivovarov R, Elhadad N. Automated methods for the summarization of electronic health records. JAmMed Inform Assoc . 2015;22(5):938-947. doi:10.1093/jamia/ocv032\n - 24 . Hartman VC, Bapat SS, Weiner MG, Navi BB, Sholle ET, Campion TR Jr. A method to automate the discharge summary hospital course for neurology patients. J Am Med Inform Assoc . 2023;30(12):1995-2003. doi:10.1093/ jamia/ocad177\n - 25 . Zhang Y, Merck D, Tsai EB, Manning CD, Langlotz CP. Optimizing the factual correctness of a summary: a study of summarizing radiology reports. arXiv . Preprint posted online November 6, 2019. doi:10.48550/arXiv.1911.02541\n - 26 . Mukherjee S, Gamble P, Ausin MS, et al. Polaris: a safety-focused LLM constellation architecture for healthcare. arXiv . Preprint posted online March 20, 2024. doi:10.48550/arXiv.2403.13313\n - 27 . Hegselmann S, Shen SZ, Gierse F, Agrawal M, Sontag D, Jiang X. A data-centric approach to generate faithful and high quality patient summaries with large language models. arXiv . Preprint posted online February 23, 2024. doi:10.48550/arXiv.2402.15422\n - 28 . Krishna K, Khosla S, Bigham JP, Lipton ZC. Generating SOAP Notes from Doctor-Patient Conversations Using Modular Summarization Techniques. In: Proceedings of the 59th Annual Meeting of the Association for Computational Linguistics and the 11th International Joint Conference on Natural Language Processing (Volume 1: Long Papers); 2021. Accessed October 23, 2024. https://aclanthology.org/2021.acl-long.0/\n - 29 . Ayers JW, Poliak A, Dredze M, et al. Comparing physician and artificial intelligence chatbot responses to patient questions posted to a public social media forum. JAMAIntern Med . 2023;183(6):589-596. doi:10.1001/ jamainternmed.2023.1838\n - 30 . Williams CY, Bains J, Tang T, et al. Evaluating large language models for drafting emergency department discharge summaries. medRxiv . Preprint posted online April 4, 2024. doi:10.1101/2024.04.03.24305088\n - 31 . Cao Z, Wei F, Li W, Li S. Faithful to the original: fact aware neural abstractive summarization. In: Proceedings of the AAAI Conference on Artificial Intelligence April 26, 2018; New Orleans, LA. Accessed October 23, 2024. https:// aaai.org/proceeding/01-thirty-second-aaai-conference-on-artificial-intelligence-2018/\n - 32 . Singhal K, Tu T, Gottweis J, et al. Towards expert-level medical question answering with large language models. arXiv . Preprint posted online May 16, 2023. doi:10.48550/arXiv.2305.09617\n - 33 . WangG, Yang G, Du Z, Fan L, Li X. ClinicalGPT: large language models finetuned with diverse medical data and comprehensive evaluation. arXiv . Preprint posted online June 16, 2023. doi:10.48550/arXiv.2306.09968\n - 34 . Shing HC, Shivade C, Pourdamghani N, et al. Towards clinical encounter summarization: learning to compose discharge summaries from prior notes. arXiv . Preprint posted online April 27, 2021. doi:10.48550/arXiv. 2104.13498\n - 35 . Van Veen D, Van Uden C, Blankemeier L, et al. Adapted large language models can outperform medical experts in clinical text summarization. Nat Med . 2024;30(4):1134-1142. doi:10.1038/s41591-024-02855-5\n - 36 . Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit Med . 2023;6(1):158. doi:10.1038/s41746-023-00896-7", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed8.pdf" - }, - { - "text": "- /SM590000 Automatic Dump capabilities to capture software detected issues", - "page_start": 695, - "page_end": 695, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Machine signature", - "page_start": 630, - "page_end": 630, - "source_file": "sg247938.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## Discussion\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user-developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\nTable 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)-Generated and Physician-Written", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety. 38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n## Methods\n\n## Data Collection\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n## EM-to-IP Handoff Note Template\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n## Data Curation for Automated ED Note Generation", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "How did automating the writing of EM-to-IP handoffs notes using LLM affect the usefulness of these notes ?", - "target_page": 1, - "target_passage": "LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n## Original Investigation | Emergency Medicine\n\n## DevelopingandEvaluatingLargeLanguageModel-GeneratedEmergencyMedicine HandoffNotes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n## Abstract\n\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\nDESIGN, SETTING, AND PARTICIPANTS This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\nEXPOSURE LLM-generated EM handoff notes.\n\nMAINOUTCOMESANDMEASURES LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE(0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\nCONCLUSIONSANDRELEVANCE In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n\n\nOpenAccess. This is an open access article distributed under the terms of the CC-BY License.\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n(Reprinted)\n\n## KeyPoints\n\nQuestion Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\nFindings In this cohort study of 1600 EMpatient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\nMeaning These findings suggest the value of a manual, patient safetyfocused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n\n\n+\n\n\n\nInvited Commentary\n\n## + Supplemental content\n\nAuthor affiliations and article information are listed at the end of this article.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen. 42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n## Models\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1) 43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B 44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n## Data Processing\n\nAs LLM 2 only has a context size of 4096 tokens, 44 weused 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1-based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n## ModelTraining and Inference\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in\n\n## Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the Figure .\n\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Record a", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "Number of tokens in the gadget. In our main evaluation, the gadgets are composed of n = 10 tokens. We evaluate the effect of using less ( n = 5 ) or more ( n = 20 or n = 50 ) tokens. We observed that 5 tokens were insufficient to make changes to the routing algorithm's score and thus we were not able to optimize the gadget in this setting. As for 20 tokens, we observe a a small improvement in the white-box setting, increase the average upgrade rate from 93 . 9% to 95 . 8% , and a bigger improvement in the black-box setting, increase the average upgrade rate from 70 . 2% to 81 . 3% . Using 50 tokens further increases the upgrade rates, to 98 . 2% in the white-box setting and 84 . 2% in the black box setting. The average convergence rate increases as well, from 60 iterations for 10 tokens, to 70 for 20 tokens, and 100 for 50 tokens. Overall this evaluation suggests that our rerouting attack can be even further improved by using longer gadgets, however it is important to be careful not to make them too long to the point that they might degrade the performance of the underlying LLM.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv1.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise. 49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows. 29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy. 54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps), 30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n## Limitations\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs 32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10 × in the case of NotDiamond [7].\n\n## 3 LLMControl Plane Integrity\n\nIn this section, we define LLM control plane integrity . Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane R ω is a potentially randomized algorithm. It is parameterized by a string ω , called the parameters. It utilizes some number n of LLMs denoted by M . We will mostly focus on the case of n = 2 , and, for reasons that will be clear in a moment, use M s ('strong') and M w ('weak') to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ← $ R M ω ( x ) . Here we use ← $ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of M s or M w should be used to respond to a query.\n\nInference flow. Given a set of LLMs M , a control plane R ω , and an input x , an LLM inference flow is the sequence of LLM invocations M i j ( z j ) for 1 ≤ j ≤ m and i j ∈ { w , s } made when executing R M ω ( x ) . Here m is the total number of LLM invocations, and z 1 , . . . , z m are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\nT = ( i 1 , z 1 ) , ( i 2 , z 2 ) , . . . , ( i m , z m )\n\nof pairs of model indexes i j ∈ { w , s } and model inputs z j . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ { ( w , x ) , ( s , x ) } . We write submitting a sequence of inferences ⃗x = ⃗x 1 , . . . , ⃗x q to a control plane as\n\nR M ω ( ⃗x ) = ( R M ω ( ⃗x 1 ) , . . . , R M ω ( ⃗x q ))", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "Abstract (continued)\n\nand safety via a novel evaluation framework. This study suggests the importance of a physician-inloop implementation design for this model and demonstrates an effective strategy to measure preimplementation patient safety of LLM models.\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n## Introduction\n\nHandoffs, where patient information is exchanged between health professionals during a transfer of clinical responsibility, have been identified as a critical source of medical errors. 1,2 The Joint Commission, the Accreditation Council for Graduate Medical Education, and the Association of American Medical Colleges have all recommended the development of high-quality and standardized handoff processes to address the substantial patient risk of this ubiquitous event. 3,4 Implementing handoff tools has previously demonstrated significant reductions in medical errors. 5,6 High-quality handoffs from emergency medicine (EM) to inpatient (IP) services (EM-to-IP) are challenged by medical complexity, diagnostic uncertainty, rapidly evolving care plans, and time constraints. 7-10 The EM-to-IP handoff structure is not well standardized, frequently communicated verbally, and poorly adhered to in emergency departments (EDs), including in medical centers with formalized handoff systems. 11-14 Prior research has demonstrated that suboptimal EM-to-IP handoff is associated with adverse events, EM leaders and front-line clinicians themselves view the EM-to-IP handoff as high risk, and an electronic health record (EHR)-based technology is commonly mentioned as the most desired assistive tool in improving ED transitions of care. 15-18 Limited work to date has demonstrated EMelectronic handoff tools as feasible, efficient, and effective. 19-21 In April 2023, EM and internal medicine leadership of the study site collaboratively developed and launched a mandatory, EHR-based handoff workflow via a standardized EM-to-IP handoff note template, designed for realtime completion by the EM care team at time of admission. At 3 and 6 months postlaunch, informal evaluation of new EM-to-IP handoff notes through random medical record review and unstructured clinician feedback sessions revealed variable completeness, quality, and subsequent usefulness of the handoff notes.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety. 38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n## Methods\n\n## Data Collection\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n## EM-to-IP Handoff Note Template\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n## Data Curation for Automated ED Note Generation", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "## REROUTING LLM ROUTERS\n\n## A PREPRINT\n\n| Avital Shafran | Roei Schuster | Thomas Ristenpart | Vitaly Shmatikov |\n|-----------------------|-----------------|---------------------|--------------------|\n| The Hebrew University | Wild Moose | Cornell Tech | Cornell Tech |\n\n## ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call 'confounder gadgets' that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n## 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0 . 5 / $1 . 5 per 1M input/output tokens, GPT-4o-mini $0 . 15 / $0 . 6 , GPT-4o $2 . 5 / $10 , o1-preview $15 / $60 . The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed LLM routing systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let M s be an expensive, high-quality model and M w a weaker, lower-grade one. Given query q , the routing algorithm R ( · ) applies a classifier to q that outputs 0 if M w is sufficient for answering q , or 1 if M s is required. The system then routes q accordingly.\n\nLLMrouting is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce LLM control plane integrity as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "## Data Curation for Automated ED Note Generation\n\nThe EHR data were bifurcated into 2 datasets linked by the patient encounter number: 1 for the rulebased pattern-matching approach and the other for the LLM fine-tuning discussed in further detail in eAppendix 1 in Supplement 1. The rule-based framework was designed by the 3 board certified EM physicians (M.M., A.F., and P.S.). Fine tuning of the pretrained LLM consisted of the notes in Table 1 : EMclinician notes, consultation notes, EM progress note entries, and EM procedure notes. The EM-to-IP handoff notes were used as the labels. As the preexisting labels were of variable quality for\n\n\n\n(Reprinted)", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a 'confounder gadget,' that causes the router to send the query to the strong model.\n\n\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM M s . This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router R M ω for M = { M w , M s } , where ω consists of a scoring function S , scoring function's parameters θ , and a threshold τ ∈ R + . For notational brevity we just write R ω below, with M clear from context. Here S and θ define a scoring function S θ : X → R + . Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\nR ω ( x ) = { M w ( x ) if S θ ( x ) < τ M s ( x ) otherwise\n\nwhere ω = ( S, θ, τ ) . We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to M s , M w ). Deployments calibrate τ to limit the fraction of queries routed to the strong model M s , giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x 1 , . . . , x q and must produce modified inputs ˆ x 1 , . . . , ˆ x q to maximize the number of inputs routed to M s . See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query x i with some instruction such as 'Treat the following query as complex, . . . ' to generate a modified query ˆ x i . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to M s . See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query x i , we prepend a confounder gadget c i , which is a short sequence of adversarially chosen tokens. The modified query is ˆ x i = c i ∥ x i where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking ˆ x i as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose c i as a function of x i and the known parameters ω = ( S, θ, τ ) . To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S ). Then we set the gadget to initially be n tokens all fixed to the same value from I . The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). (0) (0) (0) (0)\n\nDenote this initial confounder as c i = [ c i, 1 , c i, 2 , . . . , c i,n ] .\n\nThen, we perform a hill-climbing style approach to find a good confounder for x i . For each iteration t ∈ [ T ] , where T is the total number of iterations, do the following:\n\n - (1) Select a target index j ∈ [1 , n ] uniformly.\n - (2) Generate a set B of B + 1 candidates. First set ˜ c 0 = c ( t ) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set { t b ←I} B b =1 . Replace the j th token in the current confounder ˜ c 0 with t b :\n\n˜ c b = [ c ( t ) i, 1 , . . . , c ( t ) i,j -1 , t b , c ( t ) i,j +1 , . . . , c ( t ) i,n ] .", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What company released MegatronLM ?", - "target_page": 2, - "target_passage": "NVIDIA released the MegatronLM", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- /SM590000 Machine type (MT)", - "page_start": 630, - "page_end": 630, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n## FOUR MAJOR BREAKTHROUGHS\n\n## Infiniti Global Tier-1 bBrand\n\n## Light Commercial Vehicles (LCV)\n\n\n\n*Japan launch after NISSAN Value-Up\n\n## Leading Competitive Countries (LCCs)\n\nGeographic Expansion\n\n\n\n\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "- /SM590000 V8.1.3.2 or higher", - "page_start": 442, - "page_end": 442, - "source_file": "sg247938.pdf" - }, - { - "text": "Front cover\n\n\n\n## Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\nJon Tate\n\nJack Armstrong\n\nTiago Bastos\n\nPawel Brodacki\n\nFrank Enders\n\nSergey Kubin\n\nDanilo Miyasiro\n\nRodrigo Suzuki\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The Metro Mirror relationships between volume pairs, with each volume in a pair that is managed by a Storwize V7000 system or IBM SAN Volume Controller system (requires V6.3.0 or later).", - "page_start": 543, - "page_end": 543, - "source_file": "sg247938.pdf" - }, - { - "text": "## C ORNING T ELECOMMUNICATIONS\n\nwhen the inevitable growth of this dynamic market returns.\n\n\n\nFor the near-term, across our markets and with our customers. pressure and low-volume growth expectations.\n\ncapability and cost requirements for our customers. We are tunities.\n\nC ORNING C ABLE S YSTEMS : CABLE AND HARDWAREO PTICAL N ETWORKS : METRO , LOCAL , LAST MILE\n\n\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "http://www.ibm.com/software/data/ondemand/mp/support.html\n\nSearch this website by using the MustGather keyword to find the following technotes:\n\n - /SM590000 MustGather: Content Manager OnDemand Server for Windows - Hang or performance degradation , reference # 1223907\n - /SM590000 MustGather: Content Manager OnDemand Server for Windows - Crash , reference # 1226443", - "page_start": 419, - "page_end": 419, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 IBM Storwize family system with code V8.1.0 and above", - "page_start": 453, - "page_end": 453, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 IBM Security Key Lifecycle Manager (SKLM), introduced in IBM Spectrum Virtualize V7.8.", - "page_start": 640, - "page_end": 640, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 rmvolume", - "page_start": 325, - "page_end": 325, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "What is the average emission of a human being per year in terms of CO2eq ?", - "target_page": 3, - "target_passage": "the average human is responsible for an estimated 5t CO2e per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ). Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ). Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ).\n\n\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0Figure 14. Di/fference in annual maximum daily maximum temperature between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\nensemble mean\n\n\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\nFigure 15. Di/fference between 2 ° Cand1.5 ° C global warming for percentage of days with maximum temperature above 90th percentile of baseline, for individual ensemble members and ensemble mean.\n\n\n\npossible outcomes projected here, the differences between 2°C and 1.5°C are not always clear. The differences between 2°C and 1.5°C are not always in the same direction as the changes at 2°C; in the Amazon, for example, the difference in flow between 2°C and 1.5°C varies from positive to negative between ensemble members.\n\n\n\n\n\n", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 293 Eurostat: Production and consumption of chemicals by hazard class, here\n - 294 Statistics Sweden SCB: Environmental accounts - Chemical indicators 2019\n - 295 EU-OSHA: ESENER Data visualisation 2019 Risk factors present in the establishment - Chemical or biological substances.\n - 296 OSHWiki: Climate change - Impact on Occupational Safety and Health.\n - 297 Pace advanced from intergenerational conception (children live and work like their parents) to a generational conception (children work in a different occupation, compared to their parents but have one main job all their life), to intragenerational conceptions (several changes during lifetime), according to: Rosa, 2013: Social acceleration A new theory of modernity.\n - 298 Eurostat: Employment and activity by sex, age and citizenship (%) - annual data, here\n - 299 Eurostat: Employment by sex, age and professional status, here, Filter for age class: 15-64 years.\n - 300 Eurostat: Full-time and part-time employment by sex, age and educational attainment level (1 000), here\n - 301 European Union | Work | 2019 | Gender Equality Index | European Institute for Gender Equality (europa.eu) 302 European Institute for Gender Equality (EIGE), 2020: Beijing + 25: the fifth review of the implementation of the Beijing Platform for Action in the EU Member States", - "page_start": 151, - "page_end": 151, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## 3. Emission factors\n\n - a. Ozone precursors and SO2 from oil refining Crude oil throughput\n\nNOx = 0.06\n\nCO = 0.09\n\nNMVOC = 0.62\n\nSO2 = 0.93\n\n - b. Ozone precursors and SO2 from oil refining Catalytic cracker throughput\n - c. NMVOC emissions from storage and handling Crude oil throughput\n\nNOx = 0.2\n\nCO = 42.6\n\nNMVOC = 0.6\n\nSO2 = 1.5\n\nSecondary seals = 0.2\n\nPrimary seals = 0.7\n\nFixed Roof = 4.9\n\n - d. SO2 from Sulphur Recovery Plants 139 kg/t\n - 4. CKD correction factor = 1.02\n - 5. Methane Correction Factor (MCF)\n - 6. Inventory time period (for Cropland remaining Cropland - Carbon stock change - Mineral soils) = 20 years\n\nManaged - 1.0\n\nUnmanaged - deep (>= 5m) - 0.8\n\nUnmanaged - shallow (< 5m) - 0.4\n\nMethane Correction Factor - 0.6", - "page_start": 49, - "page_end": 49, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## Annex 3: Global Warming Potentials (GWPs)\n\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n|----------------------|--------------------|-----------------|\n| Carbon dioxide | CO2 | 1 |\n| Methane | CH4 | 21 |\n| Nitrous oxide | N2O | 310 |\n| HFC-23 | CHF3 | 11,700 |\n| HFC-32 | CH2F2 | 650 |\n| HFC-41 | CH3F | 150 |\n| HFC-43-10mee | C5H2F10 | 1,300 |\n| HFC-125 | C2HF5 | 2,800 |\n| HFC-134 | C2H2F4 | 1,000 |\n| HFC-134a | CH2FCF3 | 1,300 |\n| HFC-152a | C2H4F2 | 140 |\n| HFC-143 | C2H3F3 | 300 |\n| HFC-143a | CF3CH3 | 3,800 |\n| HFC-227ea | C3HF7 | 2,900 |\n| HFC-236fa | C3H2F6 | 6,300 |\n| HFC-254ca | C3H3F5 | 560 |\n| Perfluoromethane | CF4 | 6,500 |\n| Perfluroethane | C2F6 | 9,200 |\n| Perfluoropropape | C3F8 | 7,000 |\n| Perfluorobutane | C2F10 | 7,000 |\n| Perfluorocyclobutane | c-c4F8 | 8,700 |\n| Perfluoropentane | C5F12 | 7,500 |\n| Perfluorohexane | C6F14 | 7,400 |\n| Sulphur hexafluoride | SF6 | 23,900 |\n\nSource: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical Summary of the Working Group I Report, page 22.", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Table 1. Cont.\n\n| No. | #Climatechange | #Climatechange | #Globalwarming | #Globalwarming |\n|-------|------------------|------------------|------------------|------------------|\n| No. | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n## 4.2. Association Network Analysis\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are di GLYPH<11> erentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or e GLYPH<11> ects concerning sustainability. The di GLYPH<11> erence is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as 'world', 'planet', 'global', and 'climatechangeisreal', whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "Figure 10. Distributions of changes in run-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3-4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "The rank-order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the p -values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the p -value for 2015 was 0.011; p -values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order . The rank-order correlation coe GLYPH<14> cient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the p -values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the p -value for 2015 was 0.011; p -values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order. The rank-order correlation coefficient of nodes between the two networks maintained a stable level and showed a slight climbing trend starting 2009, as shown in Figure 6a, except for 2010 and 2011, when the p -values were larger than 0.05 and no significant correlations were identified. The QAP analysis showed that the associations between the two discourses were correlated in the 10-year period (the p -value for 2015 was 0.011; p -values for all the other years were less than 0.001). Figure 6b reveals that the similarity of associations between the top 50 nodes in the two discourses fluctuated and did not show a rising trend with the correlation of nodes' rank order .\n\n\n\nFigure 6. Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 ( a ); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 ( b ). Figure 6. Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 ( a ); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 ( b ). Figure 6. Rank order correlation between hashtags in the climate change and global warming discourses from 2009 to 2018 ( a ); correlation between matrices of the climate change discourse and the global warming discourse from 2009 to 2018 ( b ).\n\n\n\n## 5. Discussion 5. Discussion 5. Discussion\n\n## 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses 5.1. Themes and Structure of the Two Discourses\n\n## 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action 5.1.1. Phenomenon vs. Mechanism of Action\n\nClimate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting different aspects of Climate change and global warming have long been two competing frameworks shaping the public's perceptions, memory, and interpretations of climate issue by highlighting di GLYPH<11> erent aspects of", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "Firstly, the period of 1986-2005 is de/fined as the baseline, of which the simulated average value is recognized as 0.61 °C above pre-industrial (the period of 1850-1900) levels; the baseline is selected according to the accessibility and operability of data, which is used for the determination of the periods with global warming by 1.5 °C and 2.0 °C and the comparison of maize yield between di/fferent periods. Secondly, the simulated values of global mean temperature in the future years are subtracted from the simulated average value of 1986-2005; then the values should be plus with 0.61 °C, which are the global warming results above pre-industrial levels; then 20 years moving average of the above results are calculated. /T\\_hirdly, the climate data of global warming by 1.5 °C is de/fined according to the principles provided in the /fi/f\\_th IPCC Assessment Report, for which it should be within 1.5-2.0 °C above pre-industrial levels at the end of the twenty-/first century; the climate data of global warming by 2.0 °C is de/fined according to the principles provided in the /fi/f\\_th IPCC Assessment Report, for which it should be within 2.0-2.5 °C above pre-industrial levels at the end of the twenty-/first century and the period of global warming by 2.0 °C should not be earlier than 2050. Finally, the climate models, scenarios and periods of global warming by 1.5 °C and 2.0 °C are separately con/firmed; the data of global warming by 1.5 °C, simulated by IPSL-CM5A-LR under RCP2.6 scenario during 2020-2039 and simulated by GFDL-ESM2M under RCP4.5 scenario during 2041-2060; the data of global warming by 2.0 °C, simulated by NorESM1-M under RCP4.5 scenario during 2060-2079 and simulated by GFDL-ESM2M under RCP6.0 scenario during 2065-2084.\n\nSimulation of maize yield using DSSAT. According to the data of global warming by 1.5 °C and 2.0 °C selected above, we simulated global maize yield changes compared with the average yield during 1986-2005 on grid level using CERES-Maize, which is part of DSSAT version 4.6 49 .\n\n/T\\_he inputs for DSSAT simulation include daily weather data, soil parameters, crop calendar data and management information. All the inputs are formatted at a 0.5° × 0.5° grid resolution which are computed by highperformance computers. Weather data is from the AgMERRA dataset, including maximum and minimum temperatures, precipitation, total radiation and humidity. Crop calendar data were from the Center for Sustainability and Global Environment (SAGE), in which the existing observations of crop planting and harvesting dates are gridded formatted at a resolution of 5 min 50 . For management information, fertilizer applications, irrigation and other management practices are required. A crop-speci/fic gridded dataset of nitrogen fertilizer application for the world was developed by integrating national and subnational fertilizer application data from a variety of sources, which is used to set up current fertilizer application rates for maize in each grid cell. Soil parameters are from the International Soil Pro/file Dataset (WISE), including soil texture, bulk density, pH, organic carbon content and fraction of calcium carbonate for each of /five 20 cm thick soil layers 51 . All the soil data is allocated to be in accordance with the request of DSSAT simulation; the missing soil parameters for organic soils were adopted from FAO soil dataset.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "- 9. Dong, W. H., Liu, Z., Liao, H., Tang, Q. H. & Li, X. E. New climate and socio-economic scenarios for assessing global human health challenges due to heat risk. Clim. Change 130 (4), 505-518 (2015).\n - 10. Brown, S. C., Wigley, T. M. L., Otto-Bliesner, B. L., Rahbek, C. & Fordham, D. A. Persistent Quaternary climate refugia are hospices for biodiversity in the Anthropocene. Nat. Clim. Change 10 , 244-248 (2020).\n - 11. Fischer, H., Amelung, D. & Said, N. /T\\_he accuracy of German citizens' con/fidence in their climate change knowledge. Nat. Clim. Change 9 , 776-780 (2020).\n - 12. Hasegawa, T. et al. Risk of increased food insecurity under stringent global climate change mitigation policy. Nat. Clim. Change 8 , 699-703 (2018).\n - 13. Lobell, D. B., Schlenker, W. & Costa-Roberts, J. Climate trends and global crop production since 1980. Science 333 , 616-620 (2011).\n\n14. UNFCCC. /T\\_he Paris Agreement. 2015, https:// unfccc. int/ proce ss- and- meeti ngs/ the- paris- agree ment/ the- paris- agree ment.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv5_ccby4license.pdf", - "query": "How did the Black Lives Matter movement influence the writing of Wikipedia articles ?", - "target_page": 5, - "target_passage": " the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people in- creased in coverage and were generated with reduced latency", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "in the type of online discourse that potentially forms the data that underpins LMs.\n\nAn important caveat is that social movements which are poorly documented and which do not receive significant media attention will not be captured at all. Media coverage can fail to cover protest events and social movements [41, 96] and can distort events that challenge state power [36]. This is exemplified by media outlets that tend to ignore peaceful protest activity and instead focus on dramatic or violent events that make for good television but nearly always result in critical coverage [81]. As a result, the data underpinning LMs stands to misrepresent social movements and disproportionately align with existing regimes of power.\n\nDeveloping and shifting frames stand to be learned in incomplete ways or lost in the big-ness of data used to train large LMs - particularly if the training data isn't continually updated. Given the compute costs alone of training large LMs, it likely isn't feasible for even large corporations to fully retrain them frequently enough to keep up with the kind of language change discussed here. Perhaps fine-tuning approaches could be used to retrain LMs, but here again, what would be required is thoughtful curation practices to find appropriate data to capture reframings and techniques for evaluating whether such fine-tuning appropriately captures the ways in which new framings contest hegemonic representations.\n\n## 4.3 Encoding Bias\n\nIt is well established by now that large LMs exhibit various kinds of bias, including stereotypical associations [11, 12, 69, 119, 156, 157], or negative sentiment towards specific groups [61]. Furthermore, we see the effects of intersectionality [34], where BERT, ELMo, GPT and GPT-2 encode more bias against identities marginalized along more than one dimension than would be expected based on just the combination of the bias along each of the axes [54, 132]. Many of these works conclude that these issues are a reflection of training data characteristics. For instance, Hutchinson et al. find that BERT associates phrases referencing persons with disabilities with more negative sentiment words, and that gun violence, homelessness, and drug addiction are overrepresented in texts discussing mental illness [61]. Similarly, Gehman et al. show that models like GPT-3 trained with at least 570GB of data derived mostly from Common Crawl 16 can generate sentences with high toxicity scores even when prompted with non-toxic sentences [53]. Their investigation of GPT2's training data 17 also finds 272K documents from unreliable news sites and 63K from banned subreddits.\n\nThese demonstrations of biases learned by LMs are extremely valuable in pointing out the potential for harm when such models are deployed, either in generating text or as components of classification systems, as explored further in §6. However, they do not represent a methodology that can be used to exhaustively discover all such risks, for several reasons.\n\nFirst, model auditing techniques typically rely on automated systems for measuring sentiment, toxicity, or novel metrics such as 'regard' to measure attitudes towards a specific demographic group [119]. But these systems themselves may not be reliable", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "- 26. Du, Y.R. Same events, di GLYPH<11> erent stories: Internet censorship in the Arab Spring seen from China. Journal. Mass Commun. Q. 2016 , 93 , 99-117. [CrossRef]\n - 27. Schuldt, J.P.; Roh, S. Media frames and cognitive accessibility: What do 'global warming' and 'climate change' evoke in partisan minds? Environ. Commun. 2014 , 8 , 529-548. [CrossRef]\n - 28. Sonnett, J. Climates of risk: A field analysis of global climate change in US media discourse, 1997-2004. Public Underst. Sci. 2010 , 19 , 698-716. [CrossRef]\n - 29. Jaspal, R.; Nerlich, B.; Van Vuuren, K. Embracing and resisting climate identities in the Australian press: Sceptics, scientists and politics. Public Underst. Sci. 2016 , 25 , 807-824. [CrossRef] [PubMed]\n - 30. Shi, W.; Chen, C.; Xiong, J.; Fu, H. What Framework Promotes Saliency of Climate Change Issues on Online Public Agenda: A Quantitative Study of Online Knowledge Community Quora. Sustainability 2019 , 11 , 1619. [CrossRef]\n - 31. Gi GLYPH<11> ord, R.; Comeau, L.A. Message framing influences perceived climate change competence, engagement, and behavioral intentions. Glob. Environ. Chang. 2011 , 21 , 1301-1307. [CrossRef]\n - 32. Jiang, H.; Qiang, M.; Zhang, D.; Wen, Q.; Xia, B.; An, N. Climate Change Communication in an Online Q&A Community: A Case Study of Quora. Sustainability 2018 , 10 , 1509.", - "page_start": 17, - "page_end": 17, - "source_file": "pubmed10.pdf" - }, - { - "text": "\n\nmost similar to the ones used in GPT-2's training data, i.e. documents linked to from Reddit [25], plus Wikipedia and a collection of books. While this was reportedly effective at filtering out documents that previous work characterized as 'unintelligible' [134], what is unmeasured (and thus unknown) is what else it filtered out. The Colossal Clean Crawled Corpus [107], used to train a trillion parameter LM in [43], is cleaned, inter alia , by discarding any page containing one of a list of about 400 'Dirty, Naughty, Obscene or Otherwise Bad Words' [p.6]. 14 This list is overwhelmingly words related to sex, with a handful of racial slurs and words related to white supremacy (e.g. swastika , white power ) included. While possibly effective at removing documents containing pornography (and the associated problematic stereotypes encoded in the language of such sites [125]) and certain kinds of hate speech, this approach will also undoubtedly attenuate, by suppressing such words as twink , the influence of online spaces built by and for LGBTQ people. 15 If we filter out the discourse of marginalized populations, we fail to provide training data that reclaims slurs and otherwise describes marginalized identities in a positive light.\n\nThus at each step, from initial participation in Internet fora, to continued presence there, to the collection and finally the filtering of training data, current practice privileges the hegemonic viewpoint. In accepting large amounts of web text as 'representative' of 'all' of humanity we risk perpetuating dominant viewpoints, increasing power imbalances, and further reifying inequality. We instead propose practices that actively seek to include communities underrepresented on the Internet. For instance, one can take inspiration from movements to decolonize education by moving towards oral histories due to the overrepresentation of colonial views in text [35, 76, 127], and curate training datasets through a thoughtful process of deciding what to put in, rather than aiming solely for scale and trying haphazardly to weed out, post-hoc, flotsam deemed 'dangerous', 'unintelligible', or 'otherwise bad'.\n\n## 4.2 Static Data/Changing Social Views\n\nA central aspect of social movement formation involves using language strategically to destabilize dominant narratives and call attention to underrepresented social perspectives. Social movements produce new norms, language, and ways of communicating. This adds challenges to the deployment of LMs, as methodologies reliant on LMs run the risk of 'value-lock', where the LM-reliant technology reifies older, less-inclusive understandings.\n\nFor instance, the Black Lives Matter movement (BLM) influenced Wikipedia article generation and editing such that, as the BLM movement grew, articles covering shootings of Black people increased in coverage and were generated with reduced latency [135]. Importantly, articles describing past shootings and incidents of police brutality were created and updated as articles for new events were created, reflecting how social movements make connections between events in time to form cohesive narratives [102]. More generally, Twyman et al. [135] highlight how social movements actively influence framings and reframings of minority narratives\n\nin the type of online discourse that potentially forms the data that underpins LMs.", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "| [102] Francesca Polletta. 1998. Contending stories: Narrative in social movements. Qualitative sociology 21, 4 (1998), 419-446. [103] Vinodkumar Prabhakaran, Ben Hutchinson, and Margaret Mitchell. 2019. Per- |\n| turbation Sensitivity Analysis to Detect Unintended Model Biases. In Proceed- ings of the 2019 Conference on Empirical Methods in Natural Language Process- |\n| arXiv:2003.08271 [cs.CL] |\n| [106] Alec Radford, Jeffrey Wu, Rewon Child, David Luan, Dario Amodei, and Ilya Sutskever. 2019. Language models are unsupervised multitask learners. Blog |\n| 21, 140 (2020), 1-67. |", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "- 53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol. Hum. Serv. 2012 , 30 , 160-185. [CrossRef]\n - 54. Yang, G. Narrative agency in hashtag activism: The case of# BlackLivesMatter. Media Commun. 2016 , 4 , 13.\n - 55. Bruns, A.; Burgess, J.E. The use of Twitter hashtags in the formation of ad hoc publics. In Proceedings of the 6th European Consortium for Political Research (ECPR) General Conference 2011, Reykjav í k, Iceland, 25-27 August 2011.\n - 56. Rzeszotarski, J.M.; Spiro, E.S.; Matias, J.N.; Monroy-Hern á ndez, A.; Morris, M.R. Is anyone out there?: Unpacking Q&A hashtags on twitter. In Proceedings of the SIGCHI Conference on Human Factors in Computing Systems, Toronto, ON, Canada, 26 April-1 May 2014; pp. 2755-2758.\n - 57. Tsur, O.; Rappoport, A. What's in a hashtag?: Content based prediction of the spread of ideas in microblogging communities. In Proceedings of the Fifth ACM International Conference on Web Search and Data Mining, Seattle, WA, USA, 8-12 February 2012; pp. 643-652.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "In this study, we characterized the di GLYPH<11> erences between two popular climate discourses and examined how two discourses evolved over a 10-year period. We did not focus on the interactions between public climate discourse and external factors. However, the evolution of climate discourse might be driven by several external forces such as scientific e GLYPH<11> orts, natural events, politics and online information (or misinformation) campaigns. The prevalence of certain climate concepts may inverse be weaponized to cause rhetorical shifts in politics and science popularization. For instance, previous studies noted that in the 2016 U.S. Presidential Election, state-supported misinformation campaigns took place to manipulate public opinion [109] and fake accounts were involved in spreading low-credibility news on Twitter [110]. How social media climate discourse reflects and interacts with other sub-systems of our society should be noticed and explored in future. More studies like [2], who examined the influence of several extreme events on public climate change perception, should be", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "Starting with who is contributing to these Internet text collections, we see that Internet access itself is not evenly distributed, resulting in Internet data overrepresenting younger users and those from developed countries [100, 143]. 12 However, it's not just the Internet as a whole that is in question, but rather specific subsamples of it. For instance, GPT-2's training data is sourced by scraping outbound links from Reddit, and Pew Internet Research's 2016 survey reveals 67% of Reddit users in the United States are men, and 64% between ages 18 and 29. 13 Similarly, recent surveys of Wikipedians find that only 8.8-15% are women or girls [9].\n\nFurthermore, while user-generated content sites like Reddit, Twitter, and Wikipedia present themselves as open and accessible to anyone, there are structural factors including moderation practices which make them less welcoming to marginalized populations. Jones [64] documents (using digital ethnography techniques [63]) multiple cases where people on the receiving end of death threats on Twitter have had their accounts suspended while the accounts issuing the death threats persist. She further reports that harassment on Twitter is experienced by 'a wide range of overlapping groups including domestic abuse victims, sex workers, trans people, queer people, immigrants, medical patients (by their providers), neurodivergent people, and visibly or vocally disabled people.' The net result is that a limited set of subpopulations can continue to easily add data, sharing their thoughts and developing platforms that are inclusive of their worldviews; this systemic pattern in turn worsens diversity and inclusion within Internet-based communication, creating a feedback loop that lessens the impact of data from underrepresented populations.\n\nEven if populations who feel unwelcome in mainstream sites set up different fora for communication, these may be less likely to be included in training data for language models. Take, for example, older adults in the US and UK. Lazar et al. outline how they both individually and collectively articulate anti-ageist frames specifically through blogging [71], which some older adults prefer over more popular social media sites for discussing sensitive topics [24]. These fora contain rich discussions about what constitutes age discrimination and the impacts thereof. However, a blogging community such as the one described by Lazar et al. is less likely to be found than other blogs that have more incoming and outgoing links.\n\nFinally, the current practice of filtering datasets can further attenuate the voices of people from marginalized identities. The training set for GPT-3 was a filtered version of the Common Crawl dataset, developed by training a classifier to pick out those documents", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## For example (unaudited):\n\n - · Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n - · For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n - · For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n - · Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## (7) Operating Leases\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | Lease payments |\n|------------------------------|------------------|\n| Year ending June 30: | |\n| 2025 | 419,791 |\n| Total minimum lease payments | $ 419,791 |\n\n## (8) Retirement Plan\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "To be specific, although 'ipcc', 'cop', and 'un' were mentioned in both discourses (yellow in Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly di GLYPH<11> erent meanings. As mentioned in the results section, these hashtags were associated with a series of scientific hashtags in the climate change discourse, appealing to global e GLYPH<11> orts. In the global warming discourse, they were clustered with 'hoax' and 'frame', showing lack of belief in climate issue facts and hesitation about global e GLYPH<11> orts. More recently, when discussions about temperature, politics, and hesitation significantly shrank in the global warming discourse, the wo discourses showed more similarities about the importance of scientific concepts according to Figure 5a,b. However, links between global e GLYPH<11> orts and scientific facts were not constructed in the global warming discourse. According to a network model for cognition, the lack of associations means fewer psychological activations will spread to", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed10.pdf" - }, - { - "text": "If the LM outputs overtly abusive language (as Gehman et al. [53] show that they can and do), then a similar set of risks arises. These include: propagating or proliferating overtly abusive views and associations, amplifying abusive language, and producing more (synthetic) abusive language that may be included in the next iteration of large-scale training data collection. The harms that could follow from these risks are again similar to those identified above for more subtly biased language, but perhaps more acute to the extent that the language in question is overtly violent or defamatory. They include the psychological harm experienced by those who identify with the categories being denigrated if they encounter the text; the reinforcement of sexist, racist, ableist, etc. ideology; followon effects of such reinforced ideologies (including violence); and harms to the reputation of any individual or organization perceived to be the source of the text.\n\nIf the LM or word embeddings derived from it are used as components in a text classification system, these biases can lead to allocational and/or reputational harms, as biases in the representations affect system decisions [125]. This case is especially pernicious for being largely invisible to both the direct user of the system and any indirect stakeholders about whom decisions are being made. Similarly, biases in an LM used in query expansion could influence search results, further exacerbating the risk of harms of the type documented by Noble in [94], where the juxtaposition of search queries and search results, when connected by negative stereotypes, reinforce those stereotypes and cause psychological harm.\n\nThe above cases involve risks that could arise when LMs are deployed without malicious intent. A third category of risk involves bad actors taking advantage of the ability of large LMs to produce large quantities of seemingly coherent texts on specific topics on demand in cases where those deploying the LM have no investment in the truth of the generated text. These include prosaic cases, such as services set up to 'automatically' write term papers or interact on social media, 23 as well as use cases connected to promoting extremism. For example, McGuffie and Newhouse [80] show how GPT-3 could be used to generate text in the persona of a conspiracy theorist, which in turn could be used to populate extremist recruitment message boards. This would give such groups a cheap way to boost recruitment by making human targets feel like they were among many like-minded people. If the LMs are deployed in this way to recruit more people to extremist causes, then harms, in the first instance, befall the people so recruited and (likely more severely) to others as a result of violence carried out by the extremists.\n\nYet another risk connected to seeming coherence and fluency involves machine translation (MT) and the way that increased fluency of MT output changes the perceived adequacy of that output [77]. This differs somewhat from the cases above in that there was an initial human communicative intent, by the author of the source language text. However, MT systems can (and frequently do) produce output that is inaccurate yet both fluent and (again, seemingly)", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv5_ccby4license.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "Concerning electrolyte solutions, what assumption makes the primitive model (PM) regarding ions?", - "target_page": 1, - "target_passage": "simple phenomenological models such as the primitive model (PM), for which the ions are assimi- lated to charged hard spheres", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina 1 , 2 , 3 , ∗ Jean-Fran¸cois Dufrˆeche 1 , 2 , 3 , † Mathieu Salanne 1 , 2 , Olivier Bernard 1 , 2 , Marie Jardat 1 , 2 , and Pierre Turq 1 , 2 1 UPMC-Universit'e Paris 06, UMR 7195, PECSA, F-75005 Paris, France 2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3 Institut de Chimie S'eparative de Marcoule (ICSM), UMR 5257 CEA-CNRS-Universit'e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C'eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, Huckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8-11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from\n\nmolecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "To overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚ A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\n\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, V ij = V (0) ij + ∆V ij , a first-order truncated expression for the free energy density of the system βf v is obtained,\n\nβf v /lessorsimilar βf (0) v + 1 2 β ∑ i,j ρ i ρ j ∫ d r g (0) ij ( r ) ∆V ij ( r ) (1)\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = ( k B T ) -1 and ρ i the concentration of species i . The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter ( σ i ) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆ V ij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g ( r ) = exp [ g MSA ( r ) -1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nΦ\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye Huckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillanMayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\n\n\nWe first used LPT for a two-component system (Na + and Cl -free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2 . 0 mol l -1 . The minimization leads to almost constant diameters on the whole range of concentration: σ 1 = 3 . 67 ˚ A and σ 2 = 4 . 78 ˚ A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0 . 1 moll -1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4 . 2 ˚ A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair β ˜ V int ( r ) is set equal to βV eff ij ( r ) for distances less than 4 ˚ A.\n\n\n\nrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n˜ V SR 3 i ( k ) = w ( k / 2) [ V SR 1 i + V SR 2 i ] ( k ) , i = 1 , 2 (2a)\n\nwhere ˜ w ( r ) is the pair probability distribution\n\n˜ ˜ V SR 33 ( k ) = ˜ w ( k / 2) 2 [ V SR 11 + V SR 22 +2 V SR 12 ] ( k ) (2b)\n\n˜ w ( r ) = K -1 0 e -β ˜ V int ( r ) (2c)\n\n˜ V int ( r ) is the internal part of the pair potential (see Fig. 3), and K 0 is the association constant, defined as:\n\nK 0 = ∫ ∞ 0 d r 4 πr 2 e -β ˜ V int ( r ) = 0 . 43 L . mol -1 (3)\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture β ˜ f ex v plus a correction term\n\nβf ex v = β ˜ f ex v -˜ ρ 3 ln K 0 , (4)\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c . (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c .\n\n\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let ˜ σ c be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σ 3 = 4 √ 2 π σ c [21].\n\n˜ ˜ Using these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚ A for MSA3 and 3.69, 4.75 and 6.19 ˚ A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l -1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "The first stage consists in calculating the McMillanMayer effective ion-ion interaction potentials V eff ij ( r ), by inverting the radial distribution functions (RDF) g ij ( r ) obtained by MD. The simulations were carried out on a box of 2000 water molecules and 48 NaCl pairs using the same interaction potentials as in reference [16]. This setup corresponds to a concentration of 0 . 64 moll -1 . NPT ensemble sampling at standard pressure and temperature was enforced, with a time step of 1 fs and a pressure bath coupling constant of 1 ps. An equilibration run of 0.25 ns was followed by a production run of 0.6 ns for five different initial configurations. The averages of the resulting RDF were then used for the potential inversion via the HNC closure [15]. These effective potentials are assumed to be concentration independent and will be used for simulations at all concentrations.\n\nSubtracting the long-range Coulombic potential V LR ij ( r ) (which depends on the dielectric constant of the solvent) from V eff ij ( r ), we obtain the short-range contribution V SR ij ( r ) to the effective potentials. These are given in Fig. 1 (species 1 and 2 refer to Na + and Cl -free ions, respectively). All the short-range potentials exhibit oscillations corresponding to the solvent layering between the ions, but this effect is particularly important for the cation-anion interaction: a considerable potential barrier ( /greaterorsimilar 2 k B T ) separates the first two attractive wells. To serve as a reference, Monte Carlo (MC) simulations were performed with these effective potentials; a comparison between MD and MC RDF is also provided in Fig. 1. The excellent agreement between both sets of RDF validates the HNC inversion procedure [17], and allows us to com-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\n\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than k B T . In addition, the perturbation term\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13 , 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives , edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1-66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79 , 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109 , 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106 , 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9 , 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96 , 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130 , 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110 , 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52 , 3730 (1995).\n\nof the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l -1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "The authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99 , 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100 , 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113 , 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359 , 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65 , 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties , vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88 , 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101 , 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\nF [ ρ l , ρ n ] = ∫ d r [ f ( ρ l , ρ n ) + ε ll 2 ( ∇ ρ l ) 2 + ε nn 2 ( ∇ ρ n ) 2 + ε nl ( ∇ ρ n ) · ( ∇ ρ l ) -µρ l ] , (4)\n\nwhere\n\nf ( ρ l , ρ n ) = kT [ ρ l ln ρ l +(1 -ρ l ) ln(1 -ρ l )] + kT [ ρ n ln ρ n +(1 -ρ n ) ln(1 -ρ n )] -2 ε ll ρ 2 l -2 ε nn ρ 2 n -4 ε nl ρ n ρ l . (5)\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µ n = δF [ ρ n , ρ l ] /δρ n ( r ) . In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µ n = µ n ( r , t ) . We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇ µ n - i.e. that the nanoparticle current is j = -M n ρ n ∇ µ n , where M n ( ρ l ) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n∂ρ n ∂t = ∇· [ M n ρ n ∇ δF [ ρ n , ρ l ] δρ n ] . (6)\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80-83]. Here, we assume that M n ( ρ l ) = α Θ s ( ρ l -0 . 5) , where Θ s ( x ) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρ l is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "∆\n\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3 . 5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n\n\nΣ ' ( ω ) = -1 2 λ n ω o Re ∫ dω ' 1 ω 2 o -ω ' 2 -iδ ω + ω ' √ ( ω + ω ' ) 2 -∆ 2 (16)\n\nObserve that Σ '' ( ω ) is no-zero only for ω < -ω o -∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ ' ( ω ) = -Σ ' ( -ω ) and Σ '' ( ω ) = Σ '' ( -ω ).\n\nFig7 shows conductivities σ ( ω ) and Kubo sums W K as a function of the dimensionless coupling λ . We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆ W K is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model - only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1 eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆ W ( ω c ) as a function of ω c . We see the same behavior as in the BCSI model in a clean limit - ∆ W ( ω c ) is positive at small frequencies, crosses zero at some ω c , passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest w c . However, in distinction to BCSI model, ∆ W ( ω c ) keeps varying with ω c up a much larger scale and saturates only at around 0 . 8 eV . In between the dip at 0 . 1 eV and 0 . 8 eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆ f ( ω c ) as evidenced by a close similarity between the behavior of the actual ∆ W and ∆ W in the absence\n\n1\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω 0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that W K in the SCS is below that in the NS. We set ω o = 40 meV , ∆ = 30 meV , λ = . 5\n\n\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W (0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω , hence the polarization bubble Π(0) = 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7\n\n\n\nc\n\n/negationslash", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 3: Fractional coverage Θ in thermal equilibrium of Ni in a (a) monovacancy, (b) divacancy I, (c) divacancy II and (d) change in resistance ∆ R per dopant site as a function of CO concentration in a background of air at room temperature and 1 bar of pressure. The reference concentration of CO is taken to be C 0 = 0.1 ppm. Note the change from linear to log scale on the y -axis at ∆ R = 10 Ω .\n\n\n\nFor a given background composition we may thus estimate the fractional coverages for each available adsorbate for a given type of doping. As an example, Fig. 3(a)-(c) shows the fractional coverage of a Ni atom occupying a monovacancy, divacancy I, and divacancy II, versus CO concentration in a background of air at room temperature and 1 bar of pressure. Due to the relatively small binding energy of N2 and H2O as compared to O2 and CO, all Ni sites will be either empty or occupied by O2 or CO. In particular, Ni in a monovacancy (top panel of Fig. 3) will be completely oxidized for all relevant CO concentrations. For the Ni occupied divacancy II structures we find the coverage of CO changes significantly around toxic concentrations ( ∼ 10 ppm).\n\nTo estimate the effect of adsorbates on the electrical conductance of doped CNTs, we first consider the change in conductance when a single molecule is adsorbed on a metal site of an otherwise pristine CNT. In Fig. 2(b) we show the calculated change in conductance relative to the metal site with no adsorbate. In contrast to the binding energies, there are no clear trends in the conductances. The sensitivity of the conductance is perhaps most clearly demonstrated by the absence of correlation between different types of vacancies, i.e. between the three panels in Fig. 2(b). Close to the Fermi level, the conductance of a perfect armchair CNT equals 2 G 0 . The presence of the metal dopant leads to several dips in the transmission function known as Fano antiresonances [20]. The position and shape of these dips depend on the d -levels of the transition metal atom, the character of its bonding to the CNT, and is further affected by the presence of the adsorbate molecule. The coupling of all these factors is very complex and makes it difficult to estimate or rationalize the value of the conductance. For the spin polarized cases, we use the spin-averaged\n\nconductances, i.e. G = ( G ↑ + G ↓ ) / 2.\n\nNext, we estimate the resistance of a CNT containing several impurities (a specific metal dopant with different molecular adsorbates). Under the assumption that the electron phasecoherence length, l φ , is smaller than the average distance between the dopants, d , we may neglect quantum interference and obtain the total resistance by adding the scattering resistances due to each impurity separately. The scattering resistance due to a single impurity is given by\n\nR s ( X ) = 1 /G ( X ) -1 / ( 2 G 0 ) , (6)\n\nwhere G ( X ) is the Landauer conductance of the pristine CNT with a single metal dopant occupied by molecule X and 1 / ( 2 G 0 ) is the contact resistance of a (6,6) CNT.\n\nWe may now obtain the total resistance per dopant site relative to the reference background signal as a function of the target molecule concentration\n\n∆ R N ≈ ∑ X R s ( X )(Θ[ X,C ] -Θ[ X,C 0 ]) , (7)\n\nwhere N is the number of dopants, Θ[ X,C ] is the fractional coverage of species X at concentration C of the target and C 0 is the reference concentration. Notice that the contact resistance drops out as we evaluate a change in resistance.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2648.pdf", - "query": "What is the principle of the liquid perturbation theory (LPT) ?", - "target_page": 2, - "target_passage": "The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the differ- ence between them treated as a perturbation in the ref- erence potential", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "The authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99 , 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100 , 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113 , 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359 , 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65 , 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties , vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88 , 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101 , 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n## B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78-83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρ l and the nanoparticles ρ n . The densities ρ l and ρ n are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ ρ l , ρ n ] , and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n## A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l . The resulting three possible states of a cell are: liquid ( l = 1 , n = 0 ), nanoparticle ( l = 0 , n = 1 ), and vapour ( l = 0 , n = 0 , i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\nE = -ε nn 2 ∑ n i n j -ε nl 2 ∑ n i l j -ε ll 2 ∑ l i l j -µ ∑ i l i (3)\n\nwhere ∑ denotes a sum over nearest neighbour pairs and ε ll , ε nn and ε nl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters ε ll , ε nn , ε nl and the effective chemical potential µ determines the equilibrium state of the system. We choose ε ll as unit of energy - i.e. we set ε ll = 1 .\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\n\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, V ij = V (0) ij + ∆V ij , a first-order truncated expression for the free energy density of the system βf v is obtained,\n\nβf v /lessorsimilar βf (0) v + 1 2 β ∑ i,j ρ i ρ j ∫ d r g (0) ij ( r ) ∆V ij ( r ) (1)\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = ( k B T ) -1 and ρ i the concentration of species i . The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter ( σ i ) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆ V ij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g ( r ) = exp [ g MSA ( r ) -1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nΦ\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye Huckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillanMayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\n\n\nWe first used LPT for a two-component system (Na + and Cl -free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2 . 0 mol l -1 . The minimization leads to almost constant diameters on the whole range of concentration: σ 1 = 3 . 67 ˚ A and σ 2 = 4 . 78 ˚ A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0 . 1 moll -1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4 . 2 ˚ A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\nF [ ρ l , ρ n ] = ∫ d r [ f ( ρ l , ρ n ) + ε ll 2 ( ∇ ρ l ) 2 + ε nn 2 ( ∇ ρ n ) 2 + ε nl ( ∇ ρ n ) · ( ∇ ρ l ) -µρ l ] , (4)\n\nwhere\n\nf ( ρ l , ρ n ) = kT [ ρ l ln ρ l +(1 -ρ l ) ln(1 -ρ l )] + kT [ ρ n ln ρ n +(1 -ρ n ) ln(1 -ρ n )] -2 ε ll ρ 2 l -2 ε nn ρ 2 n -4 ε nl ρ n ρ l . (5)\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µ n = δF [ ρ n , ρ l ] /δρ n ( r ) . In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µ n = µ n ( r , t ) . We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇ µ n - i.e. that the nanoparticle current is j = -M n ρ n ∇ µ n , where M n ( ρ l ) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n∂ρ n ∂t = ∇· [ M n ρ n ∇ δF [ ρ n , ρ l ] δρ n ] . (6)\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80-83]. Here, we assume that M n ( ρ l ) = α Θ s ( ρ l -0 . 5) , where Θ s ( x ) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρ l is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 4: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles with average density ρ av n = 0 . 3 . The top row are the nanoparticle density profiles and the bottom row are the corresponding liquid density profiles at the times t/t l = 8 (left) and 80 (right), where t l = 1 /kTM nc l σ 2 . The parameters are kT/ε ll = 0 . 8 , ε nl /ε ll = 0 . 6 , ε nn = 0 , α = 0 . 4 M nc l σ 4 , M c l = 0 , ρ l ( t = 0) = 0 . 9 ± ξ (where ξ represents white noise of amplitude 0.05) and ( µ -µ coex ) /kT = -0 . 88 , where the liquid exhibits spinodal decomposition-evaporation.\n\n\n\nalso diffuse over the substrate (conserved dynamics). The conserved part is treated along the lines developed above for the nanoparticles. For the non-conserved part we assume a standard form [85], i.e., the change in time of ρ l is proportional to -( µ surf ( r , t ) -µ ) = -δF [ ρ n , ρ l ] /δρ l ( r ) where µ surf ( r , t ) is the local chemical potential of the liquid at the point r on the surface at time t . This gives the evolution equation for the liquid density\n\n∂ρ l ∂t = ∇· [ M c l ρ l ∇ δF [ ρ n , ρ l ] δρ l ] -M nc l δF [ ρ n , ρ l ] δρ l , (7)\n\nwhere we assume that the coefficients M c l and M nc l are constants.", - "page_start": 15, - "page_end": 15, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h ( x, t ) and the amount of nanoparticles per unit length h p = φh , where φ is the volume concentration of the nanoparticles. Note, that h p corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F [ h ] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93-95]\n\nη ( φ ) = η 0 ( 1 -φ φ c ) -2 (8)\n\nwhere φ c = 0 . 64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length h p = φh one obtains the following evolution equation:\n\n∂ t ( φh ) = ∇· [ φQ c ∇ δF δh ] + ∇· [ D ( φ ) h ∇ φ ] , (9)\n\nwhere the particle concentration dependent diffusion coefficient D ( φ ) is related to the viscosity by the Einstein relation D ( φ ) = kT/ 6 πRη ( φ ) , where R is the radius of the nanoparticles [96].\n\nWe illustrate results obtained employing this thin film theory using the single example of a receding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\nf ( h ) = S LW d 2 0 h 2 + S P exp ( d 0 -h l 0 ) , (10)\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients S LW and S P , respectively, the Debye length l 0 and the Born repulsion length d 0 [57]. The resulting disjoining pressure Π = -∂ h f ( h ) allows for a stable precursor film (thickness h precursor ) and also has a second (larger) thickness ( h 0 ) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction ( x ), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "## Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λH perturbation = λ [ S j 1 · S k 1 + r ( S j 2 · S k 2 )], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of H perturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k . Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 - P jk )[0 -H cluster j -H cluster k ] -1 (1 - P jk ) can be replaced by a c -number ( -2 J cluster ) -1 . Therefore the perturbation up to second order is\n\n-λ 2 2 J cluster P jk ( H perturbation ) 2 P jk\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes ( a, b = x, y, z ),\n\n-λ 2 2 J cluster ∑ a,b [ P j S a j 1 S b j 1 P j · P k S a k 1 S b k 1 P k +2 r P j S a j 1 S b j 2 P j · P k S a k 1 S b k 2 P k + r 2 P j S a j 2 S b j 2 P j · P k S a k 2 S b k 2 P k ]\n\nThen use the fact that P j S a j/lscript S b jm P j = δ ab (1 / 3) P j ( S j/lscript · S jm ) P j by spin rotation symmetry, the perturbation becomes\n\n-λ 2 6 J cluster [ 9 + 9 r 2 16 +2 r P jk ( S j 1 · S j 2 )( S k 1 · S k 2 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 16 +( r/ 2) τ x j τ x k -r/ 2 -r P jk ( S j 1 · S j 2 + S k 1 · S k 2 ) P jk ] .\n\nSo we can choose -( r λ 2 ) / (12 J cluster ) = -J x , and include the last intra-cluster S j 1 · S j 2 + S k 1 · S k 2 term in the first order perturbation.\n\nThe perturbation on x -links is then (not unique),\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 )\n\nwith λ x = √ 12 | J x | · J cluster , and r = sgn( J x ) is the sign of J x . The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on y -links, λH perturbation = λ [ S j 1 · ( S k 3 -S k 4 ) + r S k 1 · ( S j 3 -S j 4 )]. Following similar procedures we get the second order perturbation from this term\n\n-λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r P jk [ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] P jk -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r (3 / 4) τ y j τ y k -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ]\n\nSo we can choose -( r λ 2 ) / (4 J cluster ) = -J y , and include the last intra-cluster S k 3 · S k 4 + r 2 S j 3 · S j 4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y -links (not unique),\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster , r = sgn( J y ) is the sign of J y . The τ z j τ z k term is again more difficult to get. We use the representation of τ z by spin-chirality (6). And consider the following perturbation\n\nH perturbation = S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\nλ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 -P jk ) × [0 -H cluster j -H cluster k ] -1 × (1 -P jk ) S j 2 · ( S k 3 × S k 4 ) P jk", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "- [81] A. J. Archer and M. Rauscher, 'Dynamical density functional theory for interacting brownian particles: Stochastic or deterministic?' J. Phys. A-Math. Gen. 37 , 9325-9333 (2004).\n - [82] A. J. Archer and R. Evans, 'Dynamical density functional theory and its application to spinodal decomposition,' J. Chem. Phys. 121 , 4246-4254 (2004).\n - [83] P. A. Monson, 'Mean field kinetic theory for a lattice gas model of fluids confined in porous materials,' J. Chem. Phys. 128 , 084701 (2008).\n - [84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics , Cambridge University Press (1997).\n - [85] J. S. Langer, 'An introduction to the kinetics of first-order phase transitions,' in C. Godreche, editor, 'Solids far from Equilibrium,' pages 297-363, Cambridge University Press (1992).\n - [86] M. A. Spaid and G. M. Homsy, 'Stability of Newtonian and viscoelastic dynamic contact lines,' Phys. Fluids 8 , 460-478 (1996).\n - [87] U. Thiele and E. Knobloch, 'Front and back instability of a liquid film on a slightly inclined plate,' Phys. Fluids 15 , 892-907 (2003).\n - [88] M. R. E. Warner, R. V. Craster, and O. K. Matar, 'Surface patterning via evaporation of ultrathin films containing nanoparticles,' J. Colloid Interface Sci. 267 , 92-110 (2003).\n - [89] O. K. Matar, R. V. Craster, and K. Sefiane, 'Dynamic spreading of droplets containing nanoparticles,' Phys. Rev. E 76 , 056315 (2007).\n - [90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, 'Theory for shock dynamics in particle-laden thin films,' Phys. Rev. Lett. 94 , 117803 (2005).\n - [91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, 'Shock solutions for particle-laden thin films,' SIAM J. Appl. Math. 68 , 760-783 (2008).\n - [92] R. V. Craster, O. K. Matar, and K. Sefiane, 'Pinning, retraction, and terracing of evaporating droplets containing nanoparticles,' Langmuir (2009), online available.\n - [93] D. Quemada, 'Rheology of concentrated disperse systems and minimum energy-dissipation principle I. Viscosity-concentration relationship,' Rheol. Acta 16 , 82-94 (1977).\n - [94] D. Quemada and C. Berli, 'Energy of interaction in colloids and its implications in rheological modeling,' Adv. Colloid Interface Sci. 98 , 51-85 (2002).\n - [95] J. J. Stickel and R. L. Powell, 'Fluid mechanics and rheology of dense suspensions,' Annu. Rev. Fluid Mech. 37 , 129-149 (2005).\n - [96] J. K. G. Dhont, An Introduction to Dynamics of Colloids , Elsevier, Amsterdam (1996).", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "By how much did the Hartford group's link to AARP website account concerning buisness made over the internet ?", - "target_page": 16, - "target_passage": "In 2001 the company’s link to AARP’s Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "most dynamic sources of business growth. In 2001 the company's link to AARP's Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet.\n\nBecause The Hartford quotes and issues this business online (and added online billing in 2001), acquisition and processing costs are 15 to 20 percent lower than those of traditional direct-marketing or face-toface sales. Because of this and other factors, the expense ratio for AARP business is 30 percent below that of the industry in general. And the customer renewal rate is 96 percent, versus the industry's 88 percent, making the AARP program yield some of the most profitable auto business The Hartford writes.\n\nThe relationship also has The Hartford thinking ahead toward new business and an even stronger relationship with AARP members. The Hartford can crossmarket auto insurance to homeowner's customers and homeowner's insurance to auto customers, which presents a tremendous growth opportunity. In addition,\n\nThe Hartford is committed to providing value to AARP members in many ways. An example: The Hartford and AARP work with the MIT Age Lab to produce information-available in print and on both partners' Web sites-advising AARP members about Alzheimer's disease and other forms of dementia as they affect driving ability. The information guides caregivers struggling with difficult decisions about family members' safety behind the wheel. The resource-a customer solution like no other-helps enhance the superior value The Hartford provides to AARP members.\n\nAlthough it's the most comprehensive, the AARP relationship isn't The Hartford's only affinity program. The company also has affinity arrangements with USAA and other companies. Regardless of the program's size, the affinity partners share the right qualities: strong name-brand recognition, first-class marketing and a broad and loyal customer base.\n\nIn other words, they share some of The Hartford's core attributes.\n\n", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n'P artnering' is a popular business buzzword that may vanish as quickly as it appeared. The Hartford's partnerships, on the other hand, are built for the long term and have played a major role in the company's growth and success.\n\nThe company enjoys outstanding partnerships with several of the world's top asset managers. It also values its thousands of relationships with financial intermediaries such as large broker-dealers, banks and independent financial planners-and with affinity partners who extend The Hartford's reach into large, growing markets.\n\n'A lot of people talk about having the right partners, but The Hartford views it differently from most,' says Gary Trippe, CEO of Fort Myers, Fla., propertycasualty agency Oswald, Trippe and Company, Inc. 'They look for partners who share their core values, and the relationship is based on trust and respect. It's all about compatibility.' Trippe should know. His\n\nagency writes three times as much business with The Hartford, in both personal and commercial lines, as it writes with any other insurer.\n\nMutually beneficial partnerships with successful businesses of all sizes are the foundation of The Hartford's business model.\n\nPerhaps no relationship represents shared values and shared success better than the one with AARP, which signed a new eight-year contract with The Hartford that began Jan. 1, 2002. The AARP insurance program with The Hartford is a model of affinity marketing and distribution savvy. AARP's membershipthose age 50 and over-is the fastest-growing segment of the U.S. population. Computer use among this group is growing by an estimated 20 percent per year, and the population segment respects established brands and seeks value, convenience and extraordinary service.\n\nThat right combination of factors helps make AARP's World Wide Web site one of The Hartford's", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- /H17074 J ohn Belisle, right, is senior vice president of Oswald, Trippe and Company, Inc. in Fort Myers, Fla., one of The Hartford's largest sellers of Select Customer commercial insurance. David van der Merwe, president of electronics manufacturer Saftronics, Inc., depends on him for reliable counsel, as well as products tailored to Saftronics' business.\n - /H17075 T he Hartford signed a new eightyear contract, beginning Jan.1, 2002, to continue its highly successful relationship with AARP. Property & Casualty Operations President and CEO Dave Zwiener, second from left, works closely with, left to right, Bill Farris, director, financial products, AARP Services, Inc.; Leisha Spaulding, manager, financial products, AARP Services, Inc.; and Steve Zaleznick, CEO, AARP Services, Inc.\n\n", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "## Corporate Information\n\nCorporate Headquarters\n\nThe Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\nInternet Address\n\nhttp://www.thehartford.com\n\nAnnual Meeting\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n## Form 10-K and Other Information\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n## Transfer Agent/Shareholder Records\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department-11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department-11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\nInvestor Relations\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations\n\n860-547-2537\n\nMedia Inquiries\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n## Common Stock and Dividend Information\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol 'HIG.' The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | Common Stock Price | Dividends |\n|----------------|----------------------|----------------------|-------------|\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n - /H17073 Marsh, Inc. is a major distributor of The Hartford's group benefits plans for mid-sized businessesa key growth area for The Hartford. Joe Axelrod, senior account executive, third from right, and Kevin Szott, group sales representative, far right, work in partnership with senior executives from\n\nMarsh's employee benefits practice. The team includes, left to right, Senior Vice Presidents Kerry King, Robert Lustberg, Maria McHugh and, second from right, Eric Jacobson. Szott, who is legally blind, also works with The Hartford's Team Ability, a group of company-sponsored athletes with disabilities.\n\n - /H17075 I n 2001, The Hartford introduced a new category of commercial coverage called CyberFlex, TM designed to protect small and mid-sized businesses against e-business risks such as e-mail viruses and Web site business interruption. Deirdre Barbee, The Hartford's middle market manager in Charlotte, N.C., Mike Lesniak, Charlotte regional vice president, far left, and VIP agent\n\nCameron Harris, president of Cameron M. Harris & Company, second from right, explain CyberFlex's benefits to Todd W. Mansfield, CEO of Crosland, a Charlotte property developer and a 13-year customer of The Hartford. Product innovations such as CyberFlex allow The Hartford to provide riskmanagement solutions for customers as their businesses evolve.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\nN ew technology tools made The Hartford Experiencecustomer solutions, ease of doing business and extraordinary service-more real than ever for our customers in 2001.\n\nIt was a year that saw the debut of life operations' Hartford Investor Web portal, expanded Web portals for group benefits administrators, and enhancements to technology for The Hartford's property-casualty agents and customers.\n\nHartford Investor is both a versatile personal assistant and an aid in wholesaling, especially for the independent financial planner channel. Broker-dealers and financial advisors can use it to research The Hartford's full complement of individual life and investment products, update their books of business in seconds, track daily fund performance, run financialplanning models, receive online product training, produce customized presentations and even submit business electronically.\n\nIn short, the portal allows The Hartford to bring products and functions from a variety of sources into one convenient online environment.\n\nHartford Investor has two strategic objectives: One, deepen current intermediaries' loyalty to The Hartford by extending The Hartford Experience right to their desktops. Two, expand the network of intermediaries by giving them the technological support they need to grow their businesses.\n\nMore than 153,000 licensed intermediaries-from solo advisors to members of large financial institutions-are appointed to sell The Hartford's products. Yet fewer than 60,000 actively write business for the company. The untapped potential is vast, especially among independents, the fastest-growing distribution channel and the only one in which The Hartford doesn't hold the largest market share.\n\nThat's bound to change. With Hartford Investor available on their desktops, intermediaries will have far", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "All this translates into increased shareholder value. Since 1995, our market cap has increased from $5.7 billion to $15.4 billion-an 18 percent compound annual growth rate. Our share price has increased nearly 160 percent since The Hartford became a public company. During the same period, the S&P 500 increased 89 percent, and the Dow Jones Industrial Average 97 percent.\n\nIt's no surprise that our management team is highly regarded within the financial services industry and on Wall Street. We've built a strong leadership team, complemented by more than 27,000 dedicated employees who are nurtured and energized by a culture of success. Consequently, we had a smooth leadership transition over the past year. Tom Marra succeeded Lon Smith as president of our life operations and joined our board of directors. Lon retired after a 33-year career with The Hartford, and we owe him a tremendous amount of gratitude for building a strong and successful operation.\n\nDuring 2001 we also welcomed two new members to our board of directors. Edward J. Kelly III, president and CEO of Mercantile Bankshares Corp., joined us in May, and we welcomed Charles B. Strauss, president and CEO of Unilever United States, Inc., in November.\n\nWe're well-positioned for growth in 2002. On Jan. 1 we renewed our relationship with AARP by signing a new eight-year contract to market auto and homeowner's insurance to its 35 million members. Our small-business property-casualty operation continues to grow-premiums surpassed $1.2 billion in annual sales in 2001.\n\nWe're also in a leading position to take advantage of demographic shifts and to provide estate planning and investment and insurance products to baby boomers. We are very excited, too, about our new SMART 529 ™ college savings program, which offers flexible features and numerous tax advantages. And the growing small-business market segment is a key target for our 401(k) and group-benefits businesses. In fact, with $2 billion in fully insured premiums and $106 million in net income, the Group Benefits Division (GBD) had its best year ever.\n\nAs our markets continue to grow and evolve, we stay intensely focused on the key strategies in all our businesses.\n\nSoon after the Sept. 11 attack, The Hartford Chairman, President and CEO Ramani Ayer, left foreground, joined other industry CEOs in meeting with President Bush at the White House. During the meeting, the executives assured the president of industry support as the nation recovers.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "more incentive to look to The Hartford for the right products to offer their clients.\n\nThe Hartford's Group Benefits Division's (GBD) Producer View Web portal enables group benefits brokers to manage their books of business and track commissions and premium payments online. It's also a resource for product brochures and other marketing material. GBD's Employer View portal meets benefits managers' increasing demands for self-service. In 2001 GBD added online billing capability to the portal, which also features access to forms and status reports on premium payments and claims, among other functions.\n\nThe property-casualty operation's Electronic Business Center (EBC) has transformed the way agents do business. They can obtain quotes almost instantly, check billing and loss information, track claims payments and perform a host of other daily tasks. Because it's their virtual back office, agents have more time to do what's right for them: build their business. The EBC is proving especially valuable in the high-growth smallbusiness market, where service is as important as price.\n\nThe EBC saves hours of administrative time, allowing agents to sell commercial insurance products much more profitably.\n\nThe EBC also came into its own as a decision-support tool in 2001. Among other new features, its scoring tool evaluates potential small-business customers based on factors such as the number of employees and the size and type of the business. The score helps identify businesses The Hartford is likely to accept and minimizes the complexity of agents' decisions.\n\nTechnology introduced in 2001 also enhanced customers' interaction with our personal lines operation. Computer-telephony integration (CTI) at call centers immediately directs calls to the right customer service representative based on whether the caller is an auto or homeowner's policyholder. CTI also automatically calls up the customer's record on the customer service representative's screen so service is faster and doing business is easier-the embodiment of The Hartford Experience.\n\n", - "page_start": 24, - "page_end": 24, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n - /H17073 T he Hartford's acquisition of Fortis Financial Group in 2001 enhanced the company's market share and distribution advantage. Most importantly, the acquisition brought into The Hartford's family powerful sales professionals like Allen Chinoy of Darien, Ill., left, the nation's fifthleading producer of The Hartford's variable universal life insurance. Chinoy is a vocal supporter of Hartford Investor, which makes it easier for him to show customers such as Dr. Dilip Patel how his portfolio is performing.\n - /H17075 J oe Smith, right, and Kim Connolly, left, are a brother-sister team heading Smith Brothers Insurance, Inc. of Glastonbury, Conn. These VIP agents are enthusiastic users of The Hartford's Electronic Business Center (EBC) and other technological tools for propertycasualty agents. They piloted the EBC and have given valuable feedback to Senior Commercial Underwriter Tracey Kamenash and others at The Hartford to help develop the EBC standards and navigational model.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- /H17074 B usiness Technology Solutions Manager Mike Conery and Automation Trainer Brenda Fischer, left, help agents such as Bonnie Piazza, commercial select accounts manager at Webster Insurance in Hartford, Conn., integrate The Hartford's technological\n\ntools into their sales strategies. BTSMs work out of 14 regional offices throughout the country, advising agents on the best way to use tools such as the Electronic Business Center and InterComm On the Net (ICON), a Web-based automated quoting system.\n\n## the\n\n - /H17075 K wadwo Dankyi-Ampadu, service representative, personal lines, takes customer phone calls in The Hartford's Southington, Conn., customer call center. It's one of three AARP call centers throughout the United States.\n\n", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "How many licensed intermediaries did Hartford group have in 2001 ?", - "target_page": 23, - "target_passage": "More than 153,000 licensed intermediaries", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nN ew technology tools made The Hartford Experiencecustomer solutions, ease of doing business and extraordinary service-more real than ever for our customers in 2001.\n\nIt was a year that saw the debut of life operations' Hartford Investor Web portal, expanded Web portals for group benefits administrators, and enhancements to technology for The Hartford's property-casualty agents and customers.\n\nHartford Investor is both a versatile personal assistant and an aid in wholesaling, especially for the independent financial planner channel. Broker-dealers and financial advisors can use it to research The Hartford's full complement of individual life and investment products, update their books of business in seconds, track daily fund performance, run financialplanning models, receive online product training, produce customized presentations and even submit business electronically.\n\nIn short, the portal allows The Hartford to bring products and functions from a variety of sources into one convenient online environment.\n\nHartford Investor has two strategic objectives: One, deepen current intermediaries' loyalty to The Hartford by extending The Hartford Experience right to their desktops. Two, expand the network of intermediaries by giving them the technological support they need to grow their businesses.\n\nMore than 153,000 licensed intermediaries-from solo advisors to members of large financial institutions-are appointed to sell The Hartford's products. Yet fewer than 60,000 actively write business for the company. The untapped potential is vast, especially among independents, the fastest-growing distribution channel and the only one in which The Hartford doesn't hold the largest market share.\n\nThat's bound to change. With Hartford Investor available on their desktops, intermediaries will have far", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n - /H17073 T he Hartford's acquisition of Fortis Financial Group in 2001 enhanced the company's market share and distribution advantage. Most importantly, the acquisition brought into The Hartford's family powerful sales professionals like Allen Chinoy of Darien, Ill., left, the nation's fifthleading producer of The Hartford's variable universal life insurance. Chinoy is a vocal supporter of Hartford Investor, which makes it easier for him to show customers such as Dr. Dilip Patel how his portfolio is performing.\n - /H17075 J oe Smith, right, and Kim Connolly, left, are a brother-sister team heading Smith Brothers Insurance, Inc. of Glastonbury, Conn. These VIP agents are enthusiastic users of The Hartford's Electronic Business Center (EBC) and other technological tools for propertycasualty agents. They piloted the EBC and have given valuable feedback to Senior Commercial Underwriter Tracey Kamenash and others at The Hartford to help develop the EBC standards and navigational model.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\n\n2001 Summary Annual Report\n\nThere's only\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\nIntermediary Service Award and the first-ever Life Insurance Service Award. The triple win reflected the overall excellence of The Hartford's service, a natural complement to the company's quality products. DALBAR also recognized The Hartford's mutual funds as the industry leader in several categories, including investment management.\n\nIn managing its product portfolio, The Hartford follows its own advice: think ahead and diversify. The company's earnings base derives from a variety of businesses. Diversification is a key element in managing risk and ensuring profitability-a time-tested philosophy that held especially true in 2001, as the company's other businesses evolved to anticipate changing market demands and to offer protection from new risks.\n\nThe property-casualty Business Insurance group, for example, extended its coverage to include common risks associated with e-commerce. Hartford Financial Products' (HFP) coverage continued to meet emerging risks in an extremely volatile business environment.\n\nThe Hartford helped customers manage risk by developing a new category of commercial coverage called CyberFlex. TM This targets the previously unmet needs of small and mid-sized businesses that are integrating the Internet and other communications tools into their regular operations.\n\nA 2001 survey by The Hartford revealed that 80 percent of small and mid-sized businesses weren't sure if their current insurance policies covered specific-and increasingly common-risks such as e-mail viruses, Web site business interruption and online copyright infringement. CyberFlex coverage protects middle-market and small-business policyholders against the risk of those potentially debilitating conditions.\n\nCyberFlex is part of a broad array of industryspecific coverages in The Hartford's SPECTRUM ® business-owner's policy, including protection against employment practices liability, equipment breakdown and business interruption. As the economic environment changes rapidly, The Hartford thinks ahead by providing those flexible coverages. And the company's", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "most dynamic sources of business growth. In 2001 the company's link to AARP's Web site accounted for much of the $55 million worth of auto business The Hartford generated over the Internet.\n\nBecause The Hartford quotes and issues this business online (and added online billing in 2001), acquisition and processing costs are 15 to 20 percent lower than those of traditional direct-marketing or face-toface sales. Because of this and other factors, the expense ratio for AARP business is 30 percent below that of the industry in general. And the customer renewal rate is 96 percent, versus the industry's 88 percent, making the AARP program yield some of the most profitable auto business The Hartford writes.\n\nThe relationship also has The Hartford thinking ahead toward new business and an even stronger relationship with AARP members. The Hartford can crossmarket auto insurance to homeowner's customers and homeowner's insurance to auto customers, which presents a tremendous growth opportunity. In addition,\n\nThe Hartford is committed to providing value to AARP members in many ways. An example: The Hartford and AARP work with the MIT Age Lab to produce information-available in print and on both partners' Web sites-advising AARP members about Alzheimer's disease and other forms of dementia as they affect driving ability. The information guides caregivers struggling with difficult decisions about family members' safety behind the wheel. The resource-a customer solution like no other-helps enhance the superior value The Hartford provides to AARP members.\n\nAlthough it's the most comprehensive, the AARP relationship isn't The Hartford's only affinity program. The company also has affinity arrangements with USAA and other companies. Regardless of the program's size, the affinity partners share the right qualities: strong name-brand recognition, first-class marketing and a broad and loyal customer base.\n\nIn other words, they share some of The Hartford's core attributes.\n\n", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees' new permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11, The Hartford's New York employees had their businesses back in operation by Sept. 17. Employees moved into their new permanent offices less than 60 days after the attack.\n\n\n\nour proven approach to asset management despite the stock market's vagaries. It means growing our business profitably, maintaining financial discipline, controlling expenses and providing extraordinary service to distributors and customers.\n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive DALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service Award and the first-ever Life Insurance Service Award.\n\nAs you'll read throughout this report, service means very specific-and very important-things to us. We strive to forge strong partnerships with our distributors and provide them with technological tools and outstanding products to enhance their selling efforts. These are some of the underpinnings to our solid 2001 results.\n\nDespite the challenges I've mentioned, our revenues for 2001 rose 3 percent to $15.1 billion. Total assets under management rose 8 percent to $198 billion. Operating income rose 7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of Sept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations.\n\nThe results attest to the resilience of our enterprise. With our strong and balanced portfolio of businesses, we consistently demonstrate superior financial performance. Since 1995, we've produced 13 percent annualized operating earnings-per-share growth, excluding the effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets under management. Excluding the effect of Sept. 11 and the tax benefit, operating return on equity has met or exceeded our 13 to 15 percent target every year for the past five years.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n - /H17073 Marsh, Inc. is a major distributor of The Hartford's group benefits plans for mid-sized businessesa key growth area for The Hartford. Joe Axelrod, senior account executive, third from right, and Kevin Szott, group sales representative, far right, work in partnership with senior executives from\n\nMarsh's employee benefits practice. The team includes, left to right, Senior Vice Presidents Kerry King, Robert Lustberg, Maria McHugh and, second from right, Eric Jacobson. Szott, who is legally blind, also works with The Hartford's Team Ability, a group of company-sponsored athletes with disabilities.\n\n - /H17075 I n 2001, The Hartford introduced a new category of commercial coverage called CyberFlex, TM designed to protect small and mid-sized businesses against e-business risks such as e-mail viruses and Web site business interruption. Deirdre Barbee, The Hartford's middle market manager in Charlotte, N.C., Mike Lesniak, Charlotte regional vice president, far left, and VIP agent\n\nCameron Harris, president of Cameron M. Harris & Company, second from right, explain CyberFlex's benefits to Todd W. Mansfield, CEO of Crosland, a Charlotte property developer and a 13-year customer of The Hartford. Product innovations such as CyberFlex allow The Hartford to provide riskmanagement solutions for customers as their businesses evolve.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\nT he worst of 2001 brought out the best in The Hartford's people.\n\nAs the world watched the horrors of Sept. 11, some 330 of our New York employees fled their offices in 7 World Trade Center. Though many were caught in the debris and dust from the nearby Twin Towers, all escaped safely.\n\nBy the time the 47-story 7 World Trade Center building collapsed at about 5:20 p.m., The Hartford had already arranged for temporary space in several of the company's other offices. Employees and suppliers immediately began working around the clock to get the business up and running again. Despite the destruction, back-up systems kept distributors' and customers' data secure.\n\nA hundred miles from Ground Zero, home office employees in Hartford, Conn., began shuttling equipment and supplies to our temporary offices. Some\n\nbooked Long Island Sound ferries from Connecticut to Long Island within 48 hours of the attack. Others spent the weekend driving supplies to the new locations so employees could concentrate on customers instead of on finding pens and paper. Employees and suppliers were determined to get the company, its distributors and its customers through the crisis.\n\nBy Monday, Sept. 17, all of The Hartford's business units in New York were serving customers again. Employees had new furniture, phones, servers and PCs. Distributors' and customers' access to company e-mail was never interrupted. Calls to old phone numbers were rerouted to cell phones or new office phones. Print and radio ads-along with The Hartford's Web sitegave customers instructions for filing claims quickly. Customer relationships were stronger than ever. The Hartford Experience-customer solutions, ease of doing business and extraordinary service-was never better demonstrated.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "## Financial Highlights\n\n| (in millions except for per share data) | 2001 | 2000 | 1999 |\n|-------------------------------------------|-----------|----------|----------|\n| Net income [1] | $ 507 | $ 974 | $ 862 |\n| Operating income [1] [2] | $ 724 | $ 962 | $ 837 |\n| Revenues [3] | $ 15,147 | $ 14,703 | $ 13,528 |\n| Assets under management | $ 198,047 | $182,964 | $173,425 |\n| Diluted Earnings Per Share: | | | |\n| Net income [1] | $ 2.10 | $ 4.34 | $ 3.79 |\n| Operating income [1] | $ 3.00 | $ 4.29 | $ 3.68 |\n\n- [1] 2001 includes $440 of losses ($1.85 per basic and $1.82 per diluted share) related to the September 11 terrorist attack ('September 11') and a $130 tax benefit ($0.55 per basic and $0.54 per diluted share) at Hartford Life, Inc. ('HLI').\n- [2] Operating income represents after-tax operational results excluding, as applicable, net realized capital gains or losses, extraordinary items, the cumulative effect of accounting changes and certain other items.\n- [3] 2001 includes a $91 reduction in premiums from reinsurance cessions related to September 11.\n\n\n\nNet income excluding September 11 and HLI tax benefit\n\nOperating income excluding September 11 and HLI tax benefit\n\n\n\n\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "streamlined product-development process maximizes speed-to-market so agents have the right products to sell at the right time. That's one reason why we estimate The Hartford's small-business insurance growth is five to six times the industry average.\n\nDeveloping products for a changing business environment is also a proven skill of HFP. The unit completed its first full year as part of The Hartford after our 2000 acquisition of Reliance Group Holdings, Inc.'s financial products and excess and surplus lines.\n\nIt was quite a year after quite a decade. Demand for HFP's mainstay directors and officers liability\n\ninsurance was high during the 1990s as the number of U.S. public corporations tripled. Amid the past year's corporate retrenchment, loss activity led to industrywide premium price increases of up to 30 percent. A flight to quality was inevitable under such conditions, and a strong brand and superior ratings helped HFP distance itself from lesser competitors. Even the horrific collapse of its World Trade Center headquarters couldn't hold HFP back in 2001. It renewed $43 million worth of business in September alone, fulfilling its commitment to protecting customers against uncertainty.\n\n\n\n - /H17076 A strong brand and superior ratings help Hartford Financial Products (HFP) differentiate its directors and officers liability insurance from those of competitors. HFP's Boston Regional Manager Doreen Lukowski-Rizza\n\nworks with HFP Underwriting Manager David Garrison, far right, and financial professionals such as William Gallagher Associates President and CEO Philip Edmundson, second from left, and Principal Richard Leavitt.\n\n - /H17073 H artford Investment Management Co., which specializes in fixedincome asset management, has nearly $75 billion under management. Marcie Hayden, money market trader, and Peter Perrotti, government portfolio manager, are two members of a professional organization whose annual trading volume exceeds $50 billion.", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HIG_2001.pdf", - "query": "When did the annual sherholder meeting of Hartford happen in 2002 ?", - "target_page": 38, - "target_passage": "Shareholders are cordially invited to attend The Hartford’s Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Corporate Information\n\nCorporate Headquarters\n\nThe Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\nInternet Address\n\nhttp://www.thehartford.com\n\nAnnual Meeting\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n## Form 10-K and Other Information\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n## Transfer Agent/Shareholder Records\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department-11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department-11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\nInvestor Relations\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations\n\n860-547-2537\n\nMedia Inquiries\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n## Common Stock and Dividend Information\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol 'HIG.' The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | Common Stock Price | Dividends |\n|----------------|----------------------|----------------------|-------------|\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "- /H17074 T he Hartford claims adjusters arrived in lower Manhattan within days after the Sept. 11 attack to fulfill obligations to policyholders who suffered losses. Senior Property General Adjuster Ray Davidson wrote a check on the spot for $250,000 to Wheelhouse\n\nCorp. and gave it to Wheelhouse Director Javier Flaim, left, to help the company's recovery efforts. The Burlington, Mass.-based software developer had a downtown Manhattan office that suffered extensive damage.\n\n - /H17075 A fter the Sept. 11 disaster, a team of The Hartford's home office employees set up shop in a conference room to organize some 150 employees, who delivered supplies and equipment by car and ferry to get temporary New York-area offices up and running within a week. Left to right, Leslie Cyrulik, automation project manager, corporate real estate;\n\nSarah Blount, director, client services, enterprise technologies services; Mark Gauvain, assistant vice president, property-casualty e-business; Tony Abate, vice president, IT acquisitions; Franca Lewis, assistant director, information technology; and Patrice Chandler, assistant procurement administrative manager, procurement.\n\n", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "The Hartford Chairman, President and CEO Ramani Ayer speaking at the opening of New York employees' new permanent offices in early November. Despite the destruction of their offices at 7 World Trade Center on Sept. 11, The Hartford's New York employees had their businesses back in operation by Sept. 17. Employees moved into their new permanent offices less than 60 days after the attack.\n\n\n\nour proven approach to asset management despite the stock market's vagaries. It means growing our business profitably, maintaining financial discipline, controlling expenses and providing extraordinary service to distributors and customers.\n\nWe take the last point very seriously, as evidenced by our earning a sixth consecutive DALBAR Annuity Service Award in 2001. DALBAR also awarded us the Intermediary Service Award and the first-ever Life Insurance Service Award.\n\nAs you'll read throughout this report, service means very specific-and very important-things to us. We strive to forge strong partnerships with our distributors and provide them with technological tools and outstanding products to enhance their selling efforts. These are some of the underpinnings to our solid 2001 results.\n\nDespite the challenges I've mentioned, our revenues for 2001 rose 3 percent to $15.1 billion. Total assets under management rose 8 percent to $198 billion. Operating income rose 7 percent to $1.034 billion, or $4.28 per diluted share, excluding the $440 million impact of Sept. 11 (after tax and net of reinsurance) and a $130 million tax benefit in our life operations.\n\nThe results attest to the resilience of our enterprise. With our strong and balanced portfolio of businesses, we consistently demonstrate superior financial performance. Since 1995, we've produced 13 percent annualized operating earnings-per-share growth, excluding the effects of Sept. 11 and the tax benefit in 2001, and 13 percent annualized growth in assets under management. Excluding the effect of Sept. 11 and the tax benefit, operating return on equity has met or exceeded our 13 to 15 percent target every year for the past five years.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n\n\nB A L A N C E\n\nCorning Annual Report 2002\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\nRand V. Araskog Retired Chairman and Chief Executive, ITT Corporation\n\n\n\n3-chair, 4, 5\n\n\n\n\n\n\n\nEdward J. Kelly III President and Chief Executive Officer, Mercantile Bankshares Corp. 1, 3, 4\n\n\n\n\n\n\n\nCharles B. Strauss President and Chief Executive Officer, Unilever United States, Inc.\n\n\n\n1, 3, 4\n\n - 1 Audit Committee\n - 2 Compensation and Personnel Committee\n - 3 Finance Committee\n - 4 Legal and Public Affairs Committee\n - 5 Nominating Committee\n\nH. Patrick Swygert President, Howard University\n\n2, 4-chair, 5\n\nGordon I. Ulmer Retired Chairman and Chief Executive Officer, the former Connecticut Bank and Trust Company\n\n2-chair, 3, 5\n\nPaul G. Kirk, Jr. Of Counsel to Sullivan & Worcester, law firm\n\n1, 2, 5-chair\n\nThomas M. Marra Executive Vice President, The Hartford; President and Chief Operating Officer, Life Operations\n\nRobert W. Selander President and Chief Executive Officer, MasterCard International\n\n1-chair, 2, 4\n\nDavid K. Zwiener Executive Vice President, The Hartford; President and Chief Operating Officer, Property & Casualty Operations\n\n\n\n\n\nRamani Ayer Chairman, President and Chief Executive Officer, The Hartford\n\n\n\nDina Dublon Executive Vice President and Chief Financial Officer, JP Morgan Chase & Co.\n\n1, 2, 3\n\nDonald R. Frahm Retired Chairman, President and Chief Executive Officer, The Hartford\n\n1, 3, 5", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "## Consolidated Statements of Stockholders' Equity\n\n## For the Years Ended December 31, 2004, 2003 and 2002 (In thousands)", - "page_start": 54, - "page_end": 54, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "The Hartford Financial Services Group, Inc.\n\n2001 Summary Annual Report\n\nThere's only\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\n## Consolidated Statements of Shareholders' Equity December 31, 2002, 2001 and 2000", - "page_start": 70, - "page_end": 70, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nConsolidated Balance Sheets\n\nDecember 31, 2002 and 2001", - "page_start": 67, - "page_end": 67, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## 2001 (98)\n\nJerry Aebi\n\nKaren Albornoz Cranford\n\nJeremy Allison\n\nTerry Ashton\n\nBetsy Ball\n\nGloria Bates\n\nMichelle Bender\n\nBruce Boeckman\n\nBoyce Boelen\n\nSharon Bradford\n\nVon Brinkley\n\nDeanne Brooks\n\nMarty Byrd\n\nCarlos Caraveo\n\nBiff Carter\n\nJohn Carter\n\nKeith Case\n\nMarika Chambers\n\nKristi Clemmens\n\nJohn Cook\n\nTim Cook\n\nJuanita Cooper\n\nJim Corsoro\n\nLeigh Ann Crain\n\nBrian Cunningham\n\nGarry Curry\n\nShawn Downey\n\nJeff Eager\n\nRichard Easterly\n\nTommy Edler\n\nAmanda Elam\n\nBrian Exline\n\nAlex Gallardo Jr.\n\nMatt Gambill\n\nRoy Gentry\n\nSuzie Goolsby\n\nRandy Grayson\n\nRick Green\n\nKajsa Greenhoward\n\nJackie Gross\n\nJohnny Harris\n\nJeremiah Jackson\n\nKrista Jacobson\n\nJustin Johnson\n\nKeith Johnson\n\nRob Jones\n\nJohn Kapchinske\n\nGinni Kennedy\n\nEdward Killen\n\nJulie Knox\n\nDaniel Koehn\n\nKennetta Lee\n\nJeff Lenocker\n\nJulia Lillard\n\nDarwin Lindenmuth\n\nTravis Long\n\nRita Marple\n\nJim McHenry\n\nDebbie McKee\n\nDon Messerly\n\nJ. C. Morris\n\nMelinda Neher\n\nLee Nelson\n\nKevin Newberry\n\nTim Newville\n\nDeborah O'Neal\n\nRicky Petty\n\nDianne Pickard\n\nCatherine Ratliff\n\nLynn Regouby\n\nGina Romano\n\nJohn Romine\n\nLarry Ross\n\nMike Rossiter\n\nLarry Settle\n\nDee Smith Jr.\n\nPatrick Smith\n\nChris Sorrells\n\nDennis Splan\n\nJason Stamper\n\nCindy Stevens\n\nBill Stillwell\n\nGary Stoner\n\nHoward Stout\n\nTim N. Taylor\n\nJason Thaxton\n\nAlvin Thomas\n\nRudy Thomas\n\nRobbie Thrash\n\nLarry Watters\n\nPaige Whitehead\n\nConnie Williams\n\nFreda Williams\n\nDawn Wilson\n\nBrandon Winsett\n\nMarvin Winter Jr.\n\nLarry Woodruff\n\nAmanda Young\n\n## 2002 (132)\n\nPaula Abla\n\nNicole Adams\n\nJenny Adkins\n\nRoger Aldrich\n\nJimmy Alexander\n\nBrian Babb\n\nCharlie Bagley\n\nBob Baker\n\nLynard Barrera\n\nCindy Barrios\n\nShane Barron\n\nDennis Bass\n\nJames Beavers\n\nRandy Bergen\n\nLeonard Blackwill Paul Bowyer Troy Bradford Robert Bradley Don Bredy Jim Brock Cindy Brown Kathy Brown Lynn Broyles Jason Budde Greg Burchett Aaron Bush Ernest Byrd Chris Carter Paul Childers Jackie Cooper Jr. Lori Crabtree Cary Crusinbery Jr. James Davis Trent Delano Cheryl Delzer Cathy DeGiusti Larry Dill Sherry Dixon Eldon Eagan Eric S. Edwards Michael Falen Mark Falk Shawn Fields Tom Flesher Viel Flores Justin Foust Adam Gaskill Tamara Gathers Fred Gipson Lisa Glover Cornelio Gomez David Gouker Steve Hall Melvin Harper John Henry John Hornsby John Hurst Todd Ice Bud Jackson Jay Jarvis Danny Jech Jim Jinkins Gary D. Johnson William D. Johnson Chris Jones Joe Jones Mike Kee Dax Kimble Nancy Knox Greg Kochenower Jeremie Koehn Spencer Land Steve Larman Ricky Laster Casidy Lee Ken Leedy\n\nStephen Lobaugh\n\nBilly Long\n\nShawn Marsh\n\nAndrew McCalmont\n\nMitch McNeill\n\nRichard Mieser\n\nSteve Mills\n\nSidney Mitchell\n\nClaudia Molina de Wolford\n\nNathan Morrison\n\nTodd Murphy\n\nCindy Murray\n\nJeff Newby\n\nRick Nunley\n\nJohn Ortiz\n\nDavid Parker\n\nRobert Pennel\n\nRyan Phillips\n\nSharon Pool\n\nBob Portman\n\nEric Powell\n\nMike L. Reddick\n\nRonald Reidle\n\nMartin Robertson II\n\nA.D. Robison\n\nRandy Rodrigue\n\nVern Roe Jr.\n\nDanny Schmidt\n\nKary Schneberger\n\nStacy Settles\n\nDewayne Shaw\n\nMichael Sherwood\n\nWill Shisler\n\nGreg Skiles\n\nChad Smith\n\nRobin Smith\n\nMaria Strain\n\nJosh Swift\n\nChris Townsend\n\nMichelle Townsend\n\nRyan Turner\n\nRodney Vaeth\n\nFred Vasquez\n\nRuben Vega Jr.\n\nAl Warner\n\nJames Warner\n\nMichael Weese\n\nHazel Welch\n\nLeslie Wertz\n\nEddie Whitehead\n\nJohn Wilken\n\nGary Willeford\n\nMark Willson\n\nJerry Wilson\n\nRobert A. Wilson\n\nRoy Wilson\n\n## 2003 (211)\n\nRonald Aaron\n\nPat Abla Corky Baker Staci Barentine-Bogle Charlie Bateman Mike Bechtel John Biggs\n\nTammi Bradford", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change, to what corresponds the \"average length of flood events ?", - "target_page": 11, - "target_passage": "The average length of flood events (number of days in which the cumulative daily rainfall excess is positive, compared to the 95th percentile of the baseline", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "-\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2-4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at\n\nHadGEM2-ES\n\n\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "ensemble mean\n\nIPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 6. Simulated changes in the average length of /flood events (number of days in which the cumulative daily rainfall excess is positive, compared with the 95th percentile in 1981-2010, at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\nensemble meanIPSL-CM5A-LR\n\n\n\n\n\n\n\n\n\nGFDL-ESM2M\n\n\n\nMIROC-ESM-CHEM\n\n\n\nFigure 7. Hunger and Climate Vulnerability Index calculated for simulated climate states at 2 ° C global warming for /five individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean.\n\n\n\n\n\nchange in length of average flood event (days)\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 5. Simulated changes in the annual maximum rainfall over 5 days relative to 1981-2010, at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.\n\n\n\nHadGEM2-ES\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 1. Hunger and Climate Vulnerability Index for 1981-2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n\n\nTable 2. Proxies for /flood and drought events used in the HCVI.\n\n| extreme weather event | description of proxy |\n|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| average length of /flood events | number of days in which the cumulative daily rainfall excess is positive, compared with the 95th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n| average length of drought events | number of days in which the cumulative daily rainfall de/ficit is positive, compared with the 20th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 13. Global mean percentage changes relative to 1981-2010 in ( a ) precipitation over land, ( b )meanrun-o/ff/flows,( c )low run-o/ff lows (10th percentile), at 2 ° Cand1.5 ° C global warming.\n\n\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows-increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0Figure 9. Changesinrun-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under six climate simulations at 2 ° C global warming. ( a ) Ensemble mean and ( b ) percentage of models agreeing on increased /flow.\n\n\n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows where changes in mean flows were small. Changes in high run-off show similar patterns and magnitudes to those in mean run-off.\n\nThe simulated changes in both mean and low run-off flows show substantial differences among the six simulations (figures 10 and 11). In most basins examined here, the range of outcomes include both increases and decreases in mean and low flows for any particular basin, but generally with the largest proportion simulating increases in both mean and low flows. In a few cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed entirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the projected flow increases in the Ganges for 2°C global warming ranging from approximately 30% to more than 110%.\n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, Orange, Danube and Guadiana basins where the range of projected extends more towards decreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C global warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C global warming for these basins.\n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the Niger, the range of mean flow changes extended more towards increases whereas the range of low flow changes extended more towards decreases.\n\n## (b) Impacts at 1.5 ° Cglobalwarmingcomparedto2 ° C\n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and run-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; figures 12 and 13). The exceptions to these are mean and low run-off which each show one instance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing larger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two GWLs do not overlap-the change at 2°C in all members is larger than the change at 1.5°C in\n\n\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 10. Distributions of changes in run-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3-4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 11. Distributions of changes in run-o/ff for low /flows (/flows for lowest 10% of time) simulated by the JULES ecosystemhydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nTable 6. Global mean changes at 1.5 ° C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the /flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-o/ff (Rmean) and low run-o/ff (Rlow).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "A detailed investigation of these factors is beyond the scope of this paper; nevertheless, this result illustrates the important point that the nature and patterns of the climate forcing at a particular level of global warming can play an important role in determining the patterns of regional impacts.\n\n## 5. Conclusion\n\nThe higher-resolution HadGEM3 simulations project consistent increases in temperature-related extremes, with larger changes at 2°C compared to 1.5°C and local changes being larger than the global annual mean. There is a higher degree of spatial variation in our projections compared with CMIP5-based studies.\n\nIn the model projections examined here, changes relating to the water cycle are complex, both in their geographical pattern and in the variation between different models. The length of flooding events generally increases across world in all models, but maximum rainfall can either increase or decrease depending on locations. Global patterns of increase and decrease show some consistency between the different GWLs, but also some local differences. Worldwide, most impacts broadly tend to increase with global warming in most areas. For global mean changes, even when the sign of change is uncertain, individual realizations generally show reduced impact at 1.5°C compared with 2°C. However, this does not always hold even at the scale of major global river basins.\n\nVulnerability to food insecurity increases more at 2°C global warming than 1.5°C in approximately three-quarters of countries assessed. The vulnerability increase can arise from increases in either flooding or drought. Reduced drought leads to decreased vulnerability in a limited number of cases.\n\nMost simulations here project a general increase in mean streamflow in most of the basins examined, but with a number of notable exceptions in the tropics. While flows in the Ganges are consistently projected to increase by 30-110% at 2°C, Amazon flows could either increase by 3% or decrease by 25%. Ensemble-mean changes in river flow often do not give a full impression of the magnitude of changes that may be possible, so adaptation planning in particular should not rely on ensemble-mean projections and instead consider a range of outcomes. The seasonal low streamflows also increase in many basins, but not as many as for the mean flows-many basins see decreased low flows in some or all projections.\n\nBroadly, changes in weather extremes at 1.5°C global warming could be estimated by scalingback the impacts at 2°C, if this is done with individual ensemble members rather than the ensemble mean. However, this was not always the case for impacts that depend on more complex process or interactions between more than one climate variable, such as run-off and an indicator of vulnerability to food insecurity.\n\nData accessibility.\n\nThis article has no additional data.\n\nCompeting interests. We declare we have no competing interests.\n\nFunding. This research received funding from the European Union Seventh Framework Programme FP7/20072013 under grant agreement no. 603864 (HELIX: 'High-End cLimate Impacts and eXtremes'; www. helixclimate.eu). The work of R.A.B., C.B., J.C., L.G., K.L. and K.R. was additionally supported by the Joint UK BEIS/Defra Met Office Hadley Centre Climate Programme (GA01101).\n\nAcknowledgements. The authors thank Ed Pope, Jason Lowe and Dann Mitchell for advice and discussion, Alissa Haward and Maria Pearce for project management and administration of HELIX, and two anonymous reviewers whose comments substantially improved the paper.\n\n## References\n\n - 1. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change (eds CB Field et al .), pp. 1-32. Cambridge, UK: Cambridge University Press.", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 4. Simulated changes in the number of consecutive dry days relative to 1981-2010, at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\nTable 5. Global mean changes at 2 ° C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the /flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-o/ff (Rmean) and low run-o/ff (Rlow).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "What is the projected situation of India regarding HCVI (Hunger and Climate Vulnerability Index)?", - "target_page": 12, - "target_passage": "India is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "IPSL-CM5A-LR\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0\n\n\n\nFigure 8. Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2 ° C globalwarming,for/five individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean.\n\n\n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher than any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. The implication of such HCVI values is that climate change at 2°C is projected to cause levels of vulnerability to food insecurity that are greater than any seen in the present day. For individual ensemble members, the number of countries with 'unprecedented' HCVI values at 2°C varies from three to seven. Conversely, many countries in the baseline climate have levels of vulnerability to food insecurity that are greater than those expected in other countries under 2°C global warming. This suggests that other factors are already posing greater risk for food insecurity than 2°C climate change is expected to cause in other countries, so the increased risk from climate change should not overshadow the need to reduce vulnerability to food insecurity arising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by addressing various socio-economic issues in such counties.\n\nThe JULES simulations show a general tendency towards increased run-off over approximately half of the land surface (figure 9) and the majority of the major river basins assessed (figure 10), but with large regional uncertainties including the possibility of decreased flows in many basins. The ensemble-mean change in mean streamflow shows an increase of between 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing an increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and southcentral USA, which see less than a 5% change in run-off, and the already very dry region of the Sahara Desert where the existing very small run-off become even smaller.\n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with the regions seeing an increase in mean run-off seeing a larger percentage increase in low run-off-over 75% increases over much of North America, Eastern Europe and Asia. Note that this does not necessarily imply a larger increase in absolute low flow compared to absolute mean flow, because the baseline is (by definition) smaller for low flows. In western Europe, where the changes in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5\n\nGFDL-ESM2M\n\n\n\n", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\nvulnerability to food insecurity\n\n-0.2\n\n0.2\n\n0.4\n\n0.6\n\n0\n\n0.8\n\n1.0\n\n1.2\n\n1.4\n\nFigure 18. Hunger and Climate Vulnerability Index at 1.5 ° C global warming (ensemble mean).IPSL-CM5A-LR\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\n\n\n\n\n\n\n\n\nFigure19. Di/fference in Hunger and Climate Vulnerability Index between 2 ° Cand1.5 ° Cglobalwarming,forindividualensemble members and ensemble mean.\n\n\n\n## 4. Discussion\n\nIn most cases, global mean changes at 2°C are larger than those at 1.5°C, not only for individual members but also for the ensemble as a whole. All ensemble members show increases in TXx at 2°C which are larger than all changes at 1.5°C, and same true for most other variables.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed11.pdf" - }, - { - "text": "members at any given date. Since specific levels of global warming such as 1.5°C or 2°C were reached at different times in the different ensemble members, according to the SST forcings used, any given level of global warming could be associated with different radiative forcings in different ensemble members. In any given ensemble member at any specific level of global warming, the CO 2 concentration and SSTs were the same as in the driving CMIP5 model at that GWL. Land cover was fixed in this simulation-there was no dynamic vegetation nor any time-dependent anthropogenic land use change.\n\nSome comparison of the higher-resolution atmospheric simulations with the original CMIP5 simulations, is provided by Wyser et al. [20].\n\n## (b) Temperature and precipitation extremes: the ClimPACT indices\n\nTo quantify changes in weather extremes projected in our climate simulations, we calculated a number of indices designed to be relevant to sector-specific impacts using an established methodology, ClimPACT [21](table 1)\n\n## (c) Food security: the Hunger and Climate Vulnerability Index\n\nTo assess implications of climate change for vulnerability to food insecurity, we used an adaptation of the Hunger and Climate Vulnerability Index (HCVI) [22]. The HCVI was developed by the United Nations World Food Programme to provide a country-level assessment of vulnerability to food insecurity as a result of climate-related events. We used a new iteration of the HCVI which makes use of gridded climate model projections to understand the impact of climate change on vulnerability to food insecurity, and the benefits that adaptation can bring via scenarios of adaptation investment [23]. This iteration of the HCVI only considers in-country production of food and does not account for food trade. For this reason, the HCVI is only calculated for 122 developing and least-developed countries (defined here as countries not in the OECD or EU which can be resolved by the scale of the climate model; i.e. larger than 500 km 2 ).\n\nThe index provides quantification at the national level across the globe of the scale and direction of impact of climate change on food insecurity. As such, it aims to provide the following: (i) information to help policy-makers understand the level of challenge to global food security that climate change presents; (ii) information on the geography of the impacts and help to evaluate the relative benefits of mitigation and adaptation responses.\n\nThe index is not intended to be a detailed planning tool, but aims to help planners evaluate the nature of the top-level threat to food insecurity that climate change presents, thereby supporting prioritization of effort.\n\nThe HCVI consists of three equally weighted components: exposure to climate-related hazards, sensitivity of national agricultural production to climate-related hazards, and adaptive capacitya measure of a country's ability to cope with climate-related food shocks. The sensitivity and adaptive capacity components are based on data from the World Bank, World Resources Institute,", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 13. Global mean percentage changes relative to 1981-2010 in ( a ) precipitation over land, ( b )meanrun-o/ff/flows,( c )low run-o/ff lows (10th percentile), at 2 ° Cand1.5 ° C global warming.\n\n\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows-increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 1. Hunger and Climate Vulnerability Index for 1981-2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n\n\nTable 2. Proxies for /flood and drought events used in the HCVI.\n\n| extreme weather event | description of proxy |\n|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| average length of /flood events | number of days in which the cumulative daily rainfall excess is positive, compared with the 95th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n| average length of drought events | number of days in which the cumulative daily rainfall de/ficit is positive, compared with the 20th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 5. Simulated changes in the annual maximum rainfall over 5 days relative to 1981-2010, at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.\n\n\n\nHadGEM2-ES\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "rsta.royalsocietypublishing.org\n\n## Research\n\n\n\n\n\nCite this article: Betts RA et al . 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° Cand2 ° C global warming with a higher-resolution global climate model. Phil. Trans. R. Soc. A 376 : 20160452.\n\nhttp://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted:13February2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5 ° C above pre-industrial levels'.\n\n## Subject Areas:\n\nclimatology, hydrology\n\n## Keywords:\n\n1.5 ° C, Paris Agreement, 2 ° C, global climate impacts, water resources, terrestrial ecosystems\n\n## Author for correspondence:\n\nRichard A. Betts\n\ne-mail: richard.betts@meto/ffice.gov.uk\n\n\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° C and 2 ° C global warming with a higher-resolution global climate model\n\nRichard A. Betts 1,2 , Lorenzo Al/fieri 3 , Catherine Bradshaw 2 ,JohnCaesar 2 ,LucFeyen 3 ,Pierre Friedlingstein 4 , Laila Gohar 2 , Aristeidis Koutroulis 5 , Kirsty Lewis 2 , Catherine Morfopoulos 1 , Lamprini Papadimitriou 5,6 ,KatyJ.Richardson 2 , Ioannis Tsanis 5 and Klaus Wyser 7\n\n7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\n\n\n- RAB, 0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "Model Intercomparison Project (CMIP5) ensemble, forced with the RCP8.5 concentration scenario. To provide more detailed representations of climate processes and impacts, the spatial resolution was N216 (approx. 60 km grid length in mid-latitudes), a higher resolution than the CMIP5 models. We used a set of impacts-relevant indices and a global land surface model to examine the projected changes in weather extremes and their implications for freshwater availability and vulnerability to food insecurity. Uncertainties in regional climate responses are assessed, examining ranges of outcomes in impacts to inform risk assessments. Despite some degree of inconsistency between components of the study due to the need to correct for systematic biases in some aspects, the outcomes from different ensemble members could be compared for several different indicators. The projections for weather extremes indices and biophysical impacts quantities support expectations that the magnitude of change is generally larger for 2°C global warming than 1.5°C. Hot extremes become even hotter, with increases being more intense than seen in CMIP5 projections. Precipitation-related extremes show more geographical variation with some increases and some decreases in both heavy precipitation and drought. There are substantial regional uncertainties in hydrological impacts at local scales due to different climate models producing different outcomes. Nevertheless, hydrological impacts generally point towards wetter conditions on average, with increased mean river flows, longer heavy rainfall events, particularly in South and East Asia with the most extreme projections suggesting more than a doubling of flows in the Ganges at 2°C global warming. Some areas are projected to experience shorter meteorological drought events and less severe low flows, although longer droughts and/or decreases in low flows are projected in many other areas, particularly southern Africa and South America. Flows in the Amazon are projected to decline by up to 25%. Increases in either heavy rainfall or drought events imply increased vulnerability to food insecurity, but if global warming is limited to 1.5°C, this vulnerability is projected to remain smaller than at 2°C global warming in approximately 76% of developing countries. At 2°C, four countries are projected to reach unprecedented levels of vulnerability to food insecurity.\n\nThis article is part of the theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5°C above pre-industrial levels'.\n\n## 1. Introduction\n\nThe majority of climate-change impacts assessments have tended to be framed in terms of future time horizons, e.g. impacts by the middle or end of the twenty-first century [1,2]. However, with international climate policy now largely focused on limiting warming to specific levels of global mean temperature such as 2°C [3] or 1.5°C [4], policy-relevant climate impacts assessments increasingly need to be framed in terms of such warming levels.\n\nThere are two major research questions concerning the impacts of climate change at 1.5°C and 2°C global warming, which are relevant to both mitigation and adaptation policy areas.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 9. Dong, W. H., Liu, Z., Liao, H., Tang, Q. H. & Li, X. E. New climate and socio-economic scenarios for assessing global human health challenges due to heat risk. Clim. Change 130 (4), 505-518 (2015).\n - 10. Brown, S. C., Wigley, T. M. L., Otto-Bliesner, B. L., Rahbek, C. & Fordham, D. A. Persistent Quaternary climate refugia are hospices for biodiversity in the Anthropocene. Nat. Clim. Change 10 , 244-248 (2020).\n - 11. Fischer, H., Amelung, D. & Said, N. /T\\_he accuracy of German citizens' con/fidence in their climate change knowledge. Nat. Clim. Change 9 , 776-780 (2020).\n - 12. Hasegawa, T. et al. Risk of increased food insecurity under stringent global climate change mitigation policy. Nat. Clim. Change 8 , 699-703 (2018).\n - 13. Lobell, D. B., Schlenker, W. & Costa-Roberts, J. Climate trends and global crop production since 1980. Science 333 , 616-620 (2011).\n\n14. UNFCCC. /T\\_he Paris Agreement. 2015, https:// unfccc. int/ proce ss- and- meeti ngs/ the- paris- agree ment/ the- paris- agree ment.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "-\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2-4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at\n\nHadGEM2-ES\n\n\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed11.pdf", - "query": "Regarding climate change simulation, what is JULES ?", - "target_page": 7, - "target_passage": "Impacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem–hydrology–surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In the present study, processing errors in the input data for one ensemble member, the HadGEM2-ES-driven member, caused the results to be invalid. Results for this member for the HCVI are, therefore, not presented here.\n\n## (d) Freshwater resources: run-o/ff\n\nImpacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem-hydrology-surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way, typically applied at global scales. Variants of JULES form the land surface scheme of Met Office Hadley Centre Earth System Models [26,27] and have been used to assess impacts of climate change on global terrestrial ecosystems and hydrology [28-30] within such models. JULES can also be used outside of the Earth System Model (ESM), driven by meteorological outputs of other ESMs to assess impacts of a wider range of climate projections [6,8]. Here we use a new, higher-resolution configuration of JULES on a global grid of 0.5° resolution [31].\n\nIt has been noted that hydrological impacts models driven by climate-change projections from climate models tend to give more severe drying than simulated in the climate models themselves [32-34]. This is largely attributed to the inclusion of plant stomatal closure in response to elevated CO2 in the climate model land surface schemes, which generally reduces evapotranspiration relative to climate projections without this process and hence further increases run-off/streamflow or ameliorates decreases [34]. This process is often omitted from standard hydrological models. Plant physiological responses to CO 2 are included in the JULES model, so our projections of changes in run-off here do account for this process.\n\nWe used each HadGEM3 simulation to drive JULES to simulate changes in run-off due to the effects of climate change and CO 2 rise on precipitation, evaporation and transpiration. We analysed 30 year periods centred around the year of crossing GWLs of 1.5°C and 2°C relative to pre-industrial. We examined changes in both mean flows and low flows (defined as the flows for the lowest 10% of time).\n\n## (e) Correcting biases in climate model output and implications for de/fining levels of global warming\n\nThe ClimPACT extreme weather indices, HCVI and JULES run-off simulations were all performed using outputs from the higher-resolution HadGEM3 projections described in §2a. However, there were some differences in how these data were applied, with different approaches to the treatment of systematic biases in the climate model output. For the ClimPACT analysis, it was considered important to assess changes in the raw climate model output, because this directly represents the behaviour of the model itself. The main focus was on the changes relative to the presentday baseline climate, defined as 1981-2010, with absolute values in either the baseline or the GWLs of 1.5°C and 2°C being only of secondary interest. For the HCVI and JULES run-off analyses, however, it was considered important to correct for systematic biases in the climate model output, because these can lead to unrealistic representations of the key quantities in the present-day simulation [35]. A bias-correction methodology was, therefore, applied for these two parts of the analysis, whereby the model output was adjusted to make it consistent with an observed climatology [36]. We used a multi-segment statistical bias-correction methodology for precipitation [37], and a modification of this for other variables [37].", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 10. Distributions of changes in run-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3-4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 11. Distributions of changes in run-o/ff for low /flows (/flows for lowest 10% of time) simulated by the JULES ecosystemhydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nTable 6. Global mean changes at 1.5 ° C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the /flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-o/ff (Rmean) and low run-o/ff (Rlow).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 22. Krishnamurthy PK, Lewis K, Choularton RJ. 2014 A methodological framework for rapidly assessing the impacts of climate risk on national-level food security through a vulnerability index. Glob. Environ. Change 25 , 121-132. (doi:10.1016/j.gloenvcha.2013.11.004)\n - 23. Richardson K, Lewis K, Krishnamurthy K, Kent C, Wiltshire A, Hanlon H. 2018 Food security outcomes under a changing climate: impacts of mitigation and adaptation on vulnerability to food insecurity. Clim. Change , 147 , 327-341. (doi:10.1007/s10584-018-2137-y)\n - 24. Best M et al. 2011 The joint UK land environment simulator (JULES), model description-part 1: energy and water fluxes. Geosci. Model Dev. 4 , 677-699. (doi:10.5194/gmd-4-677-2011)\n - 25. Clark D et al. 2011 The joint UK land environment simulator (JULES), model descriptionpart 2: carbon fluxes and vegetation dynamics. Geosci. Model Dev. 4 , 701-722. (doi:10.5194/ gmd-4-701-2011)\n - 26. Cox PM, Betts RA, Jones CD, Spall SA, Totterdell IJ. 2000 Acceleration of global warming due to carbon-cycle feedbacks in a coupled climate model. Nature 408 , 184-187. (doi:10.1038/ 35041539)\n - 27. Jones CD et al. 2011 The HadGEM2-ES implementation of CMIP5 centennial simulations. Geosci. Model Dev. 4 , 543-570. (doi:10.5194/gmd-4-543-2011)\n - 28. Betts RA et al. 2015 Climate and land use change impacts on global terrestrial ecosystems and river flows in the HadGEM2-ES Earth system model using the representative concentration pathways. Biogeosciences 12 , 1317. (doi:10.5194/bg-12-1317-2015)\n - 29. Falloon PD, Betts RA. 2006 The impact of climate change on global river flow in HadGEM1 simulations. Atmos. Sci. Lett. 7 , 62-68. (doi:10.1002/asl.133)\n - 30. Wiltshire A, Gornall J, Booth B, Dennis E, Falloon P, Kay G, McNeall D, McSweeney C, Betts R. 2013 The importance of population, climate change and CO2 plant physiological forcing in determining future global water stress. Glob. Environ. Change 23 , 1083-1097. (doi:10.1016/j.gloenvcha.2013.06.005)\n - 31. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2016 High-end climate change impact on European runoff and low flows - exploring the effects of forcing biases. Hydrol. Earth Syst. Sci. 20 , 1785-1808. (doi:10.5194/hess-20-1785)\n - 32. Milly PCD, Dunne KA. 2016 Potential evapotranspiration and continental drying. Nat. Clim. Change 6 , 946-949. (doi:10.1038/nclimate3046)\n - 33. Swann ALS, Hoffman FM, Koven CD, Randerson JT. 2016 Plant responses to increasing CO2 reduce estimates of climate impacts on drought severity. Proc. Natl Acad. Sci. USA 113 , 10 019-10 024. (doi:10.1073/pnas.1604581113)\n - 34. Betts RA et al. 2007 Projected increase in future river runoff through plant responses to carbon dioxide rise. Nature 448 , 1037-1042. (doi:10.1038/nature06045)\n - 35. Papadimitriou LV, Koutroulis AG, Grillakis MG, Tsanis IK. 2017 The effect of GCM biases on global runoff simulations of a land surface model. Hydrol. Earth Syst. Sci. 21 , 4379-4401. (doi:10.5194/hess-21-4379-2017)\n - 36. Sheffield J, Goteti G, Wood EF. 2006 Development of a 50-year high-resolution global dataset of meteorological forcings for land surface modeling. J. Climate 19 , 3088-3111. (doi:10.1175/JCLI3790.1)\n - 37. Grillakis MG, Koutroulis AG, Tsanis IK. 2013 Multisegment statistical bias correction of daily GCMprecipitation output. J. Geophys. Res. Atmos. 118 , 3150-3162. (doi:10.1002/jgrd.50323)\n - 38. Wartenburger R, Hirschi M, Donat MG, Greve P, Pitman AJ, Seneviratne SI. 2017 Changes in regional climate extremes as a function of global mean temperature: an interactive plotting framework. Geosci. Model Dev. 10 , 3609-3634. (doi:10.5194/gmd-10-3609-2017)", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed11.pdf" - }, - { - "text": "## 2. Methods and models\n\n## (a) Global climate simulations at 1.5 ° Cand2 ° Cglobalwarming\n\nThere are a number of ways in which 1.5°C or 2°C global warming can be defined-one could be the long-term climate state following a stabilization of warming at that level, another could be the state over a shorter period around the time of first reaching that level. Here we choose the second definition, which is what is seen first and hence needs to be adapted to. There are also a number of methods with which such changes can be assessed [10]. We take the opportunity of availability of a new set of higher-resolutions transient climate and impacts simulations, and use a time-sampling methodology [10] to assess global-scale impacts at these resolutions for the first time.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\n## PROJECTIONS OVER LAND\n\nThe land projections comprise three components:\n\n## 60KM GLOBAL PROJECTIONS\n\n20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## 25KM PROBABILISTIC PROJECTIONS\n\nCaptures natural variability and climate change . Updated models and observations. Provides seasonal scale projections.\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP09 11 . The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided 12 .\n\n## DOWNSCALED HIGH RESOLUTION PROJECTIONS\n\nDownscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX 13 .\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n - 11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n - 12 30-year means can be created using the UKCP18 PDF data\n - 13 http://www.euro-cordex.net/\n\n\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0Figure 9. Changesinrun-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under six climate simulations at 2 ° C global warming. ( a ) Ensemble mean and ( b ) percentage of models agreeing on increased /flow.\n\n\n\nand 75%, especially in the Iberian Peninsula. Southern Africa also sees a decrease in low flows where changes in mean flows were small. Changes in high run-off show similar patterns and magnitudes to those in mean run-off.\n\nThe simulated changes in both mean and low run-off flows show substantial differences among the six simulations (figures 10 and 11). In most basins examined here, the range of outcomes include both increases and decreases in mean and low flows for any particular basin, but generally with the largest proportion simulating increases in both mean and low flows. In a few cases, notably the Lena in northeast Asia and Ganges in southeast Asia, the ensemble agreed entirely or almost entirely on increased flows. Even here, the range of outcomes is large, with the projected flow increases in the Ganges for 2°C global warming ranging from approximately 30% to more than 110%.\n\nExceptions to the general picture of consensus on increasing flows are seen in the Amazon, Orange, Danube and Guadiana basins where the range of projected extends more towards decreased mean flows. Mean flows in the Amazon are projected to decline by up to 25% for 2°C global warming. For low flows, the ensemble of projections entirely gives decreased flows at 2°C global warming for these basins.\n\nThe signal of decreased flows was stronger for low flows than mean flows, and indeed in the Niger, the range of mean flow changes extended more towards increases whereas the range of low flow changes extended more towards decreases.\n\n## (b) Impacts at 1.5 ° Cglobalwarmingcomparedto2 ° C\n\nFor almost all quantities and simulations examined here, global-scale changes in extremes and run-off at 1.5°C global warming (table 6) are smaller than those compared to 2°C (table 5; figures 12 and 13). The exceptions to these are mean and low run-off which each show one instance of a smaller change at 2°C than 1.5°C, but still with a majority of simulations showing larger changes at 2°C (figure 13). For temperature-related indices, the ranges of change at the two GWLs do not overlap-the change at 2°C in all members is larger than the change at 1.5°C in\n\n\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed11.pdf" - }, - { - "text": "Rather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12-14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts-an atmosphereonly simulation requires considerably less computing time than a coupled ocean-atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean-atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "This difference in approach led to inconsistencies in the definitions of the dates of GWLs in the two parts of the study. In the extremes analysis using raw model output, the dates of passing GWLs were defined on the basis of the global mean temperatures in the driving CMIP5 models relative to those models' simulations of global mean temperature in 1870-1899 (table 3). However, in the HCVI and JULES analyses which used bias-corrected data, it was considered more appropriate for the GWLs to be defined using the warming in the observational dataset", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - }, - { - "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100-the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Which of #climatechange and #globalwarming is the most used ?", - "target_page": 5, - "target_passage": "A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained #globalwarming", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "Table 1. The top 50 central hashtags on Twitter surrounding #climatechange and #globalwarming from 2009 to 2018. The hashtag with * is explained in Appendix A in ascending alphabetical order.\n\n| No. | #Climatechange | #Climatechange | #Globalwarming | #Globalwarming |\n|-------|---------------------|------------------|---------------------|------------------|\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 1 | climate | 0.466 | climate | 0.530 |\n| 2 | environment | 0.465 | environment | 0.446 |\n| 3 | climateaction | 0.391 | science | 0.319 |\n| 4 | sustainability | 0.316 | earth | 0.296 |\n| 5 | science | 0.314 | weather | 0.280 |\n| 6 | energy | 0.283 | us * | 0.280 |\n| 7 | trump | 0.257 | trump | 0.263 |\n| 8 | us * | 0.247 | pollution | 0.256 |\n| 9 | cop21 * | 0.232 | co2 | 0.244 |\n| 10 | parisagreement * | 0.232 | green | 0.239 |\n| 11 | actonclimate * | 0.225 | tcot * | 0.229 |\n| 12 | water | 0.221 | nature | 0.213 |\n| 13 | pollution | 0.210 | news | 0.198 |\n| 14 | earth | 0.207 | energy | 0.192 |\n| 15 | green | 0.200 | climatechangeisreal | 0.187 |\n| 16 | climatechangeisreal | 0.195 | obama | 0.181 |\n| 17 | renewableenergy * | 0.194 | climateaction | 0.175 |\n| 18 | health | 0.193 | algore * | 0.174 |\n| 19 | nature | 0.187 | water | 0.171 |\n| 20 | renewables | 0.186 | agw * | 0.164 |\n| 21 | cleanenergy | 0.176 | carbon | 0.164 |\n| 22 | carbon | 0.175 | sustainability | 0.163 |", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed10.pdf" - }, - { - "text": "\n\n## Article\n\n## #Climatechange vs. #Globalwarming: Characterizing Two Competing Climate Discourses on Twitter with Semantic Network and Temporal Analyses\n\nWen Shi 1 , Haohuan Fu 1,2 , Peinan Wang 3 , Changfeng Chen 3 and Jie Xiong 4, *\n\n- 1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, Tsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); haohuan@tsinghua.edu.cn (H.F.)\n- 2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n- 3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China;\n- wpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.)\n- 4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n- * Correspondence: jie.xiong@rennes-sb.com; Tel.: + 33-(0)-2-99-54-46-79\n\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n\n\n\nAbstract: Distinct perceptions of the global climate is one of the factors preventing society from achieving consensus or taking collaborative actions on this issue. The public has not even reached an agreement on the naming of the global concern, showing preference for either 'climate change' or 'global warming', and few previous studies have addressed these two competing discourses resulting from distinct climate concerns by di GLYPH<11> erently linking numerous climate concepts. Based on the 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 and 31 December 2018, we constructed the semantic networks of the two discourses and examined their evolution over the decade. The findings indicate that climate change demonstrated a more scientific perspective and showed an attempt to condense climate discussions rather than di GLYPH<11> use the topic by frequently addressing sub-topics simultaneously. Global warming triggered more political responses and showed a greater connection with phenomena. Temporal analysis suggests that traditional political discussions were gradually fading in both discourses but more recently started to revive in the form of discourse alliance in the climate change discourse. The associations between global warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is becoming more dominant than global warming in public discussions. Although two discourses have shown more similarities in the rank order of important climate concepts, apparent disagreements continue about how these concepts are associated. These findings lay the groundwork for researchers and communicators to narrow the discrepancy between diverse climate perceptions.\n\nKeywords: climate change; global warming; semantic network analysis; temporal analysis; public discourse; Twitter\n\n## 1. Introduction\n\nThe public's distinct understanding of the cause and e GLYPH<11> ect of the global climate issue is an obstacle to joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], previous studies noticed that the public had even failed to reach an agreement on whether 'climate change' or 'global warming' is the most appropriate definition of the global climate concern [3-5]. According to the definition provided by [6], global warming describes global climate issues as a continuous increase in the average temperature of Earth's surface due to anthropogenic emissions of greenhouse gases, whereas climate change includes not only temperature rise but also a range of\n\n\n\n/gid00001", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "Table 1. Cont.\n\n| No. | #Climatechange | #Climatechange | #Globalwarming | #Globalwarming |\n|-------|------------------|------------------|------------------|------------------|\n| No. | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n## 4.2. Association Network Analysis\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are di GLYPH<11> erentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or e GLYPH<11> ects concerning sustainability. The di GLYPH<11> erence is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as 'world', 'planet', 'global', and 'climatechangeisreal', whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health\n\n2020\n\n,\n\nxx\n\n, 5\n\n5 of 22\n\n3. Methods\n\n## 3. Methods 3.1. Data Source\n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity\n\nplatform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate\n\n## 3.1. Data Source\n\nAsTwitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population. distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population.\n\n3.2. Data\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\n\n## 3.2. Data\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies. as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ). Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ). Figure 5. The sum of centrality for nodes in four clusters in the climate change discourse from 2009 to 2018 ( a ); (the sum of centrality for nodes in four clusters in the global warming discourse from 2009 to 2018 ( b ).\n\n\n\nAs the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018. As the climate change and global warming discourses evolved over the past years, their relative statuses in public discourse also changed. Although from 2009 to 2018, increasing numbers of people started to use Twitter, resulting in an overall rise in the number of tweets and hashtags, the ratio of #climatechange frequency and #globalwarming frequency still indicated the public's change in frame preference. Figure 1a displays that in 2009, the number of tweets with #climatechange was 2.69 times that of the tweets with #globalwarming, whereas the ratio significantly since 2013 and reached 13.02 in 2018. The climate change network showed a stronger ability to incorporate diverse hashtags into discussions, according to Figure 1b. In 2009, the hashtags that co-occurred with #climatechange were 2.44 times those that co-occurred with #globalwarming, and the ratio climbed to 6.36 in 2018.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed10.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the 'climate change' dataset contained the #climatechange hashtag and all the tweets in the 'global warming' dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n## 3.3. Measurement\n\n## 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for '#cimatechange redistributes #fish species at high latitudes. @\\_OScience @AarhusUni #Arctic', a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n## 3.3.2. Temporal Analysis\n\nAtemporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are di GLYPH<11> erent to represent the changes in the associations of key hashtags for each discourse.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "The correlation between climate change and global warming discourses was measured every year to observe whether the two discourses converged or diverged over time. Considering computing power limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that year were included in the calculations. First, we measured to what extent the two discourses resemble each other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags in each network were selected with a rank order according to their centrality. Then, Spearman's rank correlation coe GLYPH<14> cient was used to examine the correlation of the rank orders of the selected nodes in the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two discourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled each other in the associations between the key hashtags for each year. For every year, we obtained the union of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "Given our goal of exploring the di GLYPH<11> erence between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to di GLYPH<11> erentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained '#globalwarming'. The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a. Given our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained '#globalwarming'. The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a.\n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study. To collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study.\n\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 ( a ). The number of hashtags contained in the 'climate change' or 'global warming' datasets, and their ratio from 2009 to 2018 ( b ). Figure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 ( a ). The number of hashtags contained in the 'climate change' or 'global warming' datasets, and their ratio from 2009 to 2018 ( b ).\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "- 104. Walter, S.; De Silva-Schmidt, F.; Brüggemann, M. From 'knowledge brokers' to opinion makers: How physical presence a GLYPH<11> ected scientists' Twitter use during the COP21 climate change conference. Int. J. Commun. 2017 , 11 , 570-591.\n - 105. Peterson, T.C.; Connolley, W.M.; Fleck, J. The myth of the 1970s global cooling scientific consensus. Bull. Am. Meteorol. Soc. 2008 , 89 , 1325-1338. [CrossRef]\n - 106. Mazur, A. Global environmental change in the news: 1987-1990 vs. 1992-1996. Int. Sociol. 1998 , 13 , 457-472. [CrossRef]\n - 107. Statista. Reach of Selected Social Networks in the United States as of February 2017, by Age Group. Available online: https: // www.statista.com / statistics / 305245 / us-social-network-penetration-age-group / (accessed on 16 January 2020).\n - 108. O'Connor, B.; Balasubramanyan, R.; Routledge, B.R.; Smith, N.A. From tweets to polls: Linking text sentiment to public opinion time series. In Proceedings of the Fourth International AAAI Conference on Weblogs and Social Media, Washington, DC, USA, 23-26 May 2010.\n - 109. Zannettou, S.; Caulfield, T.; De Cristofaro, E.; Sirivianos, M.; Stringhini, G.; Blackburn, J. Disinformation warfare: Understanding state-sponsored trolls on Twitter and their influence on the web. In Proceedings of the Companion of The 2019 World Wide Web Conference, San Francisco, CA, USA, 13-17 May 2019; pp. 218-226.\n - 110. Shao, C.; Ciampaglia, G.L.; Varol, O.; Yang, K.C.; Flammini, A.; Menczer, F. The spread of low-credibility content by social bots. Nat. Commun. 2018 , 9 , 4787. [CrossRef]\n\n\n\n' 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (http: // creativecommons.org / licenses / by / 4.0 / ).", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed10.pdf" - }, - { - "text": "In the global warming network, politics was the second-largest discourse cluster (20% of the network), where 'tcot', short for 'Top Conservatives on Twitter', was the node ranked highest, and 'p2', short for 'Progressives 2.0', is also included. Several political figures, such as Obama and Al Gore, are frequently mentioned. Action toward the global climate issue was the third-largest cluster (16%), including both domestic e GLYPH<11> orts, such as 'us', 'trump', 'climatechangeisreal', 'climateaction', and 'epa', and two international items, like 'china' and 'india'. The fourth cluster (in blue) referred to emissions, including hashtags like 'co2', 'green', and 'carbon'. The smallest cluster (8%) was composed of 'snow', 'winter', 'heatwave', and 'summer', referring to the temperature abnormalities on the earth.\n\n## 4.3. Temporal Analysis of the Associations in the Two Discourses\n\nThe online presentations of the climate change and global warming discourses are dynamic. As shown in Table 2, for the global warming discourse, 11 key concepts remained in the top 50 central hashtags each year for all 10 years, with 16 for the climate change'discourse. By comparing the 11 nodes of the global warming discourse and the 16 nodes of the climate change discourse, we found that the two lists shared nine concepts. We found 'pollution' and 'earth' were unique to the keyword list of the global warming discourse, and 'economy', 'water', 'china', 'coal', 'solar', 'sustainability', and 'food' only occurred on the critical list for the climate change discourse.\n\nTable 2. Hashtags that remained on the top 50 list for the climate change or the global warming discourse from 2009 to 2018.\n\n| | Unique | Shared |\n|-------------------------------|---------------------------------------------------------------------------|---------------------------------------------------------------------|\n| #climatechange #globalwarming | china, solar, water, food, economy, coal, sustainability pollution, earth | co2, news, carbon, green, climate, us, energy, science, environment |\n\nFigures 3 and 4 show the overall evolution of critical hashtags' associations in the 10-year period, where the nodes in the 10 graphs are located in the same position but the strength of associations varies across longitudinal time. Vector graphics with the label of nodes are provided in the Supplementary Materials. Four themes were identified in each discourse according to the nodes' associations. To more explicitly demonstrate the relative importance of each cluster in each year, we calculated the sum of the degree centrality of all the nodes belonging to each cluster and their change in centrality over the 10 years, as shown in Figure 5.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "Is the #climateaction hashtag more bound the #globalwarming of #climatechange ?", - "target_page": 7, - "target_passage": "In the #climatechange network, “climateaction” was ranked third place and “sustainability” was ranked fourth place, whereas they were ranked significantly lower, 17th and 22nd, respectxively, in the #globalwarming network", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Table 1. The top 50 central hashtags on Twitter surrounding #climatechange and #globalwarming from 2009 to 2018. The hashtag with * is explained in Appendix A in ascending alphabetical order.\n\n| No. | #Climatechange | #Climatechange | #Globalwarming | #Globalwarming |\n|-------|---------------------|------------------|---------------------|------------------|\n| | Hashtag | Centrality | Hashtag | Centrality |\n| 1 | climate | 0.466 | climate | 0.530 |\n| 2 | environment | 0.465 | environment | 0.446 |\n| 3 | climateaction | 0.391 | science | 0.319 |\n| 4 | sustainability | 0.316 | earth | 0.296 |\n| 5 | science | 0.314 | weather | 0.280 |\n| 6 | energy | 0.283 | us * | 0.280 |\n| 7 | trump | 0.257 | trump | 0.263 |\n| 8 | us * | 0.247 | pollution | 0.256 |\n| 9 | cop21 * | 0.232 | co2 | 0.244 |\n| 10 | parisagreement * | 0.232 | green | 0.239 |\n| 11 | actonclimate * | 0.225 | tcot * | 0.229 |\n| 12 | water | 0.221 | nature | 0.213 |\n| 13 | pollution | 0.210 | news | 0.198 |\n| 14 | earth | 0.207 | energy | 0.192 |\n| 15 | green | 0.200 | climatechangeisreal | 0.187 |\n| 16 | climatechangeisreal | 0.195 | obama | 0.181 |\n| 17 | renewableenergy * | 0.194 | climateaction | 0.175 |\n| 18 | health | 0.193 | algore * | 0.174 |\n| 19 | nature | 0.187 | water | 0.171 |\n| 20 | renewables | 0.186 | agw * | 0.164 |\n| 21 | cleanenergy | 0.176 | carbon | 0.164 |\n| 22 | carbon | 0.175 | sustainability | 0.163 |", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed10.pdf" - }, - { - "text": "## 5.1.3. Discourse Structure\n\nIn the discourse surrounding #climatechange, 'environment', 'energy', and 'global action' represented the themes of the three largest clusters in the network. However, three popularly recurring hashtags, '#environment', '#energy', and '#climateaction', did not belong to any of the three clusters above, but formed another small tight cluster together, sitting in the most central part of the semantic network, as shown in Figure 2b. As each of the three hashtags can almost represent one sub-theme of the climate change topic and these three hashtags were tightly bundled might indicate an attempt by #climatechange users to address all three communities together [91], consolidating climate change as a topic rather than a loosely organized topic. Previous communication studies also confirmed hashtags' function of serving as a hybrid forum [68], where heterogeneous individuals coordinate to solve", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "Figure 3 depicts the associations of hashtags in the climate change discourse for each year from 2009 to 2018. The scientific hashtags cluster (in green) was the most important theme in the climate change discourse, especially more recently. However, some scientific hashtags, such as 'ghg' (greenhouse gas), 'co2', and 'forests', were not identified in the scientific cluster but in the global actions cluster (in yellow) because these hashtags were frequently used in the global action context and identified with a closer semantic association to global action by Gephi. In addition to these hashtags, the global action cluster included a series of international activities, such as 'ipcc' (Intergovernmental Panel on Climate Change), 'unfccc' (United Nations Framework Convention on Climate Change), and 'cop' (Conferences of the Parties) for almost every year. The blue cluster includes to political hashtags, such as 'uniteblue', 'sgp', 'p2', and 'tcot'. In 2017 and 2018, the associations with political hashtags disappeared among the top 50 hashtags. The small red cluster had a mixed theme, combining 'technology', 'innovation', 'education', 'africa', 'healthcare', and 'politics'. The centrality sum of the nodes in the red cluster remained rather low throughout the 10-year period but obviously increased in the last two years of the period according to Figure 5a.\n\nFigure 4 describes the evolution of concepts' associations in the global warming discourse during the 10 years. The red cluster included concepts such as '2012', 'hot', 'summer', 'elnino', and 'snow', describing the weather abnormalities related to global warming. A notable finding is that before 2012, global warming's association with temperature abnormalities and extreme weather was not salient,", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed10.pdf" - }, - { - "text": "\n\n## Article\n\n## #Climatechange vs. #Globalwarming: Characterizing Two Competing Climate Discourses on Twitter with Semantic Network and Temporal Analyses\n\nWen Shi 1 , Haohuan Fu 1,2 , Peinan Wang 3 , Changfeng Chen 3 and Jie Xiong 4, *\n\n- 1 Ministry of Education Key Laboratory for Earth System Modeling, Department of Earth System Science, Tsinghua University, Beijing 100084, China; shi-w18@mails.tsinghua.edu.cn (W.S.); haohuan@tsinghua.edu.cn (H.F.)\n- 2 National Supercomputing Center in Wuxi, Wuxi 214000, China\n- 3 School of Journalism and Communication, Tsinghua University, Beijing 100084, China;\n- wpn17@mails.tsinghua.edu.cn (P.W.); chencf@mail.tsinghua.edu.cn (C.C.)\n- 4 Strategy and Innovation Department, Rennes School of Business, 35065 Rennes, France\n- * Correspondence: jie.xiong@rennes-sb.com; Tel.: + 33-(0)-2-99-54-46-79\n\nReceived: 5 December 2019; Accepted: 3 February 2020; Published: 7 February 2020\n\n\n\nAbstract: Distinct perceptions of the global climate is one of the factors preventing society from achieving consensus or taking collaborative actions on this issue. The public has not even reached an agreement on the naming of the global concern, showing preference for either 'climate change' or 'global warming', and few previous studies have addressed these two competing discourses resulting from distinct climate concerns by di GLYPH<11> erently linking numerous climate concepts. Based on the 6,662,478 tweets containing #climatechange or #globalwarming generated between 1 January 2009 and 31 December 2018, we constructed the semantic networks of the two discourses and examined their evolution over the decade. The findings indicate that climate change demonstrated a more scientific perspective and showed an attempt to condense climate discussions rather than di GLYPH<11> use the topic by frequently addressing sub-topics simultaneously. Global warming triggered more political responses and showed a greater connection with phenomena. Temporal analysis suggests that traditional political discussions were gradually fading in both discourses but more recently started to revive in the form of discourse alliance in the climate change discourse. The associations between global warming and weather abnormalitiessuddenly strengthened around 2012. Climate change is becoming more dominant than global warming in public discussions. Although two discourses have shown more similarities in the rank order of important climate concepts, apparent disagreements continue about how these concepts are associated. These findings lay the groundwork for researchers and communicators to narrow the discrepancy between diverse climate perceptions.\n\nKeywords: climate change; global warming; semantic network analysis; temporal analysis; public discourse; Twitter\n\n## 1. Introduction\n\nThe public's distinct understanding of the cause and e GLYPH<11> ect of the global climate issue is an obstacle to joint mitigation actions. In addition to a diversity of views co-existing in the public discourse [1,2], previous studies noticed that the public had even failed to reach an agreement on whether 'climate change' or 'global warming' is the most appropriate definition of the global climate concern [3-5]. According to the definition provided by [6], global warming describes global climate issues as a continuous increase in the average temperature of Earth's surface due to anthropogenic emissions of greenhouse gases, whereas climate change includes not only temperature rise but also a range of\n\n\n\n/gid00001", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed10.pdf" - }, - { - "text": "To be specific, although 'ipcc', 'cop', and 'un' were mentioned in both discourses (yellow in Figures 3 and 4) in earlier years, the clusters to which they belonged had significantly di GLYPH<11> erent meanings. As mentioned in the results section, these hashtags were associated with a series of scientific hashtags in the climate change discourse, appealing to global e GLYPH<11> orts. In the global warming discourse, they were clustered with 'hoax' and 'frame', showing lack of belief in climate issue facts and hesitation about global e GLYPH<11> orts. More recently, when discussions about temperature, politics, and hesitation significantly shrank in the global warming discourse, the wo discourses showed more similarities about the importance of scientific concepts according to Figure 5a,b. However, links between global e GLYPH<11> orts and scientific facts were not constructed in the global warming discourse. According to a network model for cognition, the lack of associations means fewer psychological activations will spread to", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed10.pdf" - }, - { - "text": "Int. J. Environ. Res. Public Health\n\n2020\n\n,\n\nxx\n\n, 5\n\n5 of 22\n\n3. Methods\n\n## 3. Methods 3.1. Data Source\n\nAs Twitter has been recognized as a popular discussion forum [75] and a social activity\n\nplatform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate\n\n## 3.1. Data Source\n\nAsTwitter has been recognized as a popular discussion forum [75] and a social activity platform [76] for climate issues, we followed the literature [5,8,18] and used tweets to investigate distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population. distinct perceptions of climate issues and evolution on social media. Although Twitter's ecosystem has been changing in terms of the number of active users, user demographics, and tweeting conventions in the past years [77,78], the problem is unavoidable for all the information ecosystems on the Internet. As Twitter is one of the most popular social websites, we defined our study as characterizing the perception of climate issues among social media users rather than all the netizens or the whole population.\n\n3.2. Data\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming,\n\n## 3.2. Data\n\nIn this research, we were interested in tweets containing either #climatechange or #globalwarming, as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies. as these two hashtags exactly correspond to climate change and global warming, respectively, the two competing definitions of climate issues. We did not follow [79] to include #AGW (anthropogenic global warming) as query hashtags in our research because we think that this refers to global warming in a defined category so cannot be regarded in parallel with the two considered hashtags. We limited the scope of the search to English-language tweets generated between 1 January 2009 and 31 December 2018. We only collected tweets containing either of the two hashtags in the body of the tweets rather than those containing these hashtags in the retweeted or quoted text, as we think that retweeted text or quoted texts cannot directly represent the tweeter's usage pattern of the two terminologies.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "The correlation between climate change and global warming discourses was measured every year to observe whether the two discourses converged or diverged over time. Considering computing power limitations, only key hashtags ranked in either of the top 50 lists for the two discourses in that year were included in the calculations. First, we measured to what extent the two discourses resemble each other in the order of importance for the hashtags in each year. For every year, the top 50 hashtags in each network were selected with a rank order according to their centrality. Then, Spearman's rank correlation coe GLYPH<14> cient was used to examine the correlation of the rank orders of the selected nodes in the two discourses [84], where a high Spearman correlation indicates that the hashtags in the two discourses were ranked similarly. Secondly, we measured to what extent the two discourses resembled each other in the associations between the key hashtags for each year. For every year, we obtained the union of the two top 50 nodes lists and used the name of the nodes in the union as the row name and", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the 'climate change' dataset contained the #climatechange hashtag and all the tweets in the 'global warming' dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n## 3.3. Measurement\n\n## 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for '#cimatechange redistributes #fish species at high latitudes. @\\_OScience @AarhusUni #Arctic', a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n## 3.3.2. Temporal Analysis\n\nAtemporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are di GLYPH<11> erent to represent the changes in the associations of key hashtags for each discourse.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "For the climate change discourse, the second-largest cluster (34%) is indicated in red and focuses on the responsibility to tackle climate change, where several global action hashtags are included, such as 'un', 'parisagreement', 'cop21', and 'cop24'. The theme of the third largest cluster (20%) in the climate change discourse was energy (in blue). The smallest cluster (6%) in yellow sits in the central part of the network with a mixed theme composed of three highly ranked hashtags, including 'environment' (No. 2), 'climateaction' (No. 3), and 'energy' (No. 6).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n## 6. Conclusions\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic di GLYPH<11> erence between climate change and global warming seems subtle, the di GLYPH<11> erences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, 'global warming' is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n## Limitation and Future Directions\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30-59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed10.pdf", - "query": "What are two main reasons for one's low climate concern ?", - "target_page": 13, - "target_passage": "As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## 2. Background\n\n## 2.1. Climate Change, Global Warming, and Frames\n\nExisting studies have noted that the subtle di GLYPH<11> erence between climate change and global warming evokes di GLYPH<11> erent public cognitive responses, where global warming'indicates heat-related impacts, human causes, increased UV light penetration, ozone depletion, and the greenhouse e GLYPH<11> ect, whereas climate change is more associated with a wide range of influences on climate, including drought and agriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with ice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "issues and re-constructing them di GLYPH<11> erently. By comparing the persistent words used related to the two discourses in the 10-year period in Table 2, we think that global warming showed a relative preference toward general descriptions or slogans, such as 'earth' and 'pollution', whereas 'climate change' was more associated to specific issues like 'solar', 'coal', 'china', and 'food'.\n\nStudies have suggested that the public shows a preference for scientific publications with general keywords compared with those with complicated scientific jargon [47], lacking a deep understanding of the complicated issue [46] and the necessity for mitigation of the climate issue [47]. These conclusions seem to suit global warming more than climate change according to the current study, which is probably because climate change receives more publicity and recognition than global warming in the scientific community. In the association network shown in Figure 2, global warming was found to be more connected with temperature abnormalities. This finding is in accordance with studies reporting that short-term temperature anomalies [87] can increase the public's belief about global warming by increasing the understanding of this abstract issue [88], although scientists mostly make judgments based on long-term weather statistics [89]. However, none of the four words, 'snow', 'summer', 'winter', or 'heatwave' in the temperature theme of global warming were ranked in the top 50 nodes list of the climate change network.\n\nEven when climate change and global warming shared concern about similar topics such as the cause of the climate issue, global warming tended to focus on carbon emission phenomena, whereas climate change preferred a more in-depth perspective, highlighting the importance of global action to mitigate the climate issue in its second-largest cluster, with energy structure as the contributor to carbon emissions in its third largest cluster. As invisible causes and disbelief in actions have long been regarded as two key reasons for low climate concern [90], the two terminologies' di GLYPH<11> erences in connotations suggest that introducing these absent sub-topics into global warming discourse or highlighting climate change for its inherent connotations may help communicators raise public concern about climate.\n\n## 5.1.2. Political Connotations\n\nStudies noted that frame preference between climate change and global warming reflects individuals' ideological spectrum, where climate change and global warming were favored by the liberals and conservatives, respectively [10]. The cluster analysis of the semantic network in the current study demonstrated that global warming triggered far more political responses than climate change. The second largest cluster of global warming was politics-based, where hashtag 'tcot', favored by right-leaning users and 'p2', favored by left-leaning users, were both ranked in the list of top nodes of the global warming discourse, but neither was included in the list of top nodes of the climate change discourse. Considering that earlier findings suggested that global warming was more likely to be used by conservatives to question the reality of climate issue [11] and climate change is more commonly adopted when discussing action against the climate change issue [5], global warming had a stronger political connotation in public discussion.\n\n## 5.1.3. Discourse Structure", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed10.pdf" - }, - { - "text": "complex changes in the state of the climate [7], which may be caused by natural process, external forces, or human interventions [8]. By randomly assigning respondents to climate change or global warming questionnaires, scholars confirmed that the di GLYPH<11> erent connotations contained in the two definitions are likely to evoke distinct interpretations of the causes and impacts of the global climate issue [9], which may inhibit collaboration and joint e GLYPH<11> orts to mitigate the global challenge.\n\nPublic preference between climate change and global warming is even more apparent when considering the ideology spectrum [10]. Some scholars concluded that conservatives, who are less concerned with environmental issues, tended to use global warming as a narrative strategy because global warming has a more direct connection with temperature rise, making it easier to find contradictory cues such as freezing weather or heavy snowstorms to deny global climate change facts [11]. The associations between global warming and human activities may contribute to more controversies as well [12], connecting global warming more with the 'hoax' frame [5] and evoking greater negative sentiment [13].\n\nAlthough these existing studies have often attempted to identify the di GLYPH<11> erences between these two terminologies, only a particular few perspectives, such as sentiment, ideological preference, or cause and e GLYPH<11> ect, were examined in each study [3,9,13]. However, the associate network model introduced by psychologists suggests that human recognition and memory have a network-shaped architecture [14], where individual understanding of particular objects is connected with numerous other objects in the mind. According to the associate network model, individual understanding of the global climate concern is a network composed of numerous inter-connected concepts, in which climate change and global warming. As the two terminologies concern the primary mechanism of the global climate issue, the preference between the two understandings may represent two distinct climate discourses by di GLYPH<11> erently organizing numerous climate concepts. Examining the di GLYPH<11> erences between two discourses with an associative perspective may provide communicators with unique insights into narrowing the cognitive discrepancy. The temporal dimension was lacking in existing studies, necessitating the study of how concepts associated with each other have evolved with time.\n\nLargeamountsofuser-generateddataonsocialmedia, whichhavebeenvaluedincomputerscience, communication, and environmental studies [5,9,15-18], have enabled the acquistion of the social media representation of the two discourses in a decade. In this study, by analyzing hashtag co-occurrence patterns in 6,662,478 tweets containing 'climate change' and 'global warming' between 1 January 2009 and 31 December 2018, two semantic networks of public climate discourse were constructed to identify the critical concepts and links surrounding the two terminologies. We conducted temporal analysis to observe the evolution of the two discourses and to measure whether the discrepancy between the two has widened or narrowed within the 10-year period.\n\nTo be specific, we formulated three research questions (RQs) to be explored in this study:\n\nRQ1: What is the di GLYPH<11> erence in how the two the discourses are associated with important climate concepts in people's minds?\n\nRQ2: How did the two competing climate discourses evolve from 2009 to 2018? RQ3: Did the two competing discourses converge or diverge in this decade?\n\n## 2. Background\n\n## 2.1. Climate Change, Global Warming, and Frames", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - }, - { - "text": "make global action salient for people talking about global warming than people talking about climate change [40], even though the facts of climate issues are highly recognized in both discourses.\n\n## 6. Conclusions\n\nAs social media is gradually overtaking the role of legacy media providing a forum for public discussion, the semantic associations contained in social media discussions reflect and reinforce how individuals portray global climate issues. By examining hashtag co-occurrence patterns on Twitter between 2009 and 2018, we identified distinct climate perceptions hidden behind two competing climate discourses and discovered how these two discourses evolved.\n\nWe found that broad scientific, social, political, and international discussions are the topics of public climate discourse. Although the semantic di GLYPH<11> erence between climate change and global warming seems subtle, the di GLYPH<11> erences in their cognitive associations are not trivial. Despite some shared concerns between the two discourses, 'global warming' is more politicized and focuses more on general phenomena, especially temperature abnormalities, whereas climate change is a more compact topic with a more scientific perspective and tends to refer to specific issues. The temporal analysis revealed that traditional political discussions decreased in both discourses but climate change started to build a discourse alliance with diverse domestic issues to show political intentions. Global warming's associations to extreme events and temperature change were suddenly strengthened around 2012. Climate change is becoming dominant compared with global warming in public discussions. Although the two discourses are becoming increasingly similar in the rank order of climate concepts, a notable discrepancy still exists in the way in which they get concepts associated. These observations may provide climate communicators with theoretical and practical hints to narrow the discrepancy between diverse climate perceptions.\n\n## Limitation and Future Directions\n\nThough big data allowed us to decrease the bias by dealing with the whole set of social media data rather than samples, discrepancies still exist between social media users and the public. As most Twitter users do not disclose their age, education, income, and gender in users' profile, demographics were not introduced as moderator factors in this study. Previous studies noted that in 1970s, global cooling was a prominent climate concern amongst the public [105]. While in the 1980s, ozone layer depletion, species extinction and rainforest destruction became salient on the mass media agenda [106]. Considering the historical background of climate issues, age might influence how individuals perceive climate issues. According to the statistics in 2017 [107], only 16 % of older people (older than 60) in America use Twitter, while the proportion is 39% for people between 30-59 years old and 47% for people younger than 30 years old (Stastista, 2017). Our results reflect the climate perception of older people who use Twitter, as well as younger people amongst whom Twitter is more popular. Although some scholars reported that it is statistically reliable to take data on Twitter as a substitute and supplement for polling [108], we thought our results should be further examined before being generalized to the whole population.", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed10.pdf" - }, - { - "text": "Figure 13. Global mean percentage changes relative to 1981-2010 in ( a ) precipitation over land, ( b )meanrun-o/ff/flows,( c )low run-o/ff lows (10th percentile), at 2 ° Cand1.5 ° C global warming.\n\n\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows-increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\nFigure 2. Distribution of temperature and precipitation changes under global warming by 1.5 °C and 2.0 °C ( a ) temperature, 1.5 °C; ( b ) temperature, 2.0 °C; ( c ) precipitation, 1.5 °C; ( d ) precipitation, 2.0 °C. /T\\_he /figure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.\n\n\n\n/T\\_hird, yield shocks for maize were incorporated into the GTAP model via changes in land e/fficiency for the production of the respective in each region.\n\n## Results\n\nClimate change under global warming by ͷ.ͻ °C and ͸.Ͷ °C. /T\\_here are apparent change trends of temperature and precipitation relative to the baseline (1986-2005) under global warming by 1.5 °C and 2.0 °C. /T\\_he most remarkable characteristics is the rising of mean temperature in the worldwide (Fig. 2a, b); meanwhile, the rainfall would increase in most regions of the world. /T\\_he distributions of temperature changes under global warming by 1.5 °C and 2.0 °C are similar (Fig. 2c, d). /T\\_here are few regions in which the temperature would go down under the two scenarios; the temperature goes up more seriously in the Northern Hemisphere than the Southern regions; especially in the high-latitude area the temperature rises more quickly than the other regions. Under global warming by 1.5 °C the area is 54.4% in whole world in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 29.2% of the whole world in which the temperature would go up more than 1.5 °C, most located in the high latitude regions of Northern Hemisphere; the area is 16.4% of the whole world in which the temperature would go up between 0 and 1.0 °C , mostly located in the Southern Hemisphere and the low latitude regions of Northern Hemisphere. Under global warming by 2.0 °C the area is 12.3% in which the temperature would go up between 1.0 and 1.5 °C than the baseline, located in the middle and low latitude regions; the area is 69.8% in which the temperature would go up between 1.5 and 3.0 °C than the baseline, located in the middle and high latitude regions; the area\n\nVol:.(1234567890)", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed9.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0\n\n\n\nFigure 8. Change in Hunger and Climate Vulnerability Index relative to baseline calculated for simulated climate states at 2 ° C globalwarming,for/five individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean.\n\n\n\nFour countries show ensemble-mean HCVI values at 2°C global warming that are higher than any seen in the baseline climate; these are Oman, Bangladesh, Mauritania and Yemen. The implication of such HCVI values is that climate change at 2°C is projected to cause levels of vulnerability to food insecurity that are greater than any seen in the present day. For individual ensemble members, the number of countries with 'unprecedented' HCVI values at 2°C varies from three to seven. Conversely, many countries in the baseline climate have levels of vulnerability to food insecurity that are greater than those expected in other countries under 2°C global warming. This suggests that other factors are already posing greater risk for food insecurity than 2°C climate change is expected to cause in other countries, so the increased risk from climate change should not overshadow the need to reduce vulnerability to food insecurity arising from non-climatic factors. There is scope to reduce vulnerability to food insecurity by addressing various socio-economic issues in such counties.\n\nThe JULES simulations show a general tendency towards increased run-off over approximately half of the land surface (figure 9) and the majority of the major river basins assessed (figure 10), but with large regional uncertainties including the possibility of decreased flows in many basins. The ensemble-mean change in mean streamflow shows an increase of between 5 and 25% over most of the Northern Hemisphere land surface, with some regions seeing an increase of over 50% at 2°C global warming. Notable exceptions to this are western Europe and southcentral USA, which see less than a 5% change in run-off, and the already very dry region of the Sahara Desert where the existing very small run-off become even smaller.\n\nEnsemble-mean projected changes in low run-off flows are generally larger (figure 11), with the regions seeing an increase in mean run-off seeing a larger percentage increase in low run-off-over 75% increases over much of North America, Eastern Europe and Asia. Note that this does not necessarily imply a larger increase in absolute low flow compared to absolute mean flow, because the baseline is (by definition) smaller for low flows. In western Europe, where the changes in mean flows were less than 5%, the ensemble-mean low flow decreases by between 5\n\nGFDL-ESM2M\n\n\n\n", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\nFigure 2. (continued)\n\n\n\nis 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of Northern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C.\n\n/T\\_here are apparent trends of humidi/fication in most regions under global warming by 1.5 °C and 2.0 °C; but the drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is 73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; the area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the area is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere and the middle regions of Northern Hemisphere. /T\\_he distribution of precipitation under global warming by 2.0 °C is similar with the situation under global warming by 1.5 °C. /T\\_he drought-threatened area would increase by 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; the area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the extreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than those under global warming by 1.5 °C, which is what we should be pay more attention to.\n\nYield change of maize under global warming by ͷ.ͻ °C and ͸.Ͷ °C. Maize production is a/ffected by climate change apparently. According to the simulation results of CERES-maize, the yield of maize would decrease in the worldwide relative to 1986-2005 under global warming by 2.0 °C; it would increase little under global warming by 1.5 °C. /T\\_he distributions of maize yield loss under the two scenarios are similar to each other, mostly located in the middle and low latitude, which are the main regions for maize planting in the world. /T\\_he loss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of 1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize planting area in the world, in which the climate situation would become more proper for maize under global\n\nVol.:(0123456789)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed9.pdf" - }, - { - "text": "There are two major research questions concerning the impacts of climate change at 1.5°C and 2°C global warming, which are relevant to both mitigation and adaptation policy areas.\n\n - (i) How much larger are the impacts at 2°C compared to 1.5°C? This is the primary question arising from the Paris Agreement [4] and is relevant to mitigation policy, informing judgements and actions on holding the global temperature rise to 'well below 2°C' and 'pursuing efforts to limit the temperature increase to 1.5°C'.\n - (ii) What regional climate conditions and related hydrological and ecological conditions could occur at a particular level of global warming, such as 2°C? This is relevant to adaptation policy and planning-exploring the possible outcomes for these levels of warming will help facilitate adaptation and improved resilience to account for a 1.5°C or 2°C world. It is recognized that many adaptation decisions require information on timing of specific impacts or risks, but nevertheless, framing regional impacts assessments in terms of associated global warming levels (GWLs) may help provide context of the levels of climate change that may be avoidable or unavoidable (and hence require adaptation).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed11.pdf" - }, - { - "text": "conducted to reveal the interactions between public discourse and natural, scientific, social, or political events. In particular, factors promoting public consensus and factors resulting in discourse discrepancy should be further identified to help climate communicators narrow the public cognitive divergence about the global climate issue.\n\nSupplementary Materials: The following are available online at http: // www.mdpi.com / 1660-4601 / 17 / 3 / 1062 / s1.\n\nAuthor Contributions: W.S. designed the study, collected the data, conducted the analysis, and wrote the article. H.F. o GLYPH<11> ered suggestions to the part of temporal analysis. P.W. contributed to the hashtag co-occurrence part. C.C. helped with the design of the study. J.X. contributed to the framing of the article and helped with the revision. All authors have read and agreed to the published version of the manuscript.\n\nFunding: This work was supported in part by the National Key R&D Program of China (Grant No. 2017YFA0604500), by the National Natural Science Foundation of China (Grant No. 51761135015, 71772142 and U1839206), by the National Social Science Foundation of China (Grant No.18ZDA307), by the Center for High Performance Computing and System Simulation, and by the Pilot National Laboratory for Marine Science and Technology (Qingdao).\n\nConflicts of Interest: The authors declare no conflict of interest.\n\n## Appendix A\n\n#agw, short for anthropogenic global warming, indicating global warming is caused by human activities.\n\n#cdnpoli, short for Canadian politics\n\n#cop21, the yearly session of COP (short for the Conference of the Parties) held in 2015.\n\n#cop24, the yearly session of COP (short for the Conference of the Parties) held in 2018.\n\n#epa, short for the United States Environmental Protection Agency founded in 1970, an agency aiming at protecting environment.\n\n#gop, short for Grand Old Party, the Republican political party in the United States.\n\n#nyc, short for New York City\n\n#p2, short for Progressives 2.0, a hashtag used to show progressive political standpoints on Twitter.\n\n#parisagreement, Paris Agreement, the agreement signed on UNFCCC in 2016 to deal with global warming by reducing greenhouse gas emissions.\n\n#sdgs, short for Sustainable Development Goals, containing 17 global goals put forward by the United Nations General Assembly in 2015 and expected to be achieved in 2030.\n\n#tcot, short for Top Conservatives On Twitter, a hashtag used to show conservative political standpoints on Twitter.\n\n#un, short for the United Nations\n\n#us, short for the United States\n\n## References\n\n- 1. Nisbet, M.C. Communicating climate change: Why frames matter for public engagement. Environ. Sci. Policy Sustain. Dev. 2009 , 51 , 12-23. [CrossRef]\n- 2. Roxburgh, N.; Guan, D.; Shin, K.J.; Rand, W.; Managi, S.; Lovelace, R.; Meng, J. Characterising climate change discourse on social media during extreme weather events. Glob. Environ. Chang. 2019 , 54 , 50-60. [CrossRef]\n- 3. Schuldt, J.P.; Konrath, S.H.; Schwarz, N. 'Global warming' or 'climate change'? Whether the planet is warming depends on question wording. Public Opin. Q. 2011 , 75 , 115-124. [CrossRef]\n- 4. Villar, A.; Krosnick, J.A. Global warming vs. climate change, taxes vs. prices: Does word choice matter? Clim. Chang. 2011 , 105 , 1-12. [CrossRef]\n- 5. Jang, S.M.; Hart, P.S. Polarized frames on 'climate change' and 'global warming' across countries and states: Evidence from Twitter big data. Glob. Environ. Chang. 2015 , 32 , 11-17. [CrossRef]\n- 6. United States Environmental Protection Agency. Climate Change: Basic Information. Available online: https: // 19january2017snapshot.epa.gov / climatechange / climate-change-basic-information\\_.html (accessed on 10 October 2019).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "How many scholarly articles are published every year ?", - "target_page": 1, - "target_passage": "over 3 million scholarly articles published per year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| 2006 | | 20,656 | | 7,784 | 6,152 | 5,139 | 4,629 | 3,257 | 2,649 | 1,806 | 1,970 |\n| | | | 17,613 | 5,747 | 4,309 | 3,855 | 2,619 | | 2,119 | 1,555 1,696 | 2007 |\n| | | | | 17,883 | 4,970 | | 4,026 | 2,626 | 2,180 | 1,562 1,704 | 2008 |\n| | | | | | 14,683 | | 4,054 | 2,383 | 1,824 | 1,318 1,438 | 2009 |\n| | | | | | | 13,075 | | 2,332 | 1,638 | 1,154 1,259 | 2010 |", - "page_start": 16, - "page_end": 16, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## 10 YEAR SUMMARY 1995-2004", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| 392,000 100,000 | - - | 1,304,000 200,000 1,522,000 | 100,000 739,000 - - - | - - | - - - | |\n|-------------------|------------|-------------------------------|-------------------------|------------------|------------------|--------------|\n| | | | | - | | |\n| | | 550,000 | | | 200,000 | |\n| | | | | | | - |\n| | | | 620,000 | | | |\n| | | 669,000 | | | | |\n| - | - 0 | - - | 22 December 2007 | - | - | |\n| 50,000 | ugust 2010 | | | | | - |\n| 50,000 | 2,000,00 | 725,000 | - | | | |\n| | | - | 208,314 | | | |\n| | | | 550,000 | | | |\n| | | | 208,314 | | | |\n| 50,000 | 3,000,000 | 725,000 | | 100,000 | | 130,148 |\n| 50,000 | - | 100,000 | - | - | - | - |\n| 50,000 | | 200,000 | 100,000 | | | |\n| - 100,000 | | | | | | - |\n| - 100,000 | - | 50,000 | | | | |\n| | | - | 50,000 - | - | - | |\n| | | | - - | - | 200,000 | |\n| | | | | | | 130,148 |\n| | | | | | - | - |\n| | | 700,000 | 700,000 208,314 | 100,000 | | |\n| 150,000 | | 925,000 | | | | |\n| 150,000 | 3,000,000 | | | | | |\n| 3.92 | 5.83 | 6.69 6.52 | 6.20 6.38 | 6.38 | 6.95 | 6.95 |\n| 3.92 | 25 A | 5 June 2006 18 October 2006 | 17 June 2007 | 22 December 2008 | 14 June 2009 | |", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | Year of 1st treatment | | | | |\n|-------|-------|-------------------------|-------------------------|-------------------------|-------------------------|-------------------------|-------------------------|-------------------------|-------------------------|-------------------------|--------|--------|--------------------------------------------------------------|----------------------------------------------|\n| | | 2005 | 2006 | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 | 2013 | 2014 | Total | Percentag e of total incidence accounted for by observed | Estimated number yet to come to treatment |\n| | 2005 | 1,305 | 1,508 | 1,533 | 1,250 | 938 | 800 | 512 | 408 | 376 | 330 | 8,960 | 85% | 1,523 |\n| | 2006 | - | 1,297 | 1,727 | 1,624 | 1,116 | 821 | 611 | 471 | 470 | 358 | 8,495 | 82% | 1,824 |\n| | 2007 | - | - | 1,482 | 1,906 | 1,532 | 1,020 | 671 | 566 | 491 | 416 | 8,084 | 79% | 2,183 |\n| | 2008 | - | - | - | 1,446 | 1,857 | 1,456 | 840 | 659 | 570 | 424 | 7,252 | 75% | 2,437 |\n| | 2009 | - | - | - | - | 1,580 | 1,811 | 1,018 | 727 | 627 | 527 | 6,290 | 70% | 2,701 |\n| | 2010 | - | - | - | - | - | 1,404 | 1,101 | 933 | 757 | 544 | 4,739 | 62% | 2,864 |\n| | 2011 | - | - | - | - | - | - | 1,001 | 1,109 | 988 | 646 | 3,744 | 53% | 3,269 |", - "page_start": 23, - "page_end": 23, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "| 2,406,400 470,000 | 500,000 | | - | - | - - | |\n|---------------------|----------------------------|------------|-----------------|-----------------|------------------|------------------|\n| | - | | - | - | | - |\n| 215,000 | | | 0 | 0 | 208,31 | |\n| | 1,960,000 | | | | | |\n| | | | | e 2007 | | |\n| e 2002 14 Jun | | | | 17 Jun | | |\n| 215,000 | 0 | - | - | - | - | |\n| | | 0 | 18 October 2006 | | 12 December 2003 | - |\n| | 150,000 3,000,000 1,000,00 | | | | 22 December 2004 | |\n| | | 700,00 | 0 | | | |\n| | | | | 700,00 | 4 | 0 |\n| | | | | | | 100,00 |\n| | 150,000 | | | 925,00 | | |\n| | | | - | | - | |\n| 470,000 | 500,000 | | | | | |\n| | - | | - | | | - |\n| | | | | - | | |\n| - | - - | - - | - 150,000 | 50,000 | - | - |\n| | | | | - | | |\n| - | - | | - | - | 208,314 | 100,000 |\n| | 0 | | 1,075,000 | | | |\n| | 0 | | 700,00 | | - | - |\n| 685,000 | 650,000 3,000,00 | | 700,00 | 750,000 | | |\n| 5.12 | 3.92 5.83 | | | 750,000 | 6.38 | |\n| e 2004 | ugust 2010 | 6.69 | 6.52 | 6.20 | | |\n| | ugust 2010 | 6.69 | 6.52 | 6.20 | 22 December 2007 | 22 December 2008 |\n| | | | e 2006 | | | |", - "page_start": 67, - "page_end": 67, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| 2005 | | 10,539 | 3,020 | 2,539 | 2,478 | 2,083 | 1,844 | 1,350 | 1,156 | 862 | 940 |\n| 2006 | | | 14,750 | 3,896 | 3,280 | 2,701 | 2,507 | 1,819 | 1,610 | 1,140 | 1,244 |\n| 2007 | | | | 13,391 | 3,063 | 2,291 | 2,091 | 1,567 | 1,334 | 954 | 1,041 |\n| 2008 | | | | | 13,629 | 2,670 | 2,263 | 1,612 | 1,366 | 978 | 1,067 |", - "page_start": 17, - "page_end": 17, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\nANNUAL REPORT 2004", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| | | | | | | | | 9,595 | 1,714 | 1,013 1,105 | 2011 |\n| | | | | | | | | | 7,265 | 1,359 1,483 | 2012 |\n| 2013 | | | | | | | | | | 5,523 | 6,025 |\n| Total | 17,174 | | 19,157 33,813 | 37,291 | 41,232 | 38,376 | 38,051 | 28,476 | 23,965 | 18,473 | 20,152 |", - "page_start": 16, - "page_end": 16, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## ACKNOWLEDGMENTS\n\nThis paper represents the work of seven authors, but some were required by their employer to remove their names. The remaining listed authors are extremely grateful to our colleagues for the effort and wisdom they contributed to this paper.\n\nIn addition, in drafting and revising this paper, we benefited from thoughtful comments and discussion from many people: Alex Hanna, Amandalynne Paullada, Ben Hutchinson, Ben Packer, Brendan O'Connor, Dan Jurafsky, Ehud Reiter, Emma Strubell, Emily Denton, Gina-Anne Levow, Iason Gabriel, Jack Clark, Kristen Howell, Lucy Vasserman, Maarten Sap, Mark Díaz, Miles Brundage, Nick Doiron, Rob Munro, Roel Dobbe, Samy Bengio, Suchin Gururangan, Vinodkumar Prabhakaran, William Agnew, William Isaac, and Yejin Choi and our anonymous reviewers.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "The data of the first overview (based on data from 1990) were updated in 2019 and show an even worse picture:\n\n'From 1990 to 2019, the global number of DALYs due to mental disorders increased from 80.8 million to 125.3 million, …. Age-standardised DALY rates remained largely consistent between 1990 (1581·DALYs per 100,000 population) and 2019 (1566 DALYs per 100,000 population). YLDs 226 contributed to almost all of the mental disorder burden, accounting for 125.3 million YLDs or 14.6% of global YLDs in 2019.' 227\n\nIn 2019 the WHO stated that one in every eight people, or 970 million people around the world, were", - "page_start": 85, - "page_end": 85, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "For what reason a researcher's name is not a good tools to track back its works and affiliations ?", - "target_page": 1, - "target_passage": "Many people have the same name Names may change through marriage or other circumstances Individuals use different alphabets, abbreviations, or naming conventions People use different versions of their name during their career", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## The Value of Using Unique Identifiers for Researchers\n\n## What's in a Name?\n\nMost names are not unique\n\n\n\nMany people have the same name\n\nPeople use di/fferent versions of their name during their career\n\nIndividuals use di/fferent alphabets, abbreviations, or naming conventions\n\n## Researchers are mobile!\n\n\n\nFor example,\n\n30% OF THE SCIENTISTS WHO GOT THEIR PhD IN THE UNITED KINGDOM NOW LIVE ELSEWHERE\n\nSource: Science Magazine\n\nResearch institutions and organizations therefore find it hard to\n\n\n\n- Benchmark their organization against others\n- Identify, track, and report on researchers' a/ffiliations and contributions (publications, peer reviews, grants, and more)\n\n## Institutions Face a Rising Tide of Research\n\n\n\n\n\nInstitutions must increasingly recognize and demonstrate the impact of all types of research contributions\n\n\n\n## Tackling Information Overload\n\nORCID is a non-profit organization, which provides a fully open and interoperable identifier to reliably connect researchers with their research contributions. The ORCID iD is a 16-digit identifier that researchers can register for and use for free.\n\nConnects individuals and their professional contributions across disciplines, organizations, and time\n\nEnables recognition of all types of research contributions and innovation\n\n\n\nHelps research institutions, funders, publishers, and other organizations better track and support research work\n\n## How ORCID Works\n\n\n\n- It's a registry of unique persistent identifiers for researchers\n- It's a hub that connects researchers with their professional activities and contributions\n- It's a global community that enables researchers to share their data with other individuals, organizations, and systems\n\n## Why Connect with ORCID?\n\nHundreds of members and systems use ORCID globally\n\n## 5.5 MILLION+\n\nlive ORCID iDs registered since its 2012 launch\n\n\n\nSource: Orcid.org/statistics as of November 2018\n\n\n\nNames may\n\nchange through\n\nmarriage or other\n\ncircumstances\n\n\n\n## Evidence of Institutional Value\n\nExamples of time/sta/ff savings achieved by implementing ORCID from around the world\n\n\n\nUK: 0.2 - 0.4 FTEs per institution 1 Portugal: 100,000 researcher hours per year 2 Australia: 15-30 minutes per grant application 3\n\n1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015 2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017 3. Australian Research Council governance meeting, September 2018\n\n\"Having ORCID iDs for most of our researchers has helped in providing authoritative accounts in our various databases, ensuring accuracy in reviewer identities, and helping editors find reviewers and check expertise.\"\n\n-Brooks Hanson, Executive Vice President, Science, American Geophysical Union\n\n## How Organizations and Researchers Benefit\n\n## INSTITUTIONS\n\n- Save time and reduce errors with automated information-sharing and cross-system interoperability\n- Manage your organization name and your researchers' connections with it\n- Maintain links with your researchers - past, present, and future\n\n## RESEARCHERS\n\n- Improve recognition and discoverability of their research\n- Spend more time doing research, less time managing it\n- Control and manage a trusted and easily shareable record of their research activities and a/ffiliations - for free\n\n\n\n\n\n\n\n## Three Ways to Get Involved\n\n- 1. Encourage and support your researchers in getting, sharing, and using their ORCID iD\n- 2. Invest in integrating ORCID into your systems\n- 3. Connect data to and from your researchers' ORCID records to support information use and reuse across organizations\n\nSponsored by ORCID\n\nTo learn more go to https://orcid.org\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "## ACKNOWLEDGMENTS\n\nThis paper represents the work of seven authors, but some were required by their employer to remove their names. The remaining listed authors are extremely grateful to our colleagues for the effort and wisdom they contributed to this paper.\n\nIn addition, in drafting and revising this paper, we benefited from thoughtful comments and discussion from many people: Alex Hanna, Amandalynne Paullada, Ben Hutchinson, Ben Packer, Brendan O'Connor, Dan Jurafsky, Ehud Reiter, Emma Strubell, Emily Denton, Gina-Anne Levow, Iason Gabriel, Jack Clark, Kristen Howell, Lucy Vasserman, Maarten Sap, Mark Díaz, Miles Brundage, Nick Doiron, Rob Munro, Roel Dobbe, Samy Bengio, Suchin Gururangan, Vinodkumar Prabhakaran, William Agnew, William Isaac, and Yejin Choi and our anonymous reviewers.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "## ?customer ?relation ?relatedToCustomer.}\n\nThis would be much less intuitive than the user defined names. There are good reasons to use autogenerated names, especially for large ontologies that are implemented in multiple natural languages. However, for new users, especially those who plan to use SPARQL and SHACL, I think it is more intuitive to start with user supplied names and then progress to auto-generated names if and when the requirements show a true need for them. This approach to developing software incrementally rather than to attempt to design the perfect system that can scale for all possible future requirements is known as the Agile approach to software development. In my experience Agile methods have proven themselves in countless real-world projects to deliver better software on time and on budget than the alternative waterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/\n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot more and if you are interested you should check out DuCharme's book or some of the many SPARQL tools and tutorials on the web. Some of these are in the bibliography.\n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open World Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter 4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that SPARQL is not subject to either of these restrictions. With SPARQL one can do non-monotonic reasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the value for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Implications of the The Overall Approach\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and 'openly' licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material - a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works. 31\n\n## 5b. Limitations & Exceptions\n\n## Existing Project Example: HathiTrust Research Center (HTRC)\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "our research time and effort a valuable resource, to be spent to the extent possible on research projects that build towards a technological ecosystem whose benefits are at least evenly distributed or better accrue to those historically most marginalized. This means considering how research contributions shape the overall direction of the field and keeping alert to directions that limit access. Likewise, it means considering the financial and environmental costs of model development up front, before deciding on a course of investigation. The resources needed to train and tune state-of-the-art models stand to increase economic inequities unless researchers incorporate energy and compute efficiency in their model evaluations. Furthermore, the goals of energy and compute efficient model building and of creating datasets and models where the incorporated biases can be understood both point to careful curation of data. Significant time should be spent on assembling datasets suited for the tasks at hand rather than ingesting massive amounts of data from convenient or easily-scraped Internet sources. As discussed in §4.1, simply turning to massive dataset size as a strategy for being inclusive of diverse viewpoints is doomed to failure. We recall again Birhane and Prabhu's [18] words (inspired by Ruha Benjamin [15]): 'Feeding AI systems on the world's beauty, ugliness, and cruelty, but expecting it to reflect only the beauty is a fantasy.'\n\nAs a part of careful data collection practices, researchers must adopt frameworks such as [13, 52, 86] to describe the uses for which their models are suited and benchmark evaluations for a variety of conditions. This involves providing thorough documentation on the data used in model building, including the motivations underlying data selection and collection processes. This documentation should reflect and indicate researchers' goals, values, and motivations in assembling data and creating a given model. It should also make note of potential users and stakeholders, particularly those that stand to be negatively impacted by model errors or misuse. We note that just because a model might have many different applications doesn't mean that its developers don't need to consider stakeholders. An exploration of stakeholders for likely use cases can still be informative around potential risks, even when there is no way to guarantee that all use cases can be explored.\n\nWe also advocate for a re-alignment of research goals: Where much effort has been allocated to making models (and their training data) bigger and to achieving ever higher scores on leaderboards often featuring artificial tasks, we believe there is more to be gained by focusing on understanding how machines are achieving the tasks in question and how they will form part of socio-technical systems. To that end, LM development may benefit from guided evaluation exercises such as pre-mortems [68]. Frequently used in business settings before the deployment of new products or projects, pre-mortem analyses center hypothetical failures and ask team members to reverse engineer previously unanticipated causes. 25 Critically, pre-mortem analyses prompt team members to consider not only a range of potential known and unknown project risks, but also alternatives to current project plans. In this way, researchers can consider the risks and limitations of their LMs in a guided way while also considering fixes to current designs or alternative", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n## 2.3. Open Data in Latin America, Asia and Africa\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of local interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better in countries where it already exists and which share a great amount of history and cultural/philosophical values .\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to create data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\nin Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "would be watermarked and thus detectable [7, 66, 123]? Are there policy approaches that could effectively regulate their use?\n\nIn summary, we advocate for research that centers the people who stand to be adversely affected by the resulting technology, with a broad view on the possible ways that technology can affect people. This, in turn, means making time in the research process for considering environmental impacts, for doing careful data curation and documentation, for engaging with stakeholders early in the design process, for exploring multiple possible paths towards longterm goals, for keeping alert to dual-use scenarios, and finally for allocating research effort to harm mitigation in such cases.\n\n## 8 CONCLUSION\n\nThe past few years, ever since processing capacity caught up with neural models, have been heady times in the world of NLP. Neural approaches in general, and large, Transformer LMs in particular, have rapidly overtaken the leaderboards on a wide variety of benchmarks and once again the adage 'there's no data like more data' seems to be true. It may seem like progress in the field, in fact, depends on the creation of ever larger language models (and research into how to deploy them to various ends).\n\nIn this paper, we have invited readers to take a step back and ask: Are ever larger LMs inevitable or necessary? What costs are associated with this research direction and what should we consider before pursuing it? Do the field of NLP or the public that it serves in fact need larger LMs? If so, how can we pursue this research direction while mitigating its associated risks? If not, what do we need instead?\n\nWe have identified a wide variety of costs and risks associated with the rush for ever larger LMs, including: environmental costs (borne typically by those not benefiting from the resulting technology); financial costs, which in turn erect barriers to entry, limiting who can contribute to this research area and which languages can benefit from the most advanced techniques; opportunity cost, as researchers pour effort away from directions requiring less resources; and the risk of substantial harms, including stereotyping, denigration, increases in extremist ideology, and wrongful arrest, should humans encounter seemingly coherent LM output and take it for the words of some person or organization who has accountability for what is said.\n\nThus, we call on NLP researchers to carefully weigh these risks while pursuing this research direction, consider whether the benefits outweigh the risks, and investigate dual use scenarios utilizing the many techniques (e.g. those from value sensitive design) that have been put forth. We hope these considerations encourage NLP researchers to direct resources and effort into techniques for approaching NLP tasks that are effective without being endlessly data hungry. But beyond that, we call on the field to recognize that applications that aim to believably mimic humans bring risk of extreme harms. Work on synthetic human behavior is a bright line in ethical AI development, where downstream effects need to be understood and modeled in order to block foreseeable harm to society and different social groups. Thus what is also needed is scholarship on the benefits, harms, and risks of mimicking humans and thoughtful design of target tasks grounded in use cases sufficiently concrete to allow collaborative design with affected communities.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "## 7. Conclusion\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of existing work. The concept of mass digitization of books, including to support text and data mining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its transformative use makes questions about how we digitize, preserve, and make accessible knowledge and cultural heritage salient in a distinct way.\n\nAs such, efforts to build a books data commons need not start from scratch; there is much to glean from studying and engaging existing and previous efforts. Those learnings might inform substantive decisions about how to build a books data commons for AI training. For instance, looking at the design decisions of HathiTrust may inform how the technical infrastructure and data management practices for AI training might be designed, as well as how to address challenges to building a comprehensive, diverse, and useful corpus. In addition, learnings might inform the process by which we get to a books data commons for example, illustrating ways to attend to the interests of those likely to be impacted by the dataset's development. 41\n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or paths) to extend access to books for AI training is critical. In the status quo, large swaths of knowledge contained in books are effectively locked up and inaccessible to most everyone. Google is an exception - it can reap the benefits of their 40 million books dataset for research, development, and deployment of AI models. Large, well-resourced entities could theoretically try to replicate Google's digitization efforts, although it would be incredibly expensive, impractical, and largely duplicative for each entity to individually pursue their own efforts. Even then, it isn't clear how everyone else - independent researchers, entrepreneurs, and smaller entities - will have access. The controversy around the Books3 dataset discussed at the outset should not, then, be an argument in favor of preserving the status quo. Instead, it should highlight the urgency of building a books data commons to support an AI ecosystem that provides broad benefits beyond the privileged few.", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 4.3. Keep past and future separate\n\nFor the same reason why it is important to always distinguishes between political and economical advantages (or disadvantages) of Open Data, it is necessary to keep decisions about future data (those that will arrive in the future, due to new contracts, public services and so on) separate from those about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that Government should publish everything non-private it can now is \"rather dangerous\", and that it would be much better to release nothing until someone actually asked for it, and at that point doing it right, that is with an open license and so on. The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\" . The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them.\n\nEven if these concerns were always true, it is important to realize that they apply (especially the second) to already existing data, not to future ones. The two classes of data have, or can have, very different constraints. Existing data may still exist only in paper format and/or be locked by closed or unclear licenses, or not relevant anymore for future decisions.\n\nOpening future data, instead, is almost always more important, useful urgent, easier and cheaper than digitizing or even only reformatting material that in many cases is already too old to make immediate, concrete differences. While this argument is probably not always true when we look at Open data for transparency, it probably is when it comes to economic development.\n\nTherefore, features and guidelines that should be present in all future data generation and management processes include:\n\n - · standardization: the less, obviously open, formats are used for data of the same type, the easier it is to merge and correlate them. The formats that have to be standardized are not only those at the pure software level. Even more important is, for example, to adopt by law standard identificators for government suppliers, names and machine-readable identifiers of budget voices and so on\n - · preparation for future digitization: new digital systems should explicitly be designed from the beginning so that it will be possible, when non-digital records will be digitized, to add them to the databases without modifying losses.\n - · Open licenses", - "page_start": 27, - "page_end": 27, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "the availability of Open Data. Of course, this isn't always possible.\n\n## 3.6.6. Unprepared Public Administrators\n\nIt is undeniable that today, especially at the local level, most Public Administrators that should or may contribute to open the public data held by their organizations still ignore, and sometimes disdain, Open Data proposals, principles and practices. This happens for many reasons. We'll only mention two of them that are quite common. They are interesting because, while being somewhat related and sharing common origins, one is very hard to fix, the other, at least in comparison, very easy.\n\nTo begin with, most of these administrators are people that, albeit very competent and committed to their work, were not really trained to live with so much of what they perceive as \"their\" documents and daily activities as Open Data implies regularly exposed to the public. This is true even among administrators who are already well acquainted with mainstream \"Web 2.0\" practices. Many officers who already have a regular presence on Facebook, Twitter or other social networks and regularly use those platforms to discuss their work with their constituents feel diffident about Open Data in the same measure as their colleagues who don't even use computers yet. A cultural barrier like this requires both strong demand from citizens and detailed examples of how Open Data can be good for the local budget to be overcome in acceptable time frames.\n\nAnother factor that may keep administrators away from Open Data is the more or less unconscious assumption that, in order to use them, a City Major or Region Governor should be very skilled himself, if not with actual programming, with \"Web 2.0\" tools, modern online services and/or general software engineering principles. This is simply not true. Surely, Open Data is something that is made possible only by modern digital technologies and the Internet, but at the end of the day it's \"simply\" a way to increase transparency, efficiency and cost reductions inside Public Administration, and to create local jobs. If these hypotheses are as concrete as this and many other studies explain, there is no need for a Major to have programming skills, like social networks or have any other personal \"2.0\" skill or training to see the advantages of Open Data and delegate to his or her IT staff their implementation.\n\n## 3.7. The privacy problem\n\nBeing perceived as a lethal attack to privacy remains one of the biggest misunderstandings that prevents adoption of Open Data. On one hand, there is no doubt that in an increasingly digital world it becomes harder and harder to protect privacy. But, exactly because the whole world is going", - "page_start": 21, - "page_end": 21, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic3.pdf", - "query": "What is an ORCID iD ?", - "target_page": 1, - "target_passage": "ORCID iD is a 16-digit identifier that researchers can register for and use for free.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## The Value of Using Unique Identifiers for Researchers\n\n## What's in a Name?\n\nMost names are not unique\n\n\n\nMany people have the same name\n\nPeople use di/fferent versions of their name during their career\n\nIndividuals use di/fferent alphabets, abbreviations, or naming conventions\n\n## Researchers are mobile!\n\n\n\nFor example,\n\n30% OF THE SCIENTISTS WHO GOT THEIR PhD IN THE UNITED KINGDOM NOW LIVE ELSEWHERE\n\nSource: Science Magazine\n\nResearch institutions and organizations therefore find it hard to\n\n\n\n- Benchmark their organization against others\n- Identify, track, and report on researchers' a/ffiliations and contributions (publications, peer reviews, grants, and more)\n\n## Institutions Face a Rising Tide of Research\n\n\n\n\n\nInstitutions must increasingly recognize and demonstrate the impact of all types of research contributions\n\n\n\n## Tackling Information Overload\n\nORCID is a non-profit organization, which provides a fully open and interoperable identifier to reliably connect researchers with their research contributions. The ORCID iD is a 16-digit identifier that researchers can register for and use for free.\n\nConnects individuals and their professional contributions across disciplines, organizations, and time\n\nEnables recognition of all types of research contributions and innovation\n\n\n\nHelps research institutions, funders, publishers, and other organizations better track and support research work\n\n## How ORCID Works\n\n\n\n- It's a registry of unique persistent identifiers for researchers\n- It's a hub that connects researchers with their professional activities and contributions\n- It's a global community that enables researchers to share their data with other individuals, organizations, and systems\n\n## Why Connect with ORCID?\n\nHundreds of members and systems use ORCID globally\n\n## 5.5 MILLION+\n\nlive ORCID iDs registered since its 2012 launch\n\n\n\nSource: Orcid.org/statistics as of November 2018\n\n\n\nNames may\n\nchange through\n\nmarriage or other\n\ncircumstances\n\n\n\n## Evidence of Institutional Value\n\nExamples of time/sta/ff savings achieved by implementing ORCID from around the world\n\n\n\nUK: 0.2 - 0.4 FTEs per institution 1 Portugal: 100,000 researcher hours per year 2 Australia: 15-30 minutes per grant application 3\n\n1. Jisc/ARMA Institutional ORCID Implementation and Cost Benefit Analysis Report 2015 2. Cátia Laranjeira, FCT - Fundação para a Ciência e a Tecnologia 2017 3. Australian Research Council governance meeting, September 2018\n\n\"Having ORCID iDs for most of our researchers has helped in providing authoritative accounts in our various databases, ensuring accuracy in reviewer identities, and helping editors find reviewers and check expertise.\"\n\n-Brooks Hanson, Executive Vice President, Science, American Geophysical Union\n\n## How Organizations and Researchers Benefit\n\n## INSTITUTIONS\n\n- Save time and reduce errors with automated information-sharing and cross-system interoperability\n- Manage your organization name and your researchers' connections with it\n- Maintain links with your researchers - past, present, and future\n\n## RESEARCHERS\n\n- Improve recognition and discoverability of their research\n- Spend more time doing research, less time managing it\n- Control and manage a trusted and easily shareable record of their research activities and a/ffiliations - for free\n\n\n\n\n\n\n\n## Three Ways to Get Involved\n\n- 1. Encourage and support your researchers in getting, sharing, and using their ORCID iD\n- 2. Invest in integrating ORCID into your systems\n- 3. Connect data to and from your researchers' ORCID records to support information use and reuse across organizations\n\nSponsored by ORCID\n\nTo learn more go to https://orcid.org\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "infographic3.pdf" - }, - { - "text": "- /SM590000 OpenVMS UDID: Each OpenVMS Fibre Channel-attached volume requires a user-defined identifier or unit device identifier (UDID). A UDID is a nonnegative integer that is used in the creation of the OpenVMS device name.", - "page_start": 290, - "page_end": 290, - "source_file": "sg247938.pdf" - }, - { - "text": "## Event ID\n\nAn event ID is a value that is used to identify a unique error condition that was detected by the Storwize V7000. An event ID is used internally in the cluster to identify the error.\n\n## Excluded condition\n\nThe excluded condition is a status condition. It describes an MDisk that the IBM Storwize V7000 decided is no longer sufficiently reliable to be managed by the cluster. The user must issue a command to include the MDisk in the cluster-managed storage.\n\n## Extent\n\nAn extent is a fixed-size unit of data that is used to manage the mapping of data between MDisks and volumes. The size of the extent can range 16 MB - 8 GB.\n\n## External storage\n\nExternal storage refers to MDisks that are SCSI logical units that are presented by storage systems that are attached to and managed by the clustered system.\n\n## Failback\n\nFailback is the restoration of an appliance to its initial configuration after the detection and repair of a failed network or component.\n\n## Failover\n\nFailover is an automatic operation that switches to a redundant or standby system or node in a software, hardware, or network interruption. See also Failback.\n\n## Feature activation code\n\nAn alphanumeric code that activates a licensed function on a product.\n\n## Fibre Channel port logins\n\nFC port logins refer to the number of hosts that can see any one V7000 port. The IBM Storwize V7000 has a maximum limit per node port of FC logins that are allowed.\n\n## Field-replaceable unit\n\nField-replaceable units (FRUs) are individual parts that are replaced entirely when any one of the unit's components fails. They are held as spares by the IBM service organization.\n\n## FlashCopy\n\nFlashCopy refers to a point-in-time copy where a virtual copy of a volume is created. The target volume maintains the contents of the volume at the point in time when the copy was established. Any subsequent write operations to the source volume are not reflected on the target volume.\n\n## FlashCopy mapping\n\nA FlashCopy mapping is a continuous space on a direct-access storage volume that is occupied by or reserved for a particular data set, data space, or file.\n\n## FlashCopy relationship\n\nSee FlashCopy mapping.", - "page_start": 797, - "page_end": 797, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 14-6 Adding a recipient list\n\n\n\n## 14.2.3 Adding a report ID\n\nThe next step is to define the reports to ODF. The report ID identifies the application group and application to which the report belongs. Figure 14-7 shows the window where you add the report ID.\n\nFigure 14-7 Adding a report ID\n\n\n\nTo create a report ID, specify the identifier and then choose the application group and application from the drop-down selection.", - "page_start": 345, - "page_end": 345, - "source_file": "sg246915.pdf" - }, - { - "text": "Database owner\n\n - -odInstance < instance >\n - -odUser < user >\n\nOnDemand user ID", - "page_start": 367, - "page_end": 367, - "source_file": "sg246915.pdf" - }, - { - "text": "## Vital product data\n\nVital product data (VPD or VDP) is information that uniquely defines system, hardware, software, and microcode elements of a processing system.\n\n## Volume\n\nA volume is an IBM Storwize V7000 logical device that appears to host systems that are attached to the SAN as a SCSI disk. Each volume is associated with exactly one I/O Group. A volume has a preferred node within the I/O Group.\n\n## Volume copy\n\nA volume copy is a physical copy of the data that is stored on a volume. Mirrored volumes have two copies. Non-mirrored volumes have one copy.\n\n## Volume protection\n\nTo prevent active volumes or host mappings from inadvertent deletion, the system supports a global setting that prevents these objects from being deleted if the system detects that they have recent I/O activity. When you delete a volume, the system checks to verify whether it is part of a host mapping, FlashCopy mapping, or remote-copy relationship. In these cases, the system fails to delete the volume, unless the -force parameter is specified. Using the -force parameter can lead to unintentional deletions of volumes that are still active. Active means that the system detected recent I/O activity to the volume from any host.\n\n## Write-through mode\n\nWrite-through mode is a process in which data is written to a storage device at the same time that the data is cached.\n\n## Written capacity\n\nSee 'Capacity' on page 771.", - "page_start": 809, - "page_end": 809, - "source_file": "sg247938.pdf" - }, - { - "text": "OnDemand user ID\n\n - -odPassword < password >\n\nOnDemand user password\n\n - -odInstallDir < path >\n\nWhere OnDemand is installed", - "page_start": 367, - "page_end": 367, - "source_file": "sg246915.pdf" - }, - { - "text": "## Application Group Identifier and the Application Group ID\n\nThe Application Group Identifier and the Application Group ID (AGID) are unique identifiers that are used by Content Manager OnDemand to identify the application group in system tables.\n\n## Migrate Data from Cache\n\nThe Migrate Data from Cache value determines when documents and resources are migrated to archive storage. A storage set that is associated with a Tivoli Storage Manager client node must be selected to enable migration to archive storage.\n\nThe following values are valid:\n\n - /SM590000 No: Data is never migrated from cache. This option is unavailable when a storage set that is associated with a Tivoli Storage Manager client node is selected for the application group.\n - /SM590000 When data is loaded: Data is migrated to archive storage when the data is loaded into the application group.\n - /SM590000 Next cache migration: Data is migrated to archive storage the next time that ARSMAINT is run with the -m option. The -m option indicates that data and resources are copied from cache to archive storage.\n - /SM590000 After \\_\\_ days in cache: This value specifies the number of days that data remains in cache storage. After the prescribed number of days in cache storage are reached, the data is copied to archive storage the next time that ARSMAINT is run with the -m option for data migration.\n\n## 5.2.7 IBM System Storage Archive Manager\n\nCertain regulations require data to be stored in devices that are read only. In the past, physical storage devices, such as tapes and optical disks that are Write Once Read Many (WORM), were used.\n\nWORM disks, such as the NetApp SnapLock or EMC Centera, can be used to store data in the same manner as WORM tapes or optical platters. IBM System Storage Archive Manager allows critical data to be retained for a mandated period without the possibility of being rewritten or erased.\n\nIn this section, we describe System Storage Archive Manager and how Content Manager OnDemand can be configured to use this subsystem to support these WORM disk devices.\n\nNote: Verify support for any particular device on a particular platform through the Tivoli Storage Manager Device support matrix before you plan your implementation.", - "page_start": 127, - "page_end": 127, - "source_file": "sg246915.pdf" - }, - { - "text": "- -arspdoci : Name of the command-line version of the PDF Indexer program\n - -parmdd : Specifies the name of the input file that contains the indexing parameters", - "page_start": 429, - "page_end": 429, - "source_file": "sg246915.pdf" - }, - { - "text": "- -inputdd : Specifies the name of the PDF input file to process\n - -outputdd : Specifies the name of the output file that contains the indexed PDF documents that are created by the PDF Indexer", - "page_start": 429, - "page_end": 429, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "What type of instability causes rims in ruptured polystyrene thin films to decay into small drops ?", - "target_page": 3, - "target_passage": " The rims may further decay into lines of small drops due to a Rayleigh-type instability", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## I. INTRODUCTION\n\nThe patterns formed in dewetting processes have attracted strong interest since Reiter analysed the process quantitatively in the early nineties. In these experiments, that proved to be a paradigm in our understanding of dewetting, a uniform thin film of polystyrene (tens of nanometers thick) is deposited on a flat silicon oxide substrate is brought above the glass transition temperature. The film ruptures in several places, forming holes which subsequently grow, competing for space. As a result, a random polygonal network of liquid rims emerges. The rims may further decay into lines of small drops due to a Rayleigh-type instability [1-3]. The related problems of retracting contact lines on partially wetting substrates and the opening of single holes in rather thick films have also been studied [4, 5].\n\nSubsequent work has mainly focused on many different aspects of the dewetting process for simple non-volatile liquids and polymers (for reviews see Refs. [6-8]). All stages of the dewetting of a film are studied: the initial film rupture via nucleation or a surface instability (called spinodal dewetting) [1, 9-13], the growth process of individual holes [14-16], the evolution of the resulting hole pattern [3, 13], and the stability of the individual dewetting fronts [17-19]. We note in passing, that descriptions of dewetting patterns may also be found in historic papers, particularly for the dewetting of a liquid film on a liquid substrate. Tomlinson [20, footnote 18 on p. 40] considered turpentine on water and Marangoni [21, p. 352f] oil on water.\n\nMore recently, interest has turned to the dewetting processes of solutions and suspensions. However, these systems have not yet been investigated in any great depth. Such systems are complicated because their behaviour is determined by the interplay between the various solute (or colloid) and solvent transport processes. Furthermore, the solvents that are used often evaporate, i.e., one has to distinguish between 'normal' convective dewetting and evaporative dewetting. A number of experiments have been performed employing (colloidal) solutions of polymers [22-25], macromolecules like collagen and DNA [26-31] and nanoparticles [32-40]. The latter are sometimes referred to as 'nanofluids'. The initial focus of much of the research in the field has been on investigating the structures that are formed which are similar to the ones observed in the 'classical' dewetting of non-volatile liquids. Labyrinthine structures and polygonal networks result from spinodal dewetting and heterogeneous nucleation and growth, respectively. They are 'decorated' with the solute and therefore conserve the transient dewetting pattern as a dried-in structure when all the solvent has evaporated [28, 34]. The picture is, however, not complete. The solute may", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2669.pdf" - }, - { - "text": "Benard instability,' Phys. Rev. Lett. 88 , 164501 (2002).\n\n - [50] J. Huang, F. Kim, A. R. Tao, S. Connor, and P. Yang, 'Spontaneous formation of nanoparticle stripe patterns through dewetting,' Nat. Mater. 4 , 896-900 (2005).\n - [51] S. H. Lee, P. J. Yoo, S. J. Kwon, and H. H. Lee, 'Solvent-driven dewetting and rim instability,' J. Chem. Phys. 121 , 4346-4351 (2004).\n - [52] L. Xu, T. F. Shi, P. K. Dutta, and L. An, 'Rim instability by solvent-induced dewetting,' J. Chem. Phys. 127 , 144704 (2007).\n - [53] L. Xu, T. F. Shi, and L. J. An, 'The dewetting dynamics of the polymer thin film by solvent annealing,' J. Chem. Phys. 129 , 044904 (2008).\n - [54] M. Elbaum and S. G. Lipson, 'How does a thin wetted film dry up?' Phys. Rev. Lett. 72 , 3562-3565 (1994).\n - [55] N. Samid-Merzel, S. G. Lipson, and D. S. Tannhauser, 'Pattern formation in drying water films,' Phys. Rev. E 57 , 2906-2913 (1998).\n - [56] A. Padmakar, K. Kargupta, and A. Sharma, 'Instability and dewetting of evaporating thin water films on partially and completely wettable substrates,' J. Chem. Phys. 110 , 1735-1744 (1999).\n - [57] A. V. Lyushnin, A. A. Golovin, and L. M. Pismen, 'Fingering instability of thin evaporating liquid films,' Phys. Rev. E 65 , 021602 (2002).\n - [58] L. M. Pismen, 'Spinodal dewetting in a volatile liquid film,' Phys. Rev. E 70 , 021601 (2004).\n - [59] C. Poulard, O. Benichou, and A. M. Cazabat, 'Freely receding evaporating droplets,' Langmuir 19 , 8828-8834 (2003).\n - [60] Y. Gotkis, I. Ivanov, N. Murisic, and L. Kondic, 'Dynamic structure formation at the fronts of volatile liquid drops,' Phys. Rev. Lett. 97 , 186101 (2006).\n - [61] E. Pauliac-Vaujour and P. Moriarty, 'Meniscus-mediated organization of colloidal nanoparticles,' J. Phys. Chem. C 111 , 16255-16260 (2007).\n - [62] C. Gigault, K. Dalnoki-Veress, and J. R. Dutcher, 'Changes in the morphology of self-assembled polystyrene microsphere monolayers produced by annealing,' J. Colloid Interface Sci. 243 , 143-155 (2001).\n - [63] A. Oron, S. H. Davis, and S. G. Bankoff, 'Long-scale evolution of thin liquid films,' Rev. Mod. Phys. 69 , 931-980 (1997).\n - [64] U. Thiele, 'Thin film evolution equations from (evaporating) dewetting liquid layers to epitaxial growth,' J. Phys.-Cond. Mat. (2010), (at press).", - "page_start": 28, - "page_end": 28, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [97] U. Thiele, M. G. Velarde, K. Neuffer, and Y. Pomeau, 'Film rupture in the diffuse interface model coupled to hydrodynamics,' Phys. Rev. E 64 , 031602 (2001).\n - [98] J. Heier, J. Groenewold, F. A. Castro, F. Nueesch, and R. Hany, 'Enlarged bilayer interfaces from liquid-liquid dewetting for photovoltaic applications,' P Soc Photo-Opt Instrum Eng 6999 , J9991J9991 (2008).\n - [99] M. D. Haw, M. Gillie, and W. C. K. Poon, 'Effects of phase behavior on the drying of colloidal suspensions,' Langmuir 18 , 1626-1633 (2002).\n - [100] L. V. Govor, J. Parisi, G. H. Bauer, and G. Reiter, 'Instability and droplet formation in evaporating thin films of a binary solution,' Phys. Rev. E 71 , 051603 (2005).\n - [101] L. V. Govor, G. Reiter, G. H. Bauer, and J. Parisi, 'Self-assembled treelike patterns from an evaporating binary solution,' Phys. Rev. E 74 , 061603 (2006).\n - [102] M. Yamamura, T. Nishio, T. Kajiwara, and K. Adachi, 'Evaporation-induced pattern formation in polymer films via secondary phase separation,' Chem. Eng. Sci. 57 , 2901-2905 (2002).\n - [103] P. Muller-Buschbaum, E. Bauer, S. Pfister, S. V. Roth, M. Burghammer, C. Riekel, C. David, and U. Thiele, 'Creation of multi-scale stripe-like patterns in thin polymer blend films,' Europhys. Lett. 73 , 35-41 (2006).\n - [104] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, and O. Gengelman, 'Mesoscopic patterning in evaporated polymer solutions: New experimental data and physical mechanisms,' Langmuir 21 , 9604-9609 (2005).\n - [105] E. Bormashenko, R. Pogreb, O. Stanevsky, Y. Bormashenko, T. Stein, V. Z. Gaisin, R. Cohen, and O. V. Gendelman, 'Mesoscopic patterning in thin polymer films formed under the fast dip-coating process,' Macromol. Mater. Eng. 290 , 114-121 (2005).\n - [106] J. B. Gibson, K. Zhang, K. Chen, S. Chynoweth, and C. W. Manke, 'Simulation of colloid-polymer systems using dissipative particle dynamics,' Mol. Simul. 23 , 1-41 (1999).\n - [107] K. Stratford and I. Pagonabarraga, 'Parallel simulation of particle suspensions with the lattice Boltzmann method,' Comput. Math. Appl. 55 , 1585-1593 (2008).\n - [108] G. Drazer, B. Khusid, J. Koplik, and A. Acrivos, 'Wetting and particle adsorption in nanoflows,' Phys. Fluids 17 , 017102 (2005).\n - [109] J. Kromkamp, D. van den Ende, D. Kandhai, R. van der Sman, and R. Boom, 'Lattice Boltzmann simulation of 2d and 3d non-Brownian suspensions in Couette flow,' Chem. Eng. Sci. 61 , 858-873 (2006).", - "page_start": 31, - "page_end": 31, - "source_file": "1001.2669.pdf" - }, - { - "text": "fast evaporation [104, 105]. These complex experimental systems all represent systems of high practical interest that the theories presented here are not (yet) able to describe. Such experiments do, however, provide a strong motivation for further work to extend the theories presented here, as well as to develop new approaches.\n\nLet us finally mention that several topics were entirely excluded from our discussion here. First, we focused on a limited range of descriptions and did, for instance, not mention lattice Boltzmann, molecular dynamics or dissipative particle dynamics approaches that may also be employed to describe fluid suspensions [106-109]. Second, we have only discussed spatially homogeneous substrates. Patterned substrates are widely used in dewetting experiments [38, 110-112]. Theoretical descriptions are well developed for the dewetting of films of pure non-volatile liquids on such substrates [68, 113-119]. However, in the case of volatile liquids on heterogeneous substrates, much less work has been done. A third topic that we did not touch upon are possible continuum thin film approaches to demixing dewetting suspensions. We believe it is feasible to extend the diffuse interface theories such as model-H [120] to include the influence of evaporation in dewetting nanoparticle suspensions. For instance, such models have already been adapted to describe demixing free surface films of polymer blends [121-123].\n\n## Acknowledgments\n\nAJA and MJR gratefully acknowledge RCUK and EPSRC, respectively, for financial support. We acknowledge support by the European Union via the FP6 and FP7 Marie Curie schemes [Grants MRTN-CT-2004005728 (PATTERNS) and PITN-GA-2008-214919 (MULTIFLOW)].\n\n- [2] G. Reiter, 'Mobility of polymers in films thinner than their unperturbed size,' Europhys. Lett. 23 , 579-584 (1993).\n- [3] A. Sharma and G. Reiter, 'Instability of thin polymer films on coated substrates: Rupture, dewetting and drop formation,' J. Colloid Interface Sci. 178 , 383-399 (1996).\n- [4] P.-G. de Gennes, 'Wetting: Statics and dynamics,' Rev. Mod. Phys. 57 , 827-863 (1985).", - "page_start": 24, - "page_end": 24, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [5] F. Brochard-Wyart and J. Daillant, 'Drying of solids wetted by thin liquid films,' Can. J. Phys. 68 , 1084-1088 (1989).\n - [6] P. Muller-Buschbaum, 'Dewetting and pattern formation in thin polymer films as investigated in real and reciprocal space,' J. Phys.-Condes. Matter 15 , R1549-R1582 (2003).\n - [7] R. Seemann, S. Herminghaus, C. Neto, S. Schlagowski, D. Podzimek, R. Konrad, H. Mantz, and K. Jacobs, 'Dynamics and structure formation in thin polymer melt films,' J. Phys.-Condes. Matter 17 , S267-S290 (2005).\n - [8] U. Thiele, 'Structure formation in thin liquid films,' in S. Kalliadasis and U. Thiele, editors, 'Thin films of Soft Matter,' pages 25-93, Springer, Wien (2007).\n - [9] R. Xie, A. Karim, J. F. Douglas, C. C. Han, and R. A. Weiss, 'Spinodal dewetting of thin polymer films,' Phys. Rev. Lett. 81 , 1251-1254 (1998).\n - [10] R. Seemann, S. Herminghaus, and K. Jacobs, 'Dewetting patterns and molecular forces: A reconciliation,' Phys. Rev. Lett. 86 , 5534-5537 (2001).\n - [11] U. Thiele, M. G. Velarde, and K. Neuffer, 'Dewetting: Film rupture by nucleation in the spinodal regime,' Phys. Rev. Lett. 87 , 016104 (2001).\n - [12] M. Bestehorn and K. Neuffer, 'Surface patterns of laterally extended thin liquid films in three dimensions,' Phys. Rev. Lett. 87 , 046101 (2001).\n - [13] J. Becker, G. Grun, R. Seemann, H. Mantz, K. Jacobs, K. R. Mecke, and R. Blossey, 'Complex dewetting scenarios captured by thin-film models,' Nat. Mater. 2 , 59-63 (2003).\n - [14] C. Redon, F. Brochard-Wyart, and F. Rondelez, 'Dynamics of dewetting,' Phys. Rev. Lett. 66 , 715718 (1991).\n - [15] R. Seemann, S. Herminghaus, and K. Jacobs, 'Shape of a liquid front upon dewetting,' Phys. Rev. Lett. 87 , 196101 (2001).\n - [16] R. Fetzer, K. Jacobs, A. Munch, B. Wagner, and T. P. Witelski, 'New slip regimes and the shape of dewetting thin liquid films,' Phys. Rev. Lett. 95 , 127801 (2005).\n - [17] F. Brochard-Wyart and C. Redon, 'Dynamics of liquid rim instabilities,' Langmuir 8 , 2324-2329 (1992).\n - [18] G. Reiter and A. Sharma, 'Auto-optimization of dewetting rates by rim instabilities in slipping polymer films,' Phys. Rev. Lett. 87 , 166103 (2001).\n - [19] A. Munch and B. Wagner, 'Contact-line instability of dewetting thin films,' Physica D 209 , 178-190 (2005).", - "page_start": 25, - "page_end": 25, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [110] L. Rockford, Y. Liu, P. Mansky, T. P. Russell, M. Yoon, and S. G. J. Mochrie, 'Polymers on nanoperiodic, heterogeneous surfaces,' Phys. Rev. Lett. 82 , 2602-2605 (1999).\n - [111] A. Sehgal, V. Ferreiro, J. F. Douglas, E. J. Amis, and A. Karim, 'Pattern-directed dewetting of ultrathin polymer films,' Langmuir 18 , 7041-7048 (2002).\n - [112] M. Geoghegan and G. Krausch, 'Wetting at polymer surfaces and interfaces,' Prog. Polym. Sci. 28 , 261-302 (2003).\n - [113] P. Lenz and R. Lipowsky, 'Morphological transitions of wetting layers on structured surfaces,' Phys. Rev. Lett. 80 , 1920-1923 (1998).\n - [114] C. Bauer, S. Dietrich, and A. O. Parry, 'Morphological phase transitions of thin fluid films on chemically structured substrates,' Europhys. Lett. 47 , 474-480 (1999).\n - [115] R. Konnur, K. Kargupta, and A. Sharma, 'Instability and morphology of thin liquid films on chemically heterogeneous substrates,' Phys. Rev. Lett. 84 , 931-934 (2000).\n - [116] M. Brinkmann and R. Lipowsky, 'Wetting morphologies on substrates with striped surface domains,' J. Appl. Phys. 92 , 4296-4306 (2002).\n - [117] L. Brusch, H. Kuhne, U. Thiele, and M. Bar, 'Dewetting of thin films on heterogeneous substrates: Pinning vs. coarsening,' Phys. Rev. E 66 , 011602 (2002).\n - [118] U. Thiele, L. Brusch, M. Bestehorn, and M. Bar, 'Modelling thin-film dewetting on structured substrates and templates: Bifurcation analysis and numerical simulations,' Eur. Phys. J. E 11 , 255-271 (2003).\n - [119] U. Thiele, 'Open questions and promising new fields in dewetting,' Eur. Phys. J. E 12 , 409-416 (2003).\n - [120] D. M. Anderson, G. B. McFadden, and A. A. Wheeler, 'Diffuse-interface methods in fluid mechanics,' Ann. Rev. Fluid Mech. 30 , 139-165 (1998).\n - [121] U. Thiele, S. Madruga, and L. Frastia, 'Decomposition driven interface evolution for layers of binary mixtures: I. Model derivation and stratified base states,' Phys. Fluids 19 , 122106 (2007).\n - [122] O. A. Frolovskaya, A. A. Nepomnyashchy, A. Oron, and A. A. Golovin, 'Stability of a two-layer binary-fluid system with a diffuse interface,' Phys. Fluids 20 , 112105 (2008).\n - [123] S. Madruga and U. Thiele, 'Decomposition driven interface evolution for layers of binary mixtures: II. Influence of convective transport on linear stability,' Phys. Fluids 21 , 062104 (2009).", - "page_start": 32, - "page_end": 32, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the ultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an unstable manner resulting in an array of isotropically branched structures as shown, e.g., above in Fig. 1. This indicates that at least some of the patterns described in the literature may have arisen from processes in similar ultrathin 'postcursor' films.\n\nThe existence of the ultrathin 'postcursor' film is an experimental finding that can be drawn on when choosing a theoretical approach to account for the pattern formation (see below). Note however, that at the moment there exists no explanation for its existence. A possible hypothesis is that the substrate strongly attracts the nanoparticles. As a result they form a dense suspension layer having a thickness roughly equal to the diameter of the nanoparticles. The observed mesoscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration suspension from the higher concentration suspension on the surface of the substrate.\n\n## III. MODELLING APPROACHES\n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydrodynamics. Starting from the Stokes equations, together with continuity and boundary conditions at the substrate and free surface, one applies a long-wave approximation (assuming small surface slopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness profile h ( x, y, t ) . In the case of volatile liquids one finds [55-58, 64]\n\n∂ t h = ∇· [ Q c ∇ δF δh ] -Q e δF δh , (1)\n\nwith the mobility functions Q c ( h ) = h 3 / 3 η ≥ 0 (assuming Poiseuille flow in the film and no slip at the substrate; η is the dynamic viscosity) and Q e ≥ 0 for the convective and evaporative part of the dynamics, respectively. Q e is a rate constant that can be obtained from gas kinetic theory or from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the film is close to the saturation pressure. For alternative expressions that are used to describe the non-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65-69]. Finally, ∇ = ( ∂ x , ∂ y ) , and ∂ t , ∂ x and ∂ y denote partial derivatives w.r.t. time and the coordinates.\n\nFocusing on the influence of capillarity and wettability only, the energy functional F [ h ] is given by\n\nF [ h ] = ∫ dx ∫ dy [ γ 2 ( ∇ h ) 2 + f ( h ) -µh ] (2)", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "\n\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height h p = hφ . The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\n\n\nshould also be investigated further in the simple case presented here.\n\n## IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso-", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "also shift the spinodal and binodal lines as compared to the locations of these lines in the phase diagram for the pure solvent [41]. As a consequence, the solute concentration influences the hole nucleation rate. More importantly, the solute particles may also destabilise the dewetting fronts. As a result, one may find strongly ramified structures in all three systems [23, 25, 40, 42]. A selection of images exhibiting some of the possible structures is displayed in Fig.1.\n\nFor volatile solvents, the contact lines retract even for wetting fluids. It has been found that such evaporatively receding contact lines may deposit very regular line or ring patterns parallel to the moving contact line [24, 43]. The deposition of a single ring of colloids from a evaporating drop of colloidal suspension is well known as the 'coffee stain effect' [44]. Detailed investigations reveal the emergence of rich structures including multiple irregular rings, networks, regular droplet patterns, sawtooth patterns, Sierpinski carpets, and - in the case of DNA - liquid crystalline structures [22, 30, 45-49]. The deposition of regularly spaced straight lines orthogonal to the moving contact line has also been reported [50]. Droplet patterns may as well be created employing solvent-induced dewetting of glassy polymer layers below the glass transition temperature [51-53].\n\nNote that the dewetting of pure volatile liquids has also been studied experimentally [54] and theoretically [55-58]. In this case, different contact line instabilities have been observed for evaporating liquid drops [59, 60].\n\nIn the present article we review and preview the experiments and in particular the various modelling approaches for dewetting suspensions of (nano-)particles in volatile partially wetting solvents. After reviewing the basic experimental results in Section II, we discuss in Section III several theoretical approaches. In particular, we present a kinetic Monte Carlo model in Section III A, a dynamic density functional theory in Section III B, and a thin film evolution equation in Section III C. Finally, we conclude in Section IV by discussing advantages and shortcomings of the individual approaches and future challenges to all of them.\n\n## II. EXPERIMENT WITH NANOPARTICLE SOLUTIONS\n\nWe focus on experiments that use monodisperse colloidal suspensions of thiol-passivated gold nanoparticles in toluene [33, 34, 37-40, 61]. The gold core of 2 - 3 nm diameter is coated by a layer of alkyl-thiol molecules. The length of the carbon backbone of the thiol used in the experiments ranges from 6 to 12 carbon atoms ( C 6 to C 12 ) [40]. By varying the chain length, one can control", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Concerning the dewetting of nanoparticle solutions, how does the concentration of nanoparticle affect the main finger's width ?", - "target_page": 12, - "target_passage": "A quantitative analysis shows that the mean number of fingers depends only very weakly on the av- erage concentration of the nanoparticles ; only the mean finger width increases with increasing concentration", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "1\n\n1\n\nFIG. 6: Profiles of the final dried-in nanoparticle layer for the dewetting of a suspension of nanoparticles in a volatile solvent that partially wets the substrate for (a) high ( Ω = 10 -3 ), (b) medium ( Ω = 2 × 10 -6 ) and (c) low ( Ω = 0 . 78 × 10 -8 ) evaporation rates, for the case when χ = H/l 0 = 1 . 09 , the lateral length scale is glyph[lscript] = √ γ/κH with κ = ( S p /l 0 ) exp( d 0 /l 0 ) H being an energy scale related to wettability and the vertical length scale is H = √ 2 S LW /κd 0 . The remaining dimensionless parameters are the evaporation number Ω = Q e η 0 glyph[lscript] 2 /H 3 , the diffusion number Γ = D (0) η 0 /Hκ = 10 -4 and the dimensionless chemical potential M = Hµ/κ = -0 . 0035 . The system size is L = 19500 glyph[lscript] . Film thickness and h p in the plots are scaled by the precursor film thickness.\n\n\n\nx/L\n\ncircular throughout the dewetting and evaporation process. In this case one should interprete the coordinate x as the distance from the centre of the circular film.\n\nWe start with a film of height h 0 of finite length sitting on a precursor film and assume that the film contains nanoparticles at constant concentration φ 0 . The chosen parameter values ensure that the film of thickness h 0 is linearly stable. As we do not incorporate noise, no nucleation of additional holes can occur (even with noise the probability would be extremely low). Without evaporation the film dewets 'classically' by a retraction of the initially step-like front. After a short time, surface tension smoothes the profile of the receding front and a capillary rim forms that collects all the", - "page_start": 19, - "page_end": 19, - "source_file": "1001.2669.pdf" - }, - { - "text": "polymers which only result in fingers without side-branches [75] or fields of droplets left behind [18].\n\nAquantitative analysis shows that the mean number of fingers depends only very weakly on the average concentration of the nanoparticles ρ av n ; only the mean finger width increases with increasing concentration. However, decreasing the mobility (i.e., decreasing the diffusivity of the particles) leads to a much denser finger pattern and also causes the front instability to appear at an earlier stage, i.e., when the front instability is in its initial linear regime, it has a higher growth rate and a smaller characteristic wavelength (cf. Fig. 2(c) and (d)). Decreasing the effective chemical potential (increasing its absolute value) has a similar but less strong effect. For details see [41]. These findings lead to the conclusion that the determining factor for the front instability is the ratio of the time-scales of the different transport processes. In particular, the front becomes more unstable when the velocity of the dewetting front increases as compared to the mean diffusion velocity of the nanoparticles.\n\nIf the particle diffusivity is low, the front 'collects' the particles, resulting in a build up of the particles at the front that itself is slowed down. This makes the front unstable and any fluctuation along the front will trigger a transverse instability that results in an evolving fingering pattern. This happens even when the particle-liquid and particle-particle attractive interactions do not favour clustering (i.e. demixing of the liquid and the nanoparticles). In this regime, the instability is a purely dynamic effect and energetics plays no role in determining the number of fingers. We call this the 'transport regime'.\n\nTo illustrate the influence of energetics (characterized by the interaction parameters ε ij ) on fingering in Fig. 3 we display the dependence of the mean finger number on particle-liquid interaction strength ε nl . For ε nl ≥ 1 . 5 the mean finger number < f > is nearly constant; this is the transport regime. However, on decreasing ε nl below 1.5, we observe a marked increase in the value of < f > , indicating that energy plays an important role in determining the number of fingers in this regime. In this parameter range, demixing of particles and liquid occurs at the moving front and increases its transverse instability. In this 'demixing regime', the wavelength of the fingering instability is determined by the dynamics and the energetics of the system. Decreasing ε nl further (below 1 . 4 in Fig. 3) one first observes in regime (iii) a slight decrease in the average finger number. This is a geometric effect resulting from our one-dimensional finger counting routine: The fingers increasingly break up and the dried-in pattern looks progressively isotropic. In regime (iv), the measure 〈 f 〉 does not represent a finger number but instead indicates a decrease in the typical", - "page_start": 11, - "page_end": 11, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 5: (Colour online) Density profiles for the situation where the substrate is covered by nanoparticles with average density ρ av n = 0 . 3 and with the liquid excluded from the region y < 0 . The top row shows the nanoparticle density profiles and bottom row the corresponding liquid density profiles at the times t/t l = 1000 (left), 10000 (middle) and 30000 (right), where t l = 1 /kTM nc l σ 2 . The parameters are kT/ε ll = 0 . 8 , ε nl /ε ll = 0 . 6 , ε nn = 0 , α = 0 . 2 M nc l σ 4 , M c l = 0 , ρ l ( t = 0) = 0 . 9 ± ξ (where ξ represents white noise of amplitude 0.05) and ( µ -µ coex ) /kT = -0 . 78 .\n\n\n\nThis theory allows us to study the time evolution of the evaporating film of nanoparticle suspension without some of the restrictions of the kinetic Monte Carlo model. Here, however, we illustrate its application in similar parameter regimes as used above for the KMC. We focus on two examples: (i) the spinodal dewetting of a initially flat film of nanoparticle suspension characterised by constant ρ l and ρ n (Fig. 4); and (ii) the retraction of a dewetting front that is unstable with respect to a fingering instability (Fig. 5).\n\nFig. 4 presents two pairs of snapshots from a purely evaporative dewetting process deep inside the parameter region of the phase diagram where spinodal dewetting occurs. For small times the film becomes unstable showing a typical spinodal labyrinthine pattern with a typical wavelength. The nanoparticles concentrate where the remaining liquid is situated. However, they are 'slow' in their reaction: when ρ l already takes values in the range 0.08 - 0.83, the nanoparticle concentration has only deviated by about 25% from its initial value. The film thins strongly forming many", - "page_start": 16, - "page_end": 16, - "source_file": "1001.2669.pdf" - }, - { - "text": "FIG. 7: (Colour online) A sequence of profiles during a dewetting process with competing evaporation and convection that leads to the dried-in ring structure of nanoparticles displayed in Fig. 6(b). Profiles are at (a) before pinning ( t = 0 . 08 T ), (b) at self-pinning ( t = 0 . 13 T ), and (c) after depinning ( t = 0 . 29 T ), where T = 3 × 10 10 τ with τ = η 0 γH/κ 2 ( T is of order of 1s). The film thickness profiles h are the bold solid lines, the nanoparticle concentrations φ are the dotted lines and the nanoparticle layer height h p = hφ are the dashed lines. The remaining parameters and scalings are as in Fig. 6(b).\n\n\n\n(i) in Fig. 8). The concentration increases further and when it approaches random close packing φ c , the viscosity diverges and the front pins itself. When pinned, further retraction only occurs through evaporation (Fig. 7(b) and regime (ii) in Fig. 8). The front eventually depins and starts to move again, leaving a nanoparticle ring behind (Fig. 7(c) and regime (iii) in Fig. 8). However, the velocity is not as large as at the beginning, owing to the fact that the mean concentration of particles has increased. The remaining particles are transported to the centre and are deposited there when the remaining solvent evaporates (regime (iv) in Fig. 8).\n\nThe simple model used here shows, (i) that the contact line stops due to self-pinning by the deposited particles and (ii) the Marangoni effect is not necessary for the ring formation. The model can easily be refined to account for solutal and/or thermal Marangoni effects [88] but self-pinning", - "page_start": 21, - "page_end": 21, - "source_file": "1001.2669.pdf" - }, - { - "text": "dewetted liquid. The front recedes until all liquid is collected in a central drop. Since no liquid evaporates [ Q nc = 0 in Eq. (1)], the particle concentration does not change during the process.\n\nThe situation changes when allowing for evaporation ( Q nc > 0 ). Now the front may retract by convection and/or evaporation. Evaporation leads to the possibility of a strong increase in the particle concentration at the contact line as evaporation is strongest there. Due to the strong nonlinear dependence of the viscosity on the particle concentration, this may lead to a dramatic decrease of the convective contribution to the front velocity. For moderate evaporation rates, this may result in a (temporary) self-pinning of the front. Within the present basic model, the process can (after complete dry-in) result in three different basic deposition patterns: (i) for very fast evaporation rates, all other processes occur over time scales that are much larger. In particular, the effects of convective redistribution of the liquid are neglectable. As a result one finds that a nearly homogeneous film of nanoparticles of thickness h p = φ 0 h 0 is deposited (see Fig. 6(a)). Convection only results in the small heap of material visible at the left hand side of Fig. 6(a). The decrease in h p on the right side of Fig. 6(a) arises due to the diffusion of particles to the right of the initial front position; (ii) for very low evaporation rates, the film dynamics is dominated by convective dewetting as this process acts on a much shorter time scale than evaporation. As a result, all the liquid is collected into a drop before evaporation slowly removes the remaining solvent. Under these conditions most of the nanoparticles are deposited in a single heap (see Fig. 6(c)). Depending on the diffusivity, the heap might be highest at the centre or show a depression there; (iii) at intermediate evaporation rates, one may observe the deposition of a nanoparticle ring around a region with a nanoparticle film of much lower height. At the centre deposition might increase again (see Fig. 6(b)).\n\nThe most intriguing feature is the ring formation that has been observed experimentally for suspensions of very different particle sizes ranging from nanometers [32, 36, 46, 47] to hundreds of micrometers. Pinning of the contact line and thermal Marangoni effects are often mentioned as necessary conditions for the ring formation. The contact line pinning is often assumed to result from substrate heterogeneities. Film height and concentration profiles at various instants during the dewetting process are displayed in Fig. 7. The profiles are from before, at and after self-pinning of the contact line. In Fig. 8 we display a space-time plot for the complete process. At first, the front recedes in the same manner as when there is no evaporation, but now driven by convection and evaporation. A small capillary rim forms that collects all the dewetted liquid that does not evaporate. The particle concentration slowly increases at the contact line (Fig. 7(a) and regime", - "page_start": 20, - "page_end": 20, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle deposits. The concentration of particles is much higher at the network nodes - an effect that can not been seen within the KMC model. As the particles attract the liquid there remains some liquid on the substrate where the nanoparticles are.\n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. At early times the straight front shows a rather short-wave instability, about 16 wiggles can be seen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 fingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger number remains constant, although new branches are continuously created and old branches join each other. In general, the results on fingering agree well with results obtained using the KMC model [41]. From this we conclude that jamming of discrete particles is not a necessary factor for causing the instability, since the fingering is seen here in a continuum model with a diffusion constant that is independent of the nanoparticle concentration. The DDFT is better suited than the KMC for investigations of the early instability stages: they are more easy to discern without the discrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of the one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations (in analogy to the approach used in Refs. [19, 86, 87]).\n\n## C. Thin film hydrodynamics\n\nThe previous two sections focused on two approaches to describe the experimentally observed patterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewetting front. Although both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the framework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach by considering an isothermal situation where the nanoparticles are not surface active, i.e., they do not act as surfactants. For a model incorporating the effects of latent heat generation and surfaceactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of spreading particle solutions incorporating a structural disjoining pressure has also been considered [89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "distance between particle clusters resulting from the demixing process that occurs already in the bulk liquid and is not related to the front instability at all. Note that one finds a similar sequence of regimes (i) to (iv) when increasing the particle-particle interaction strengths for fixed ε nl (see Ref. [41]) for further details.\n\nFIG. 3: (Colour online) Dependence of the mean finger number left behind by the unstable dewetting front on the particle-liquid interaction strength ε nl . The regions marked (i) to (iv) are discussed in the main text. The insets display typical snapshots obtained in the four different regions. Particles are black, liquid is grey (green online) and the empty substrate is white. The remaining parameters are kT = 0 . 2 , M = 20 , µ = -2 . 2 , ρ av n = 0 . 1 , glyph[epsilon1] nn = 2 . 0 , domain size 1200 × 1200 . For the insets, from left to right, glyph[epsilon1] nl = 1 . 2 , 1 . 4 , 1 . 45 , 1 . 8 .\n\n\n\nnl\n\nWe note also that the fingering process may be viewed as self-optimising the front motion - i.e. the front keeps its average velocity constant by expelling particles into the fingers. A similar effect exists for dewetting polymer films [18], where liquid is expelled from the growing moving rim which collects the dewetted polymer. There, the surplus liquid is left on the surface as a droplet pattern.\n\nThe kinetic Monte Carlo model is a very useful tool that helps one to understand the pattern formation in drying nanoparticle suspensions. One has, however, to keep in mind the restrictions", - "page_start": 12, - "page_end": 12, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h ( x, t ) and the amount of nanoparticles per unit length h p = φh , where φ is the volume concentration of the nanoparticles. Note, that h p corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F [ h ] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93-95]\n\nη ( φ ) = η 0 ( 1 -φ φ c ) -2 (8)\n\nwhere φ c = 0 . 64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length h p = φh one obtains the following evolution equation:\n\n∂ t ( φh ) = ∇· [ φQ c ∇ δF δh ] + ∇· [ D ( φ ) h ∇ φ ] , (9)\n\nwhere the particle concentration dependent diffusion coefficient D ( φ ) is related to the viscosity by the Einstein relation D ( φ ) = kT/ 6 πRη ( φ ) , where R is the radius of the nanoparticles [96].\n\nWe illustrate results obtained employing this thin film theory using the single example of a receding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\nf ( h ) = S LW d 2 0 h 2 + S P exp ( d 0 -h l 0 ) , (10)\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients S LW and S P , respectively, the Debye length l 0 and the Born repulsion length d 0 [57]. The resulting disjoining pressure Π = -∂ h f ( h ) allows for a stable precursor film (thickness h precursor ) and also has a second (larger) thickness ( h 0 ) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction ( x ), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "to a certain extent the particle-particle attraction. Normally, the solution is deposited on to a plain silicon substrate that is covered by the native oxide layer only [34]. However, one may locally change the wetting behaviour of the solvent by further oxidising the substrate [38]. By adding excess thiol one can also vary the properties of the solvent [40].\n\nTwo different procedures are employed for the deposition of the solution on to the substrate: spincoating or a meniscus technique [61, 62]. The choice is important as it strongly influences the evaporation rate and, as a result, the pattern formation process. When using spin-coating, one finds that directly after deposition, evaporation competes with dewetting until all the solvent has evaporated. The resulting deposits of nanoparticles are imaged by atomic force microscopy (AFM). For spin-coated films, the evaporation rate is high and structuring is normally finished before the spincoater is stopped. Conversely, the solvent evaporation rate is strongly decreased when employing the meniscus technique [61], i.e., by depositing a drop of solution on a Teflon ring that is wetted by the solvent. This allows for a better control of the process and enables the use of contrast-enhanced microscopy to observe the dewetting process in situ [40]. All pattern formation is confined to the region of the receding contact line of toluene, silicon and air. With both techniques one may find mono-modal or bi-modal polygonal networks [34], labyrinthine spinodal structures, or branched patterns (see Fig. 1). The meniscus technique allows for the study of branched structures in a more controlled manner. The work in Ref. [40] indicates that fingering strongly depends on the interaction strength of the particles, i.e., on the chain length of the thiol molecules coating the gold cores. For short chains (C 5 and C 8 ) no formation of branched structures is observed. At similar concentrations, well-developed branched structures are formed for longer chains (C 10 and C 12 ). For even longer chains (C 14 ), however, one again finds less branching. It also depends on the amount of excess thiol in the solvent (for details see Ref. [40]).\n\nWhen following the evolution of the branched patterns in situ (see the complementary video material of Ref. [40]), one clearly observes that different processes occur on different lenght scales. First, a macroscopic dewetting front recedes, leaving behind a seemingly dry substrate. The macroscopic front can be transversely unstable resulting in large-scale ( > 100 µ m) strongly anisotropic fingered structures. For fronts that move relatively quickly these macroscopic structures cover all the available substrate. However, when at a later stage the macroscopic front becomes slower, those fingers become scarce and 'macroscopic fingering' finally ceases. At this stage it is possible to appreciate that the seemingly dry region left behind by the front is not at all dry, but covered by an ultrathin 'postcursor' film that is itself unstable. The thickness of this film", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2669.pdf" - }, - { - "text": "\n\n\n\n(a)\n\n(b)\n\n\n\n(c)\n\nFIG. 1: (Colour online) Images of strongly ramified dewetting structures obtained using Atomic Force Microscopy in the case of (a) an aqueous collagen solution on graphite (courtesy of U. Thiele, M. Mertig and W. Pompe; see also Ref. [42]. Image size: 5 µ m × 5 µ m); (b) poly(acrylic acid) in water spin-coated onto a polystyrene substrate (reprinted with permission of John Wiley & Sons, Inc. from Ref. [23]; copyright John Wiley & Sons, Inc. 2002; Image size: 2 . 5 µ m × 2 . 5 µ m); and in both (c) and (d), a solution of gold nanoparticles in toluene, spin-coated onto native oxide terminated silicon substrates (scale bars given in panels). In all the images the lighter areas correspond to the deposited solute and the dark areas to the empty substrate.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2669.pdf", - "query": "Which of ultrathin film or mesoscale hydrodynamics are best explained by kinetic Monte Carlo models ? ", - "target_page": 18, - "target_passage": "lthough both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "\n\nFIG. 8: (Colour online) Space-time plots are given for (left) the film thickness h and (right) the nanoparticle layer height h p = hφ . The plot corresponds to the complete evolution resulting in the ring profile of Fig. 6(b). In both panels bright [dark] parts denote high [low] regions. The prominent central dark-bright border in the left panel indicates the change of the position of the contact line in time. Over time, four regimes can be distinguished: (i) fast motion before pinning, (ii) nearly no front motion during self-pinning, (iii) slow motion after depinning, and (iv) final evaporation from the center.\n\n\n\nshould also be investigated further in the simple case presented here.\n\n## IV. CONCLUSION\n\nWe have discussed recent work on pattern formation processes in films and drops of evaporating suspensions/solutions of polymers and particles. After reviewing experiments on suspensions of thiol-coated gold nanoparticles in toluene we have focused on the modelling of the transport and phase change processes involved. A theoretical approach to the modelling of the hydrodynamics on the mesoscale has been described as well as more microscopic models for the dynamics in the observed nanoscopic 'postcursor' film. In particular, we have introduced (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nThe kinetic Monte Carlo model and the dynamical density functional theory can both be used to investigate and understand the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor' film that remains behind the mesoscopic dewetting front. They are, however, not capable of describing the dynamical processes in a meso-", - "page_start": 22, - "page_end": 22, - "source_file": "1001.2669.pdf" - }, - { - "text": "where γ is the liquid-gas surface tension and f ( h ) is a local free energy term that describes the wettability of the surface. Since µ corresponds to a chemical potential, the term µh may either bias the system towards the liquid or towards the gas state. The variation of F w.r.t. h gives the pressure. It contains the curvature (Laplace) pressure -γ ∆ h and the disjoining pressure Π( h ) = -∂ h f ( h ) . Many different forms for the latter are in use (see, e.g., Refs. [4, 8, 63, 70-73]).\n\nFor the present system a thin film description using Eq. (1) is not appropriate because the nanoparticles are not taken into account. However, under certain conditions one can augment equation (1) for the evolution of the film thickness by coupling it to an equation for the evolution of the mean particle concentration. The resulting model is able to describe the behaviour of an evaporating solution on the meso- and macroscale. Such an approach is briefly discussed below in Section III C. Weshould expect such a model to describe the mesoscopic dewetting front discussed above. However, the theory is less suited to a description of the dewetting dynamics of the ultrathin postcursor\n\nfilm.\n\nThe dewetting of the ultrathin film of highly concentrated suspension may be described by a discrete stochastic model such as, for instance, a kinetic Monte Carlo (KMC) model based solely on evaporation/condensation dynamics of the solvent and diffusion of the solute [35, 39, 41]. The validity of this strong assumption regarding the relevant transport processes can be confirmed from an estimate based on Eq. (1): The pressure p = δF/δh drives convection and evaporation. The convective mobility is proportional to h 3 , i.e., it is large for thick films but decreases strongly with reduced film thickness. The evaporative mobility, however, is a constant, implying that evaporation will dominate below a certain (cross-over) thickness. For the parameter values of Ref. [57] and a small contact angle ( ≈ 0 . 01 ), the cross-over thickness is in the range of 1-5 nanometers. This estimate justifies the neglect of convective transport in a description of the postcursor film and may explain why one has such good agreement between the experimentally observed patterns and the patterns obtained from a purely two-dimensional (single layer) kinetic Monte Carlo model [35]. We introduce the KMC model below in Section III A.\n\nIn several respects, however, the kinetic Monte Carlo model is rather simplistic, limiting its potential applications. For instance, the thermodynamic chemical potential as well as any wetting interaction of the solvent with the substrate are collected in a single parameter - an effective chemical potential. This implies that any influence of a disjoining pressure is 'smeared out' over the whole system and that no distinction between the short- and the long-range parts of the disjoining pressure is possible. It is furthermore based on the assumption that evaporation/condensation is", - "page_start": 7, - "page_end": 7, - "source_file": "1001.2669.pdf" - }, - { - "text": "is similar to the size of the nanoparticles. At a certain distance from the macroscopic front, the ultrathin film starts to evolve a locally isotropic pattern of holes. The holes themselves grow in an unstable manner resulting in an array of isotropically branched structures as shown, e.g., above in Fig. 1. This indicates that at least some of the patterns described in the literature may have arisen from processes in similar ultrathin 'postcursor' films.\n\nThe existence of the ultrathin 'postcursor' film is an experimental finding that can be drawn on when choosing a theoretical approach to account for the pattern formation (see below). Note however, that at the moment there exists no explanation for its existence. A possible hypothesis is that the substrate strongly attracts the nanoparticles. As a result they form a dense suspension layer having a thickness roughly equal to the diameter of the nanoparticles. The observed mesoscopic dewetting front then actually correspond to an autophobic dewetting of a low concentration suspension from the higher concentration suspension on the surface of the substrate.\n\n## III. MODELLING APPROACHES\n\nModels of dewetting thin films of pure liquids or polymers are often based on thin film hydrodynamics. Starting from the Stokes equations, together with continuity and boundary conditions at the substrate and free surface, one applies a long-wave approximation (assuming small surface slopes and contact angles) [8, 63] and obtains a non-linear evolution equation for the film thickness profile h ( x, y, t ) . In the case of volatile liquids one finds [55-58, 64]\n\n∂ t h = ∇· [ Q c ∇ δF δh ] -Q e δF δh , (1)\n\nwith the mobility functions Q c ( h ) = h 3 / 3 η ≥ 0 (assuming Poiseuille flow in the film and no slip at the substrate; η is the dynamic viscosity) and Q e ≥ 0 for the convective and evaporative part of the dynamics, respectively. Q e is a rate constant that can be obtained from gas kinetic theory or from experiment [57]. Note that Eq. (1) only applies if the pressure in the vapour above the film is close to the saturation pressure. For alternative expressions that are used to describe the non-conserved evaporative dynamics see, e.g., Refs. [56, 57, 65-69]. Finally, ∇ = ( ∂ x , ∂ y ) , and ∂ t , ∂ x and ∂ y denote partial derivatives w.r.t. time and the coordinates.\n\nFocusing on the influence of capillarity and wettability only, the energy functional F [ h ] is given by\n\nF [ h ] = ∫ dx ∫ dy [ γ 2 ( ∇ h ) 2 + f ( h ) -µh ] (2)", - "page_start": 6, - "page_end": 6, - "source_file": "1001.2669.pdf" - }, - { - "text": "on the model (see above). The purely two-dimensional character of the KMC was extended to a 'pseudo three-dimensional' one by making the effective chemical potential dependent on the mean liquid coverage [38]. As the latter is related to a mean film thickness, this corresponds to the introduction of a 'global' thickness-dependent disjoining pressure into the evaporation term without an explicit consideration of a film thickness. The amended model can reproduce bimodal structures that are beyond the scope of the purely two-dimensional model [38, 39]. Fully threedimensional models are also discussed in the literature [76, 77].\n\n## B. Dynamical Density Functional theory\n\nThe limitations of the kinetic Monte Carlo model introduced in the previous Section are related to its character as a two-dimensional lattice gas with only three states: gas, liquid or particle. This implies that (i) no liquid can be transported to a site on the surface already filled with liquid, i.e., diffusion of the liquid can not be incorporated in a sensible way and (ii) one is not able to distinguish between the influence of the short- and the long-range parts of the interactions with the substrate, as all such interactions are absorbed into the effective chemical potential.\n\nHowever, using dynamical density functional theory (DDFT) [78-83] one can develop a model for the processes in the ultrathin postcursor film without these limitations, although here we limit ourselves to developing the theory at the level of the KMC and solely discuss how to extend it to incorporate the influence of the liquid diffusion over the surface. Such a DDFT model describes the coupled dynamics of the density fields of the liquid ρ l and the nanoparticles ρ n . The densities ρ l and ρ n are defined as the probabilities of finding a given lattice site on the surface to be occupied by a film of liquid or by a nanoparticle, respectively. Note that the probability densities correspond to number densities as we use the lattice spacing σ = 1 as our unit of length.\n\nTo develop the DDFT, one must first derive the underlying free energy functional F [ ρ l , ρ n ] , and secondly, devise dynamical equations for both density fields that account for the conserved and the non-conserved aspects of their dynamics, i.e., transport and phase change processes, respectively. For a system governed by the hamiltonian (3), we may construct a mean-field (Bragg-Williams) approximation for the free energy of the system [78, 84] which contains an entropic contribution and contributions from the interactions between the different species (nanoparticles and liquid). The free energy is a semi-grand free energy, since the liquid is treated grand canonically (it is coupled to a reservoir with chemical potential µ ), whereas the nanoparticles are treated in the", - "page_start": 13, - "page_end": 13, - "source_file": "1001.2669.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n## A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l . The resulting three possible states of a cell are: liquid ( l = 1 , n = 0 ), nanoparticle ( l = 0 , n = 1 ), and vapour ( l = 0 , n = 0 , i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\nE = -ε nn 2 ∑ n i n j -ε nl 2 ∑ n i l j -ε ll 2 ∑ l i l j -µ ∑ i l i (3)\n\nwhere ∑ denotes a sum over nearest neighbour pairs and ε ll , ε nn and ε nl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters ε ll , ε nn , ε nl and the effective chemical potential µ determines the equilibrium state of the system. We choose ε ll as unit of energy - i.e. we set ε ll = 1 .\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - }, - { - "text": "## Abstract\n\nWe review recent experiments on dewetting thin films of evaporating colloidal nanoparticle suspensions (nanofluids) and discuss several theoretical approaches to describe the ongoing processes including coupled transport and phase changes. These approaches range from microscopic discrete stochastic theories to mesoscopic continuous deterministic descriptions. In particular, we focus on (i) a microscopic kinetic Monte Carlo model, (ii) a dynamical density functional theory and (iii) a hydrodynamic thin film model.\n\nModels (i) and (ii) are employed to discuss the formation of polygonal networks, spinodal and branched structures resulting from the dewetting of an ultrathin 'postcursor film' that remains behind a mesoscopic dewetting front. We highlight, in particular, the presence of a transverse instability in the evaporative dewetting front which results in highly branched fingering structures. The subtle interplay of decomposition in the film and contact line motion is discussed.\n\nFinally, we discuss a simple thin film model (iii) of the hydrodynamics on the mesoscale. We employ coupled evolution equations for the film thickness profile and mean particle concentration. The model is used to discuss the self-pinning and de-pinning of a contact line related to the 'coffee-stain' effect.\n\nIn the course of the review we discuss the advantages and limitations of the different theories, as well as possible future developments and extensions.\n\nThe paper is published in: J. Phys.-Cond. Mat. 21 , 264016 (2009), in the Volume 'Nanofluids on solid substrates' and can be obtained at http://dx.doi.org/10.1088/0953-8984/21/26/264016", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2669.pdf" - }, - { - "text": "scopic film. We have seen that the KMC model is able to describe the interplay of solute diffusion within the solvent and solvent evaporation/condensation. It also takes the liquid-liquid, liquidparticle and particle-particle interactions into account and therefore allows us to distinguish different regimes of the transverse (fingering) instability of the evaporative dewetting front: a transport regime where the instability is almost completely independent of the interaction strengths and a demixing regime where particles and liquid demix at the receding front thereby increasing its transverse instability.\n\nThe dynamical density functional theory describes the coupled dynamics of the density fields of the liquid and the nanoparticles. In the form described above (i.e. based on the two-dimensional hamiltonian (3)) we obtain a simple theory that allows us to study the time evolution of the evaporating ultrathin film and also to investigate the influence of processes such as surface diffusion by the liquid, which are not incorporated in the KMC model. However, it is straightforward to extend the theory to consider a fully three-dimensional fluid film, in which one can distinguish between short- and long-range interactions of solvent and/or solute with the substrate. We have, however, restricted the examples given here to situations that can also be described using the KMC model. A further exploration will be presented elsewhere.\n\nFinally, we have discussed a simple thin film model for the hydrodynamics on the mesoscale. It results from a long-wave approximation and consists of coupled evolution equations for the film thickness profile and the mean particle concentration. It has been used to discuss the self-pinning of receding contact lines that is related to the formation of rings of dried-in particles (coffeestain effect) that frequently occurs when films or drops of solutions or suspensions dewet by the combined effects of convection and evaporation.\n\nOne of the primary goals of researchers in this field, is the search for simple-to-use techniques that allow one to produce hierarchically structured functional layers for a wide range of applications such as, e.g., organic solar cells [98]. This means that the experiments advance very rapidly towards increasingly complex systems. For example, there have been investigations of the influence of the phase behaviour on the drying of droplets of a suspension of hard-sphere colloidal particles and non-adsorbing polymer [99], of the instabilities and the formation of drops in evaporating thin films of binary solutions [100] that may lead to treelike patterns [101], of effects of a secondary phase separation on evaporation-induced pattern formation in polymer films [102], and of the influence of an imposed flow on decomposition and deposition processes in a sliding ridge of evaporating solution of a binary polymer mixture [103] and of the influence of rather", - "page_start": 23, - "page_end": 23, - "source_file": "1001.2669.pdf" - }, - { - "text": "substrate and force equilibria at the free surface, and applies a long-wave approximation. Under the assumption that concentrations equilibrate rapidly over the film thickness, we obtain coupled non-linear evolution equations for the film thickness profile h ( x, t ) and the amount of nanoparticles per unit length h p = φh , where φ is the volume concentration of the nanoparticles. Note, that h p corresponds to the local thickness of the nanoparticle layer when all the solvent is evaporated. The resulting evolution equation for the film thickness is Eq. (1) above and focusing on the influence of particle-independent capillarity and wettability only, the energy functional F [ h ] is given by Eq. (2) above. Note that the viscosity η depends on the particle concentration. Following Refs. [88, 89, 91, 92] we use the Quemada law for dense suspensions [93-95]\n\nη ( φ ) = η 0 ( 1 -φ φ c ) -2 (8)\n\nwhere φ c = 0 . 64 corresponds to random close packing of spherical particles. For the nanoparticle volume per length h p = φh one obtains the following evolution equation:\n\n∂ t ( φh ) = ∇· [ φQ c ∇ δF δh ] + ∇· [ D ( φ ) h ∇ φ ] , (9)\n\nwhere the particle concentration dependent diffusion coefficient D ( φ ) is related to the viscosity by the Einstein relation D ( φ ) = kT/ 6 πRη ( φ ) , where R is the radius of the nanoparticles [96].\n\nWe illustrate results obtained employing this thin film theory using the single example of a receding dewetting front for a partially wetting film. We use the disjoining pressure and material constants for the liquid considered in Ref. [57], where the evaporative and convective dewetting of a film of volatile liquid is studied. We add, however, the nanoparticles to the system. The expression that we employ for the local free energy term in Eq. (2) is:\n\nf ( h ) = S LW d 2 0 h 2 + S P exp ( d 0 -h l 0 ) , (10)\n\nwhere the parameters characterising the interaction between the liquid film and the surface are the apolar and polar spreading coefficients S LW and S P , respectively, the Debye length l 0 and the Born repulsion length d 0 [57]. The resulting disjoining pressure Π = -∂ h f ( h ) allows for a stable precursor film (thickness h precursor ) and also has a second (larger) thickness ( h 0 ) that corresponds to a secondary minimum of the underlying energy functional. See Refs. [11, 97] for studies of film and drop states for similar disjoining pressures. Our results are calculated for a system where the profiles only vary in one Cartesian direction ( x ), corresponding to a straight dewetting front. However, our results may also be interpreted as applying to a circular flat drop whose front remains", - "page_start": 18, - "page_end": 18, - "source_file": "1001.2669.pdf" - }, - { - "text": "small holes. The competition for space results in a fine-meshed polygonal network of nanoparticle deposits. The concentration of particles is much higher at the network nodes - an effect that can not been seen within the KMC model. As the particles attract the liquid there remains some liquid on the substrate where the nanoparticles are.\n\nFig. 5 gives snapshots of the evolution of a fingering instability for a retracting dewetting front. At early times the straight front shows a rather short-wave instability, about 16 wiggles can be seen. However, they are only a transient: the finger pattern coarsens rapidly till only about 7 fingers remain. The fingering then becomes stationary, i.e., just as in the KMC, the mean finger number remains constant, although new branches are continuously created and old branches join each other. In general, the results on fingering agree well with results obtained using the KMC model [41]. From this we conclude that jamming of discrete particles is not a necessary factor for causing the instability, since the fingering is seen here in a continuum model with a diffusion constant that is independent of the nanoparticle concentration. The DDFT is better suited than the KMC for investigations of the early instability stages: they are more easy to discern without the discrete background noise of the KMC. Furthermore, one may perform a linear stability analysis of the one-dimensional undisturbed streamwise front profiles with respect to transverse perturbations (in analogy to the approach used in Refs. [19, 86, 87]).\n\n## C. Thin film hydrodynamics\n\nThe previous two sections focused on two approaches to describe the experimentally observed patterning dynamics in the ultrathin postcursor film left behind by a mesoscopic receding dewetting front. Although both the kinetic Monte Carlo model and the dynamical density functional theory are able to describe well the processes in the ultrathin film, they can not be employed to describe mesoscale hydrodynamics. A relatively simple model for the latter can be derived in the framework of a long-wave or lubrication equation [8, 63]. We will illustrate here the approach by considering an isothermal situation where the nanoparticles are not surface active, i.e., they do not act as surfactants. For a model incorporating the effects of latent heat generation and surfaceactive particles resulting in thermal and solutal Marangoni stresses, see Ref. [88]. A description of spreading particle solutions incorporating a structural disjoining pressure has also been considered [89]. For related work on particle-laden film flow on an incline see Refs. [90, 91].\n\nOne starts from the Stokes equations, together with continuity, no-slip boundary conditions at the", - "page_start": 17, - "page_end": 17, - "source_file": "1001.2669.pdf" - }, - { - "text": "- [81] A. J. Archer and M. Rauscher, 'Dynamical density functional theory for interacting brownian particles: Stochastic or deterministic?' J. Phys. A-Math. Gen. 37 , 9325-9333 (2004).\n - [82] A. J. Archer and R. Evans, 'Dynamical density functional theory and its application to spinodal decomposition,' J. Chem. Phys. 121 , 4246-4254 (2004).\n - [83] P. A. Monson, 'Mean field kinetic theory for a lattice gas model of fluids confined in porous materials,' J. Chem. Phys. 128 , 084701 (2008).\n - [84] P. M. Chaikin and T. C. Lubensky, Principles of condensed matter physics , Cambridge University Press (1997).\n - [85] J. S. Langer, 'An introduction to the kinetics of first-order phase transitions,' in C. Godreche, editor, 'Solids far from Equilibrium,' pages 297-363, Cambridge University Press (1992).\n - [86] M. A. Spaid and G. M. Homsy, 'Stability of Newtonian and viscoelastic dynamic contact lines,' Phys. Fluids 8 , 460-478 (1996).\n - [87] U. Thiele and E. Knobloch, 'Front and back instability of a liquid film on a slightly inclined plate,' Phys. Fluids 15 , 892-907 (2003).\n - [88] M. R. E. Warner, R. V. Craster, and O. K. Matar, 'Surface patterning via evaporation of ultrathin films containing nanoparticles,' J. Colloid Interface Sci. 267 , 92-110 (2003).\n - [89] O. K. Matar, R. V. Craster, and K. Sefiane, 'Dynamic spreading of droplets containing nanoparticles,' Phys. Rev. E 76 , 056315 (2007).\n - [90] J. J. Zhou, B. Dupuy, A. L. Bertozzi, and A. E. Hosoi, 'Theory for shock dynamics in particle-laden thin films,' Phys. Rev. Lett. 94 , 117803 (2005).\n - [91] B. P. Cook, A. L. Bertozzi, and A. E. Hosoi, 'Shock solutions for particle-laden thin films,' SIAM J. Appl. Math. 68 , 760-783 (2008).\n - [92] R. V. Craster, O. K. Matar, and K. Sefiane, 'Pinning, retraction, and terracing of evaporating droplets containing nanoparticles,' Langmuir (2009), online available.\n - [93] D. Quemada, 'Rheology of concentrated disperse systems and minimum energy-dissipation principle I. Viscosity-concentration relationship,' Rheol. Acta 16 , 82-94 (1977).\n - [94] D. Quemada and C. Berli, 'Energy of interaction in colloids and its implications in rheological modeling,' Adv. Colloid Interface Sci. 98 , 51-85 (2002).\n - [95] J. J. Stickel and R. L. Powell, 'Fluid mechanics and rheology of dense suspensions,' Annu. Rev. Fluid Mech. 37 , 129-149 (2005).\n - [96] J. K. G. Dhont, An Introduction to Dynamics of Colloids , Elsevier, Amsterdam (1996).", - "page_start": 30, - "page_end": 30, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What is AgMERRA ?", - "target_page": 2, - "target_passage": " historical daily weather data (1986–2005) are from the AgMERRA dataset. AgMERRA is a post-processing of the NASA Modern-Era Retrospective Analysis for Research and Applications (MERRA) data. The dataset is proved to be suitable for agricultural modelling and features consistent, daily time-series data", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Geology\n\nThe silver and gold mineralisation is hosted within tertiary-aged volcanic units at Arqueros and Teterita, and in Paleozoic sediments at Chimberos. The alteration and mineralisation are all Miocene in age and associated with the Cerros Bravos paleovolcano.\n\nMineralisation comprises two main components. Silver-rich horizontal units termed 'mantos' (Spanish for blanket) and a series of near-vertical, cross-cutting gold-rich structures. The mantos silver mineralisation is hosted by vuggy silica within dacitic lapilli tuff. Mantos occurs at Arqueros and Teterita where the mineralising process has replaced horizontal porous tuffs. At Chimberos, silver mineralisation is hosted in vuggy silica hydrothermal breccia superimposed on folded Paleozoic sediments.\n\nThe vertical gold-rich mineralisation, also characterised by vuggy silica, is well-developed at Arqueros. It has been interpreted as feeders for mineralising fluids. Nonetheless, this style of mineralisation has not yet been observed at Teterita and is poorly preserved at Chimberos.\n\n## Resource\n\nKingsgate has updated the project resource base to incorporate the recent drilling on the Chimberos project and using the current gold/ silver ratio of 60 (previously 45) for its gold equivalent (AuEq60) and silver equivalent (AgEq60) calculations.The combined Measured, Indicated and Inferred mineral resource for the Nueva Esperanza Project is based on resource block modelling of Arqueros, Chimberos and Teterita, and has been estimated at a cut-off grade of 0.5 grams per tonne (g/t), gold equivalent (AuEq60) to be 28.9 million tonnes at 0.27 g/t gold and 84 g/t silver.\n\nThis represents about 250,000 ounces of gold and 78.5 million ounces of silver.\n\nThe Measured, Indicated and Inferred resource may be expressed in gold or silver equivalent ounces as:\n\n - 〉 Gold equivalent ounces (AuEQ60): 1.6 million ounces at 1.7 g/t gold equivalent; and\n - 〉 Silver equivalent ounces (AgEQ60): 93.5 million ounces at 100 g/t silver equivalent.\n\nProjects Report\n\n\n\n## Feasibility Study\n\nA Definitive Feasibility Study commenced on the project at the end of May 2011 with the focus on Arqueros, and open pit mining of that deposit with processing by traditional mill and agiitation leaching in cyanide. Subsequent acquisition of the Teterita and Chimberos deposits resulted in an expansion of the feasibility study to incorporate their resources.\n\nIn late 2012, a decision was taken to examine lower cost options for processing using heap leaching. With major engineering already done, technical studies focussed on metallurgical testwork and heap leach design. It has been established that the mineralisation from the three deposits can be processed by HPGR (High Pressure Grinding Rolls) crushing and heap leaching with silver and gold recoveries of the order of 70% to 75% for silver and 65% to 70% for gold. The project development plan is now focussed on a 3 million tonne per annum heap leach operation with an initial mine life of over 6 years. Annualised production levels (post rampup) are estimated at 6.0-8.0 million ounces of silver and 18,000-22,000 ounces of gold, at an indicative start-up capital cost between US$130-150 million (inclusive of 25% contingency).\n\nThese project parameters are based on preliminary results only and are insufficient to provide assurance as to the economic development of the project at this stage and these parameters may also change following completion of the Definitive Feasibility Study.\n\nWith the technical and economical feasibility of heap leaching being established, the project will now move into the final feasibility and design stage with results expected to be available during the March quarter 2014.", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\nr\n\nii2.18. Rhuiples of Ropellerr\n\n--", - "page_start": 163, - "page_end": 163, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\n## CHAIRMAN'S REPORT\n\nLabour hire is heavily dependent upon the quality of the personnel database and our intention has been announced to offer training at Dampier, Broome and Darwin for those who live in the North West and wish to work in the offshore industry there. Planning for this new initiative is well advanced and we expect to be running courses for prospective offshore employees in coming months. Although the training program is not directed to any particular community group, it has been encouraging to have active support from Aboriginal leaders in the Kimberley region.\n\nWorld prospects for energy, the need for Australia to add value to its resources, Government initiatives for the support of these activities and environmental imperatives, heavily favour gas, giving every indication that Mermaid Marine's development push has been extremely timely.\n\nIt is also important to draw attention to increased efforts in terms of health, safety and environmental protection. Our workplace is largely at sea, where operations involve natural dangers and the safety of our people is paramount. We also work in a setting where the tasks in which we are involved cast us in the role of environmental caretakers of the sea and coastline.\n\nOver the past twelve months, we have worked even more closely with producers to take this side of our business to the highest possible standard. We are proud of the achievement and at the time of this report, despite the inherent dangers involved in the work, our employees have accrued a record 348 days free of Lost Time Injuries, a tremendous effort.\n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve earnings of at least $100million, with appropriate levels of accompanying profit. That will be addressed through our policy of strategic positioning and development in the North West of Australia, and also by acquisition where merger or purchase will add to our earnings and strengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are well able to pursue and secure our ambitious program.\n\nAlan Birchmore\n\nChairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## OPERATIONS REVIEW\n\n## SEAGOING OPERATIONS\n\nMermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. DAMPIER BASE\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n\n\n·\n\n\n\n·\n\nAn 'all tides' approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "2000\n\nT\n\nREPOR\n\nAL\n\nANNU\n\n\n\nMERMAID MARINE AUSTRALIA LIMITED\n\nACN 083 185 693", - "page_start": 0, - "page_end": 0, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n\n\nu\n\n## Nueva Esperanza Project\n\n## Chile\n\n## Summary\n\nThe Nueva Esperanza Project is 100% owned by Kingsgate since February 2012. Nueva Esperanza is located in the Maricunga Gold Belt near Copiapó, a regional mining centre in Northern Chile. The silver-rich mineralisation is hosted by the Esperanza high-sulphidation epithermal alteration system associated with the Cerros Bravos volcanic complex.\n\nThe project consists of three well-defined mineralised deposits and a number of undeveloped exploration targets. The main deposits are Arqueros, Chimberos and Teterita. Arqueros was previously mined on a limited scale by underground methods and Chimberos was exploited as an open pit mine, delivering about 40 million ounces of silver in 1998/99. All three deposits currently have a combined Mineral Resources of about 93 million ounces of silver equivalent or 1.6 million ounces of gold equivalent (EQ60) 1 .\n\nA feasibility study for a decision to mine the Arqueros portion of Nueva Esperanza was completed in late 2012, demonstrating that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible. Work remained to integrate the Teterita and Chimberos deposits into the project, as well as to test lower cost options for processing. Continued metallurgical testwork has shown that mineralisation from all three deposits by heap leaching is technically and economically feasible and the preferred alternative for development.\n\nEnvironmental approvals to commence construction and mining at Nueva Esperanza were granted in July 2013 for the original Arqueros project. Work is underway to modify and update the environmental assessment to incorporate the heap leach process.\n\n - 1 Equivalence is based on gold/silver price ratio of 60. Gold equivalence = gold content plus (silver content divided by 60), whereas Silver equivalent silver content plus (gold content multiplied by 60).", - "page_start": 29, - "page_end": 29, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## CHAIRMAN'S REPORT\n\nMermaid Marine made great progress during the year to 30th June 2000, even though trading reflected low levels of activity in the North West. Prospects over recent months have rapidly improved, with a great deal of large project work in prospect. The Prospectus concept of building our business within the triangle of oil and gas reserves found between Timor, Exmouth and Darwin, is proven and has become even more relevant.\n\nRich in gas, the region is rapidly becoming Australia's powerhouse and the focus of new resource processing industries. In a statement made in only August this year, the Shell Oil Company identified gas as that Company's premier future fuel, due to its high environmental qualifications and portability. The Federal Government, also recognising the environmental advantages of gas, has identified that liquified natural gas in particular, as a greenhouse solution rather than a problem and has effectively exempted the gas industry from Kyoto protocol restraints.\n\nWoodside Petroleum has announced the signing of Memorandums of understanding for substantial gas contracts to a range of companies planning to establish their production in the Pilbara. At the time of writing this report, firm Letters of Intent were also foreshadowed for substantial increases in LNG production, specifically to Japan and prospects are high for further export sales to China, Singapore and India.\n\nProviding marine support for such expansion has been our principle source of earnings, but Mermaid will enjoy a larger and more diversified income stream once development of the Base at Dampier is completed. The project, demonstrated in more detail later in this report, will revolutionise our Company and drive significant changes in the way offshore producers are serviced in the North West of Australia.\n\nCoinciding with a start of Base construction, we were successful in attracting Mr Mark Bradley, formerly Managing Director of Clough Offshore, to join us as Mermaid's Chief Executive. As reported by the Age newspaper, our new Chief Executive has put his money where his mouth is, offering a personal investment of $2 million for equity in our company. Mark has had an extremely successful career with McDermotts and Clough Offshore. He will now drive the development of a much stronger engineering capability at Mermaid, through which, whether in joint venture or alone, we intend to be more closely involved as direct participants in North West Shelf work.\n\nImmediately following Mark Bradley's decision, his old employer, Clough Engineering, also expressed a desire to become a shareholder, subscribing $3 million for new equity. The influence that the direct involvement of Mark Bradley and Clough Engineering will have in our company's future should not be underestimated. At this time when we welcome Mark as a Director and shareholder, we are also pleased to announce the appointment of Mr Richard Reid, finance", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "- /SM590000 The data is collected from the computer where the ARSSUPPORT utility is run.", - "page_start": 428, - "page_end": 428, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Internet Small Computer System Interface (iSCSI)\n - /SM590000 iSCSI Extensions over RDMA (iSER)", - "page_start": 339, - "page_end": 339, - "source_file": "sg247938.pdf" - }, - { - "text": "Subject to meeting the BOI conditions and based on an annual production limit of 178,416 ounces of gold and 583,733 ounces of silver, Akara's Chatree Mine is entitled to:\n\n - i) an eight year full corporate tax holiday commencing at first gold pour on metal sales. The full tax holiday expired in November 2009;\n - ii) a further five years half tax holiday following i) above; and\n - iii) other benefits.\n\nThe start of the promotion period was 27 November 2001.\n\nAkara also received on 18 June 2010 a BOI promotion for the Chatree North gold processing plant. Based on annual production limit from the new processing plant of 185,200 ounces of gold and 1,080,400 ounces of silver, Akara is entitled to:\n\n - i) an eight year tax holiday on income derived from the new processing plant with tax savings limited to the capital cost of the new treatment plant;\n - ii) 25% investment allowance on the capital cost of certain assets of the new processing plant; and\n - iii) other benefits.\n\nThe start of the promotion period was\n\n - 1 November 2012.\n\nu", - "page_start": 82, - "page_end": 82, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "In 2018, what was the global proportion of maize grown in the US ?", - "target_page": 5, - "target_passage": "According to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. The United States accounts for more than 32%", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "First maize yields across the world during the historical period 1986-2005 were simulated at the 0.5° × 0.5° grid scale with two main production systems, including Spring maize and Summer maize. Historical national maize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from the gridded global dataset by combining two data products 47 . Second, genetic parameters of speci/fic cultivars of maize from previous works were adopted for the initial parameters; model parameters related to crop genotype characteristics were calibrated and tuned following the method in Xiong et al. 52 , in which the simulated yields from 1986-2005 were comparable to the statistical data. /T\\_hird, maize yields across the world were simulated under global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from gridded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, comparing maize yield average for 1986-2005.\n\nSimulation of market price using GTAP. /T\\_he yield changes for maize from the DSSAT models under 1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes in production, market price, and self-su/fficiency ratio of maize at national and global levels 53,54 . For this study, we use a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of the major food crops under current economic conditions. Utilizing current economic conditions has the advantage of minimizing assumptions and model uncertainties related to future economic conditions 55,56 .\n\n/T\\_he original GTAP database doesn't include maize as a separate sector, rather it is combined with other coarse grains to form an 'other coarse grain' sector. For this study, we updated the GTAP database by splitting maize from the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the original database. /T\\_he detailed method is given as follows:\n\nFirst, we improved the database by splitting maize from the existing sector 'other coarse grain', following similar work using GTAP 57-59 based on the routines from the Splitcom method 60 . In this procedure, the old /flows of data both at national and trade levels are allocated between the new /flows using weights. /T\\_he national weights include the division of each unsplit user's use of the original split commodity among the new commodities; the division of unsplit inputs to the original industry between the new industries; the splitting of new industry's use of each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\n\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of basic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. /T\\_he values for the national shares matrix were obtained from FAOSTAT. /T\\_he trade shares matrix was calculated based on the data from UN Comtrade Database.\n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors for maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of production and both livestock and households are major users of maize. For regional aggregation, we kept the details for all the main producing, consuming, and trading regions, for maize.\n\nVol.:(0123456789)", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 5. (continued)\n\n\n\nby 1.5 °C. According to the simulation results, comparing to 1986-2005, the maize yield in the United States, China and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% in Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would be increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield increasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 11.4% under global warming by 2.0 °C. By comparing the maize production in di/fferent countries, it can be found that the reduction trend of total maize production in the top /five countries is more obvious, especially under the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\n\nFrom the view of continents, there are di/fferent trends of maize yield changes in the 6 continents (except Antarctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under global warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, Europe and Oceania; the average yield loss rates are respectively - 15.6%, - 12.4%, - 36.4%; in the other 3 continents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight in Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are di/fferent in 2 continents, including Asia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the maize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively - 7.9% (Asia), - 14.1% (North America), - 9.3% (South America), - 22.5% (Europe), - 25.5% (Oceania); only in Africa the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming scenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual maize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under global warming by 2.0 °C than that under global warming by 1.5 °C. /T\\_here would be an obvious crisis of food supply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make full preparation for adaptation to climate change in the whole world.\n\nVol.:(0123456789)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "## Author contributions\n\nK.L. designed the framework of the article and analyzed the yield results and the maize price under future scenarios. J.P. simulated the climate data from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. W.X. simulated the maize yields in whole world under di/fferent scenarios. W.X. simulated the market price of maize at national and global levels. T.A. helped the revision of language.\n\n## Funding\n\nFunding was provided by the National Key Research and Development program of China (Grant Nos. 2019YFA0607403 and 2017YFD0300301) and National Natural Science Foundation of China (Grant Nos. 41961124007 and 41871026).\n\n## Competing interests\n\n/T\\_he authors declare no competing interests.\n\n## Additional information\n\nCorrespondence and requests for materials should be addressed to K.L.\n\nReprints and permissions information is available at www.nature.com/reprints.\n\nPublisher's note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional a/ffiliations.\n\n\n\nOpen Access /T\\_his article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. /T\\_he images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http:// creat iveco mmons. org/ licen ses/ by/4. 0/.\n\n© /T\\_he Author(s) 2022\n\nVol:.(1234567890)", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 3. Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSLCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). /T\\_he /figure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.\n\n\n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the whole world under climate change. We should grasp the opportunities and expand the yield increasing potentials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the high-risk regions.\n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in the world between 2020 and 2039 would decrease by 6.8% relative to 1986-2005. /T\\_he area is 37.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low and middle latitude of South America and Asia, and the middle latitude of Africa and North America. /T\\_he area is 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located in the low latitude of South America and the middle latitude of Asia and Europe. /T\\_he area is 45.8% of the whole maize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and North America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under RCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative to 1986-2005. /T\\_here are opposite trends of maize yield under global warming by 1.5 °C, which are simulated by di/fferent global climate models. However, the spatial distributions of maize yield change are similar to each other. /T\\_he di/fference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing are going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world would increase 0.18% relative to 1986-2005 (Fig. 3). According to Paris Agreement, all countries should do their best to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, gross maize production of the whole world would not be in/fluenced so much by climate change, but the food\n\nVol:.(1234567890)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 5. Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C.\n\n\n\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should be taken from now on. Food security would be a signi/ficant challenge in this century.\n\nYield change of maize in main countries. /T\\_here are huge di/fferences in impacts on maize yield under climate change, which would in/fluence the food crisis in di/fferent regions. /T\\_here are 159 countries in the whole world which plant maize. /T\\_he gross yield of maize the top 20 countries accounts for more than 90% of the total yield in the 159 countries. So, the changes in the top 20 countries under future scenarios would in/fluence the food security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming by 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become 33.5%. /T\\_here would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly increase. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which the mean yield loss rate is approximate to that under global warming by 1.5 °C. /T\\_here would be 77 countries experiencing yield increase; however, the mean yield increase is apparently smaller than that under global warming by 1.5 °C. Generally, the global maize yield would decrease. /T\\_he results show that the adverse e/ffect of warming up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to develop forward-looking adaptation measures to cope with future climate change.\n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. /T\\_he United States accounts for more than 32%; China accounts for about 24%; Brazil, Argentina and Mexico account for about 23%. /T\\_he /fluctuation of maize production in these /five top countries will have a signi/ficant impact on the global maize trade. Based on the simulation results, comparing to 1986-2005, the maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss rate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. However, there would be increasing trends in the United States and Mexico; the change in the United States would not be signi/ficant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming\n\nVol:.(1234567890)", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 4. Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: NorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). /T\\_he /figure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.\n\n\n\nsecurity of the whole world would still be attacked violently. /T\\_here are huge di/fferences among the continents; South America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming by 1.5 °C. /T\\_he changes in maize yield in di/fferent regions would in/fluence the maize price and food trades. So, it should be cautious to cope with the maize changes under global warming by 1.5 °C.\n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in the world between 2060 and 2079 would decrease by 18.7% relative to 1986-2005. /T\\_he area is 41.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%. /T\\_he area is 15.6% of the whole maize planting regions, in which the yield loss would be more than 50%. /T\\_he area is 42.7% of the whole maize planting regions, in which the yield would increase. /T\\_he distribution of maize yield change is similar to that under global warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the gross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986-2005. Comparing to the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield increases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, the gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M model. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would decrease 10.8% relative to 1986-2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk of yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of global warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance become much bigger for all countries in the world, who will be facing the severe challenge of global temperature rise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition\n\nVol.:(0123456789)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n\n\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our economic models. /T\\_his response can be theoretically elaborated as: due to the e/ffect of climate change on yield reduction (improvement), the supply curve moves le/f\\_tward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shi/f\\_ting to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. /T\\_his also alters the self-su/fficiency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among di/fferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signi/ficantly under both scenarios, as their yields improve due to climate e/ffects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-su/fficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive e/ffects on yields and/or are relatively less dependent on imports, are positively (less negatively) a/ffected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-su/fficiency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n## Discussion and conclusion\n\nDiscussion. Our analysis highlights the e/ffects of climate change on global- and regional-speci/fic maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We /find that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. /T\\_he limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "- 35. Yang, C. Y., Fraga, H., Ieperen, W. V. & Santos, J. A. Assessment of irrigated maize yield response to climate change scenarios in Portugal. Agric. Water Manag. 184 , 178-190 (2017).\n - 36. Miller, S. A. & Moore, F. C. Climate and health damages from global concrete production. Nat. Clim. Change https:// doi. org/ 10. 1038/ s41558- 020- 0733-0 (2020).\n - 37. Kassie, B. T. et al. Exploring climate change impacts and adaptation options for maize production in the Central Ri/f\\_t Valley of Ethiopia using di/fferent climate change scenarios and crop models. Clim. Change 129 , 145-158 (2015).\n - 38. Tao, F. & Zhang, Z. Climate change, high-temperature stress, rice productivity, and water use in Eastern China: A new superensemble-based probabilistic projection. J. Appl. Meteorol. Climatol. 52 , 531-551 (2013).\n - 39. Glotter, M. & Elliott, J. Simulating US agriculture in a modern Dust Bowl drought. Nat. Plants 3 , 16193 (2016).\n - 40. Challinor, A. J., Koehler, A. K., Ramirez-Villegas, J., Whit/field, S. & Das, B. Current warming will reduce yields unless maize breeding and seed systems adapt immediately. Nat. Clim. Change 6 , 954-958 (2016).\n - 41. Cammarano, D. et al. Using historical climate observations to understand future climate change crop yield impacts in the Southeastern US. Clim. Change 134 , 311-326 (2016).\n - 42. Etten, J. V. et al. Crop variety management for climate adaptation supported by citizen science. PNAS 116 (10), 4194-4199 (2019).\n - 43. Urban, D. W., She/ffield, J. & Lobell, D. B. /T\\_he impacts of future climate and carbon dioxide changes on the average and variability of US maize yields under two emission scenarios. Environ. Res. Lett. 10 , 045003 (2015).\n - 44. IPCC. Summary for policymakers. In Global Warming of 1.5°C. An IPCC Special Report on the Impacts of Global Warming of 1.5°C Above Pre-industrial Levels and Related Global Greenhouse Gas Emission Pathways, in the Context of Strengthening the Global Response to the /T\\_hreat of Climate Change, Sustainable Development, and E/fforts to Eradicate Poverty 32 (World Meteorological Organization, 2018).\n - 45. Ruane, A. C., Goldberg, R. & Chryssanthacopoulos, J. Climate forcing datasets for agricultural modeling: Merged products for gap-/filling and historical climate series estimation. Agr. For. Meteorol. 200 , 233-248 (2015).\n - 46. Hempel, S., Frieler, K., Warszawski, L., Schewe, J. & Piontek, F. A trendpreserving bias correction-the ISI-MIP approach. Earth Syst. Dyn. 4 , 219-236 (2013).\n - 47. Monfreda, C., Ramankutty, N. & Foley, J. A. Farming the planet: 2. Geographic distribution of crop areas, yields, physiological types, and net primary production in the year 2000. Glob. Biogeochem. Cycles 22 , 1022 (2008).\n - 48. You, L.Z., et al . Spatial Production Allocation Model (SPAM) 2000 Version 3.2 . http:// mapsp am. info (2015).\n - 49. Hoogenboom, G., et al . Decision Support System for Agrotechnology Transfer (DSSAT) Version 4.6 (DSSAT Foundation, 2015). http:// dssat. net (2015).\n - 50. Sacks, W. J., Deryng, D., Foley, J. A. & Ramankutty, N. Crop planting dates: An analysis of global patterns. Glob. Ecol. Biogeogr. 19 , 607-620 (2010).\n - 51. Batjes, H.N. A Homogenized Soil Data File for Global Environmental Research: A Subset of FAO. ISRIC and NRCS Pro/files (Version 1.0) . Working Paper and Preprint 95/10b (International Soil Reference and Information Centre, 1995).", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed9.pdf" - }, - { - "text": "Figure 7. Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\n\n\n\nFigure 8. Changes in Self-su/fficiency ratio of maize in main countries under global warming by 1.5 °C and 2.0 °C.\n\n\n\nmeantime, the huge di/fferences in yield changes in di/fferent regions provide a small chance for the world, especially under global warming by 1.5 °C. In the near future, if the global temperature can be e/ffectively controlled under 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. All regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the potentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the yield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by 1.5 °C and 2.0 °C.\n\nMeanwhile, the risk of price /fluctuations caused by global corn trade due to future climate change should be paid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, the population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, the supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify the contradiction between supply and demand, which would threaten the food security and sustainable development in the whole world.\n\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (/T\\_he Inter-Sectoral Impact Model Intercomparison Project); compared with other climate models, the /five models could more e/ffectively support impact assessment in di/fferent sectors and provide more reliable results. Based on the simulation results\n\nVol.:(0123456789)", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "## OPEN\n\n\n\n## The impact of ͷ.ͻ °C and ͸.Ͷ °C global warming on global maize production and trade\n\nKuo Li ͷ * , Jie Pan ͷ , Wei Xiong ͸ , Wei Xie ͹ & Tariq Ali ͹\n\nClimate change is becoming more and more remarkable which has an obvious impact on crop yields all over the world. Future climate scenario data was simulated by ͻ climate models recommended by ISI-MIP under ͺ RCP scenarios, in which the approximate scenarios with global warming by ͷ.ͻ °C and ͸ °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the world under global warming by ͷ.ͻ °C and ͸.Ͷ °C were analyzed and the market prices of maize at national and global levels were simulated. The results showed that, the risk of maize yield reduction under ͸.Ͷ °C scenario was much more serious than ͷ.ͻ °C scenario; the ratios of yield changes were separately Ͷ.ͷ;% and - ͷͶ.;% under ͷ.ͻ °C and ͸.Ͷ °C scenarios. The reduction trend of total maize production is obvious in the top five countries and the main producing regions of the world, especially under the ͸.Ͷ °C scenario. The market price of maize would increase by around Ͷ.ͽ% and ͹.ͺ% under ͷ.ͻ °C and ͸.Ͷ °C scenarios. With the quickly increasing population in the world, it is urgent for all countries to pay enough attention to the risk of maize yield and take actions of mitigation and adaptation to climate change.\n\nIn the past hundred years, the global climate has experienced great changes 1-4 . According to the sixth assessment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and almost all regions in the world experienced surface warming 5 . Due to global warming, the extreme climate events become more and more frequent, and the ecological environment problems caused by climate change are more and more serious, which restrict the sustainable development of human society and health 6-10 . Global warming has gradually changed from a scienti/fic issue to a major social issue of common concern to governments and people of all countries 11-13 . In 2016, nearly 200 parties of the United Nations Framework Convention on climate change reached the Paris Agreement at the climate change conference in Paris 14 . Paris Agreement has indicated and pursue e/fforts to limit the temperature increase to 1.5 °C above pre-industrial levels.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed9.pdf", - "query": "What would be the price increase resulting from maize production changes due to 1.5°C and 2°C global temperature increase ?", - "target_page": 10, - "target_passage": "In response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Figure 7. Price change on maize in main continents under global warming by 1.5 °C and 2.0 °C.\n\n\n\nFigure 8. Changes in Self-su/fficiency ratio of maize in main countries under global warming by 1.5 °C and 2.0 °C.\n\n\n\nmeantime, the huge di/fferences in yield changes in di/fferent regions provide a small chance for the world, especially under global warming by 1.5 °C. In the near future, if the global temperature can be e/ffectively controlled under 1.5 °C warming scenario, there would be an increase in the potential for maize yield in the worldwide. All regions and countries should take actions to reduce the yield loss risk. For the yield-increasing regions, the potentials of climate resources should be fully utilized to guarantee maize yield under future scenarios; for the yield-reducing regions, the targeted adaptation actions should be taken in advance under global warming by 1.5 °C and 2.0 °C.\n\nMeanwhile, the risk of price /fluctuations caused by global corn trade due to future climate change should be paid more attention to, especially for developing and undeveloped countries. In the view of supply and demand, the population would go up quickly in the next 30 years; the demand for maize would increase hugely; however, the supply of maize would go down in the future, especially under global warming by 2.0 °C; it would intensify the contradiction between supply and demand, which would threaten the food security and sustainable development in the whole world.\n\nIn this study, 5 climate models are selected, which are recommended by ISI-MIP (/T\\_he Inter-Sectoral Impact Model Intercomparison Project); compared with other climate models, the /five models could more e/ffectively support impact assessment in di/fferent sectors and provide more reliable results. Based on the simulation results\n\nVol.:(0123456789)", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n\n\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our economic models. /T\\_his response can be theoretically elaborated as: due to the e/ffect of climate change on yield reduction (improvement), the supply curve moves le/f\\_tward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shi/f\\_ting to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. /T\\_his also alters the self-su/fficiency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among di/fferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signi/ficantly under both scenarios, as their yields improve due to climate e/ffects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-su/fficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive e/ffects on yields and/or are relatively less dependent on imports, are positively (less negatively) a/ffected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-su/fficiency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n## Discussion and conclusion\n\nDiscussion. Our analysis highlights the e/ffects of climate change on global- and regional-speci/fic maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We /find that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. /T\\_he limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "## OPEN\n\n\n\n## The impact of ͷ.ͻ °C and ͸.Ͷ °C global warming on global maize production and trade\n\nKuo Li ͷ * , Jie Pan ͷ , Wei Xiong ͸ , Wei Xie ͹ & Tariq Ali ͹\n\nClimate change is becoming more and more remarkable which has an obvious impact on crop yields all over the world. Future climate scenario data was simulated by ͻ climate models recommended by ISI-MIP under ͺ RCP scenarios, in which the approximate scenarios with global warming by ͷ.ͻ °C and ͸ °C were selected. Applying DSSAT and GTAP models, the per unit yield changes of maize in the world under global warming by ͷ.ͻ °C and ͸.Ͷ °C were analyzed and the market prices of maize at national and global levels were simulated. The results showed that, the risk of maize yield reduction under ͸.Ͷ °C scenario was much more serious than ͷ.ͻ °C scenario; the ratios of yield changes were separately Ͷ.ͷ;% and - ͷͶ.;% under ͷ.ͻ °C and ͸.Ͷ °C scenarios. The reduction trend of total maize production is obvious in the top five countries and the main producing regions of the world, especially under the ͸.Ͷ °C scenario. The market price of maize would increase by around Ͷ.ͽ% and ͹.ͺ% under ͷ.ͻ °C and ͸.Ͷ °C scenarios. With the quickly increasing population in the world, it is urgent for all countries to pay enough attention to the risk of maize yield and take actions of mitigation and adaptation to climate change.\n\nIn the past hundred years, the global climate has experienced great changes 1-4 . According to the sixth assessment report of IPCC, the global average surface temperature increased by 1.09 °C between 1850 and 2020, and almost all regions in the world experienced surface warming 5 . Due to global warming, the extreme climate events become more and more frequent, and the ecological environment problems caused by climate change are more and more serious, which restrict the sustainable development of human society and health 6-10 . Global warming has gradually changed from a scienti/fic issue to a major social issue of common concern to governments and people of all countries 11-13 . In 2016, nearly 200 parties of the United Nations Framework Convention on climate change reached the Paris Agreement at the climate change conference in Paris 14 . Paris Agreement has indicated and pursue e/fforts to limit the temperature increase to 1.5 °C above pre-industrial levels.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 5. (continued)\n\n\n\nby 1.5 °C. According to the simulation results, comparing to 1986-2005, the maize yield in the United States, China and Brazil would decrease under global warming by 2.0 °C; the yield loss rate would reach more than 24% in Brazil; the United States would decrease by 13.3%; China would decrease by 11.5%. However, there would be increasing trends in Argentina and Mexico; the maize yield would increase by 16.8% in Argentina; the yield increasing rate would exceed 40% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 11.4% under global warming by 2.0 °C. By comparing the maize production in di/fferent countries, it can be found that the reduction trend of total maize production in the top /five countries is more obvious, especially under the scenario of global warming by 2.0 °C, the global food trade and food security may face greater risks.\n\nFrom the view of continents, there are di/fferent trends of maize yield changes in the 6 continents (except Antarctica) under global warming by 1.5 °C and 2.0 °C (Fig. 6). From the results of simulated by CRESE-maize under global warming by 1.5 °C, the maize yield in 3 continents would decline apparently, including South America, Europe and Oceania; the average yield loss rates are respectively - 15.6%, - 12.4%, - 36.4%; in the other 3 continents the average maize yield would go up, especially in Africa more than 30%; the increasing trends are slight in Asia and North America, in which the yield increasing rates are separately 0.7% and 0.4%. However, the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are di/fferent in 2 continents, including Asia and North America. From the results of simulated by CRESE-maize under global warming by 2.0 °C, the maize yield in 5 continents would decline apparently, except Africa; the average yield loss rates are respectively - 7.9% (Asia), - 14.1% (North America), - 9.3% (South America), - 22.5% (Europe), - 25.5% (Oceania); only in Africa the average maize yield would go up also more than 30%; meanwhile the yield change trends simulated by IPSL-CM5A-LR and GFDL-ESM2M models are the same in each continent. Comparing the two global warming scenarios, there would be apparent variations in maize yield in Asia and North America, in which the annual maize yield accounts for a great proportion of the whole world, leading to a much more serious yield loss under global warming by 2.0 °C than that under global warming by 1.5 °C. /T\\_here would be an obvious crisis of food supply under global warming by 2.0 °C with the increasing population in the future. So, it is important to make full preparation for adaptation to climate change in the whole world.\n\nVol.:(0123456789)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 2. (continued)\n\n\n\nis 16.9% in which the temperature would go up more than 3.0 °C, most located in the high latitude regions of Northern Hemisphere; the area is rarely in which the temperature would go up between 0 and 1.0 °C.\n\n/T\\_here are apparent trends of humidi/fication in most regions under global warming by 1.5 °C and 2.0 °C; but the drought risk also should be taken seriously in the other regions. Under global warming by 1.5 °C the area is 73.6% of the whole world in which the precipitation would increase, most located in the Northern Hemisphere; the area is 53.7% of the whole world in which the precipitation would increase by less than 50 mm; however, the area is 26.4% of whole world in which the rainfall would decrease, mainly located in the Southern Hemisphere and the middle regions of Northern Hemisphere. /T\\_he distribution of precipitation under global warming by 2.0 °C is similar with the situation under global warming by 1.5 °C. /T\\_he drought-threatened area would increase by 28.5% under global warming by 2.0 °C, especially in the middle and low latitude of the Northern Hemisphere; the area would expand to 26%, in which the precipitation increases more than 50 mm. In other words, the extreme rainfall events (such as drought, rainstorm) under global warming by 2.0 °C would be more serious than those under global warming by 1.5 °C, which is what we should be pay more attention to.\n\nYield change of maize under global warming by ͷ.ͻ °C and ͸.Ͷ °C. Maize production is a/ffected by climate change apparently. According to the simulation results of CERES-maize, the yield of maize would decrease in the worldwide relative to 1986-2005 under global warming by 2.0 °C; it would increase little under global warming by 1.5 °C. /T\\_he distributions of maize yield loss under the two scenarios are similar to each other, mostly located in the middle and low latitude, which are the main regions for maize planting in the world. /T\\_he loss risk of maize under global warming by 2.0 °C is much more serious than that under global warming of 1.5 °C. However, there are increasing potentials of maize yield in many regions, nearly half of the whole maize planting area in the world, in which the climate situation would become more proper for maize under global\n\nVol.:(0123456789)", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed9.pdf" - }, - { - "text": "## Author contributions\n\nK.L. designed the framework of the article and analyzed the yield results and the maize price under future scenarios. J.P. simulated the climate data from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. W.X. simulated the maize yields in whole world under di/fferent scenarios. W.X. simulated the market price of maize at national and global levels. T.A. helped the revision of language.\n\n## Funding\n\nFunding was provided by the National Key Research and Development program of China (Grant Nos. 2019YFA0607403 and 2017YFD0300301) and National Natural Science Foundation of China (Grant Nos. 41961124007 and 41871026).\n\n## Competing interests\n\n/T\\_he authors declare no competing interests.\n\n## Additional information\n\nCorrespondence and requests for materials should be addressed to K.L.\n\nReprints and permissions information is available at www.nature.com/reprints.\n\nPublisher's note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional a/ffiliations.\n\n\n\nOpen Access /T\\_his article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. /T\\_he images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http:// creat iveco mmons. org/ licen ses/ by/4. 0/.\n\n© /T\\_he Author(s) 2022\n\nVol:.(1234567890)", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 5. Yield loss rates on maize in top 20 countries under global warming by 1.5 °C and 2.0 °C.\n\n\n\nthat maize yield would decrease severely. For the whole world more mitigation and adaptation actions should be taken from now on. Food security would be a signi/ficant challenge in this century.\n\nYield change of maize in main countries. /T\\_here are huge di/fferences in impacts on maize yield under climate change, which would in/fluence the food crisis in di/fferent regions. /T\\_here are 159 countries in the whole world which plant maize. /T\\_he gross yield of maize the top 20 countries accounts for more than 90% of the total yield in the 159 countries. So, the changes in the top 20 countries under future scenarios would in/fluence the food security of the whole world (Fig. 5). From the results of simulated by CRESE-maize under global warming by 1.5 °C, there would be 75 countries facing with yield loss of maize; the mean yield loss rate would become 33.5%. /T\\_here would be 84 countries experiencing yield increases. Overall, the global maize yield would slightly increase. Under global warming by 2.0 °C, there would be 82 countries facing with yield loss of maize, for which the mean yield loss rate is approximate to that under global warming by 1.5 °C. /T\\_here would be 77 countries experiencing yield increase; however, the mean yield increase is apparently smaller than that under global warming by 1.5 °C. Generally, the global maize yield would decrease. /T\\_he results show that the adverse e/ffect of warming up 2.0 °C on global maize production is far greater than warming up 1.5 °C. It is important to take actions to develop forward-looking adaptation measures to cope with future climate change.\n\nAccording to statistics in 2018, the gross maize yield in the top 5 countries is almost 80% of the total maize yield of the whole world. /T\\_he United States accounts for more than 32%; China accounts for about 24%; Brazil, Argentina and Mexico account for about 23%. /T\\_he /fluctuation of maize production in these /five top countries will have a signi/ficant impact on the global maize trade. Based on the simulation results, comparing to 1986-2005, the maize yield in China, Brazil and Argentina would decrease under global warming by 1.5 °C; the yield loss rate would reach more than 20% in Brazil; Argentina would decrease by 14.7%; China would decrease by 3.7%. However, there would be increasing trends in the United States and Mexico; the change in the United States would not be signi/ficant and the maize yield would increase by 0.5%; the yield increasing rate would exceed 50% in Mexico. Overall, the gross maize yield in the top 5 countries would decrease by 2% under global warming\n\nVol:.(1234567890)", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed9.pdf" - }, - { - "text": "First maize yields across the world during the historical period 1986-2005 were simulated at the 0.5° × 0.5° grid scale with two main production systems, including Spring maize and Summer maize. Historical national maize production is aggregated from simulated gridded yield and weighted by grid cell maize areas in 2000 from the gridded global dataset by combining two data products 47 . Second, genetic parameters of speci/fic cultivars of maize from previous works were adopted for the initial parameters; model parameters related to crop genotype characteristics were calibrated and tuned following the method in Xiong et al. 52 , in which the simulated yields from 1986-2005 were comparable to the statistical data. /T\\_hird, maize yields across the world were simulated under global warming by 1.5 °C and 2.0 °C. Finally, global and national maize yields were aggregated from gridded values; changes in national and global yields under global warming by 1.5 °C and 2.0 °C were calculated, comparing maize yield average for 1986-2005.\n\nSimulation of market price using GTAP. /T\\_he yield changes for maize from the DSSAT models under 1.5 °C and 2.0 °C temperature increase are used to carry out simulations using competitive market for changes in production, market price, and self-su/fficiency ratio of maize at national and global levels 53,54 . For this study, we use a comparative static analysis approach to simulate the impact of climate changes on the prices and trade of the major food crops under current economic conditions. Utilizing current economic conditions has the advantage of minimizing assumptions and model uncertainties related to future economic conditions 55,56 .\n\n/T\\_he original GTAP database doesn't include maize as a separate sector, rather it is combined with other coarse grains to form an 'other coarse grain' sector. For this study, we updated the GTAP database by splitting maize from the original sector in the database, design an appropriate sectoral and regional aggregation scheme to the original database. /T\\_he detailed method is given as follows:\n\nFirst, we improved the database by splitting maize from the existing sector 'other coarse grain', following similar work using GTAP 57-59 based on the routines from the Splitcom method 60 . In this procedure, the old /flows of data both at national and trade levels are allocated between the new /flows using weights. /T\\_he national weights include the division of each unsplit user's use of the original split commodity among the new commodities; the division of unsplit inputs to the original industry between the new industries; the splitting of new industry's use of each new commodity. Maize use is mainly shared between feed, food, processing and others (seed, waste, etc.).\n\nTrade shares allocate the original slice of the split commodity into the new commodity for all elements of basic price value, tax, and margin. Finally, we used the RAS method for balancing the newly created database. /T\\_he values for the national shares matrix were obtained from FAOSTAT. /T\\_he trade shares matrix was calculated based on the data from UN Comtrade Database.\n\nSecond, our sectoral aggregation scheme for GTAP ensures that all the competing and complimenting sectors for maize are present in the most disaggregated form. For example, for maize, other crops compete for inputs of production and both livestock and households are major users of maize. For regional aggregation, we kept the details for all the main producing, consuming, and trading regions, for maize.\n\nVol.:(0123456789)", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 4. Distribution of yield loss rates on maize in the world under global warming by 2.0 °C (up: NorESM1-M model, RCP 4.5; down: GFDL-ESM2M model, RCP 6.0). /T\\_he /figure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.\n\n\n\nsecurity of the whole world would still be attacked violently. /T\\_here are huge di/fferences among the continents; South America, Asia and the Middle East are threatened seriously by yield loss seriously under global warming by 1.5 °C. /T\\_he changes in maize yield in di/fferent regions would in/fluence the maize price and food trades. So, it should be cautious to cope with the maize changes under global warming by 1.5 °C.\n\nFrom the results of simulated by the NorESM1-M model under RCP 4.5 scenario, the gross yield of maize in the world between 2060 and 2079 would decrease by 18.7% relative to 1986-2005. /T\\_he area is 41.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%. /T\\_he area is 15.6% of the whole maize planting regions, in which the yield loss would be more than 50%. /T\\_he area is 42.7% of the whole maize planting regions, in which the yield would increase. /T\\_he distribution of maize yield change is similar to that under global warming by 1.5 °C. From the results simulated by the GFDL-ESM2M model under RCP 6.0 scenario, the gross yield of maize in the world between 2065 and 2084 would decrease by 3% relative to 1986-2005. Comparing to the results of the NorESM1-M model, the regions of high yield loss rate are increasing, and the regions of yield increases are going down; but the per unit area yields are increasing quickly in the regions of yield increasing. So, the gross maize yield in the whole world simulated by the GFDL-ESM2M model is more than the NorESM1-M model. In a comprehensive perspective, under global warming by 2.0 °C, maize yield in the whole world would decrease 10.8% relative to 1986-2005 (Fig. 4). Compared to the results under global warming by 1.5 °C, the risk of yield loss is much higher. According to the new results from the Emission Gap Report in 2019, the target of global warming by 1.5 °C would not be implemented according to the reality of mitigation actions; the chance become much bigger for all countries in the world, who will be facing the severe challenge of global temperature rise of 2.0 °C or even higher (3.0 °C or 4.0 °C) in the future. So it is critical to cope with the serious condition\n\nVol.:(0123456789)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\nFigure 3. Distribution of yield loss rate on maize in the world under global warming by 1.5 °C (up: IPSLCM5A-LR model, RCP 2.6; down: GFDL-ESM2M model, RCP 4.5). /T\\_he /figure has been generated using ArcGIS 10.2 and Natural Earth-Free vector and raster map data @ https:// natur alear thdata. com.\n\n\n\nwarming by 1.5 °C and 2.0 °C. So, there are apparent challenges and opportunities for maize production in the whole world under climate change. We should grasp the opportunities and expand the yield increasing potentials; meanwhile, the threat of maize yield loss should be controlled and compressed to the minimum in the high-risk regions.\n\nFrom the results simulated by IPSL-CM5A-LR model under RCP 2.6 scenario, the gross yield of maize in the world between 2020 and 2039 would decrease by 6.8% relative to 1986-2005. /T\\_he area is 37.7% of the whole maize planting regions in the world, in which the yield loss would be less than 50%, mainly located in the low and middle latitude of South America and Asia, and the middle latitude of Africa and North America. /T\\_he area is 16.4% of the whole maize planting regions, in which the yield loss would be more than 50%, mainly located in the low latitude of South America and the middle latitude of Asia and Europe. /T\\_he area is 45.8% of the whole maize planting regions, in which the yield would increase, mainly located in the low latitude of Africa, Asia and North America, the high latitude of Europe. From the results simulated by the GFDL-ESM2M model under RCP 4.5 scenario, the gross yield of maize in the world between 2041 and 2060 would increase by 7.2% relative to 1986-2005. /T\\_here are opposite trends of maize yield under global warming by 1.5 °C, which are simulated by di/fferent global climate models. However, the spatial distributions of maize yield change are similar to each other. /T\\_he di/fference is that the regions of high yield loss rate are decreasing, and the regions of yield increasing are going up. In a comprehensive perspective, under global warming by 1.5 °C, maize yield in the whole world would increase 0.18% relative to 1986-2005 (Fig. 3). According to Paris Agreement, all countries should do their best to limit the global warming by 1.5 °C until the end of 21 century. If that objective could be accomplished, gross maize production of the whole world would not be in/fluenced so much by climate change, but the food\n\nVol:.(1234567890)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed9.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is a formal fallacy ?", - "target_page": 8, - "target_passage": "For formal fallacies, the source of the error is found in the form of the argument", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "burglar broke into the house last night, got hungry on the job, and had a midnight snack, would also explain the state of the kitchen. But this conclusion is not justified because it is not the best or most likely explanation. [82][83]\n\n## Fallacies\n\nNot all arguments live up to the standards of correct reasoning. When they do not, they are usually referred to as fallacies. Their central aspect is not that their conclusion is false but that there is some flaw with the reasoning leading to this conclusion. [84] So the argument \"it is sunny today; therefore spiders have eight legs\" is fallacious even though the conclusion is true. Some theorists, like John Stuart Mill, give a more restrictive definition of fallacies by additionally requiring that they appear to be correct. [85] This way, genuine fallacies can be distinguished from mere mistakes of reasoning due to carelessness. This explains why people tend to commit fallacies: because they have an alluring element that seduces people into committing and accepting them. [86] However, this reference to appearances is controversial because it belongs to the field of psychology, not logic, and because appearances may be different for different people. [87]\n\nFallacies are usually divided into formal and informal fallacies. [38] For formal fallacies, the source of the error is found in the form of the argument. For example, denying the antecedent is one type of formal fallacy, as in \"if Othello is a bachelor, then he is male; Othello is not a bachelor; therefore Othello is not male\". [88] But most fallacies fall into the category of informal fallacies, of which a great variety is discussed in the academic literature. The source of their error is usually found in the content or the context of the argument. [89] Informal fallacies are sometimes categorized as fallacies of ambiguity, fallacies of presumption, or fallacies of relevance. For fallacies of ambiguity, the ambiguity and vagueness of natural language are\n\nYoung America's dilemma: Shall I be wise and great, or rich and powerful? (poster from 1901) This is an example of a false dilemma: an informal fallacy using a disjunctive premise that excludes viable alternatives.\n\n\n\nresponsible for their flaw, as in \"feathers are light; what is light cannot be dark; therefore feathers cannot be dark\". [90] Fallacies of presumption have a wrong or unjustified premise but may be valid otherwise. [91] In the case of fallacies of relevance, the premises do not support the conclusion because they are not relevant to it. [92]\n\n## Definitory and strategic rules\n\nThe main focus of most logicians is to study the criteria according to which an argument is correct or incorrect. A fallacy is committed if these criteria are violated. In the case of formal logic, they are known as rules of inference . [93] They are definitory rules, which determine whether an inference is correct or which inferences are allowed. Definitory rules contrast with strategic rules. Strategic rules specify which inferential moves are necessary to reach a given conclusion based on a set of premises. This distinction does not just apply to logic but also to games. In chess, for example, the definitory rules dictate that bishops may only move diagonally. The strategic rules, on the other hand, describe how the allowed", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia1.pdf" - }, - { - "text": "\n\n## Logic\n\nLogic is the study of correct reasoning. It includes both formal and informal logic. Formal logic is the study of deductively valid inferences or logical truths. It examines how conclusions follow from premises based on the structure of arguments alone, independent of their topic and content. Informal logic is associated with informal fallacies, critical thinking, and argumentation theory. Informal logic examines arguments expressed in natural language whereas formal logic uses formal language. When used as a countable noun, the term \"a logic\" refers to a specific logical formal system that articulates a proof system. Logic plays a central role in many fields, such as philosophy, mathematics, computer science, and linguistics.\n\nLogic studies valid forms of inference like modus ponens .\n\n\n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the argument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the conclusion \"I don't have to work\". [1] Premises and conclusions express propositions or claims that can be true or false. An important feature of propositions is their internal structure. For example, complex propositions are made up of simpler propositions linked by logical vocabulary like (and) or (if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a proposition usually depends on the meanings of all of its parts. However, this is not the case for logically true propositions. They are true only because of their logical structure independent of the specific meanings of the individual parts.\n\nArguments can be either correct or incorrect. An argument is correct if its premises support its conclusion. Deductive arguments have the strongest form of support: if their premises are true then their conclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new information not found in the premises. Many arguments in everyday discourse and the sciences are ampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are statistical generalization-such as inferring that all ravens are black, based on many individual observations of black ravens. [2] Abductive arguments are inferences to the best explanation-for example, when a doctor concludes that a patient has a certain disease, as the best explanation for the symptoms that they are observed to suffer. [3] Arguments that fall short of the standards of correct reasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the correctness of arguments.\n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, and Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the main system of logic in the Western world until it was replaced by modern formal logic, which has its roots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly used system is classical logic. It consists of propositional logic and first-order logic. Propositional logic only considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). Internet Encyclopedia of Philosophy . Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla cy/) from the original on 29 April 2010. Retrieved 19 March 2021.\n - van Eemeren, Frans H.; Garssen, Bart (2009). Pondering on Problems of Argumentation: Twenty Essays on Theoretical Issues . Springer Science & Business Media. p. 191. ISBN 978-1-4020-9165-0.\n - van Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. Francisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe r.com/referenceworkentry/10.1007%2F978-94-007-6883-3\\_7-1). Handbook of Argumentation Theory . Springer Netherlands. pp. 1-45. doi:10.1007/978-94-007-6883-3\\_7-1 (https://doi.org/10.1007%2F978-94-007-6883-3\\_7-1). ISBN 978-94-007-6883-3. Archived (https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ 10.1007/978-94-007-6883-3\\_7-1) from the original on 31 December 2021. Retrieved 2 January 2022.\n - van Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, Charles A. (2013). Fundamentals of Argumentation Theory: A Handbook of Historical Backgrounds and Contemporary Developments . Routledge. p. 169. ISBN 978-1-136-688041.\n - Emmanuel, Steven M. (2015). A Companion to Buddhist Philosophy . John Wiley & Sons. pp. 320-2. ISBN 978-1-119-14466-3.\n - Enderton, Herbert (2001). A Mathematical Introduction to Logic . Elsevier. ISBN 978-0-12238452-3.\n - Engel, S. Morris (1982). With Good Reason an Introduction to Informal Fallacies (https://phil papers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w eb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original on 1 March 2022. Retrieved 2 January 2022.\n - Evans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.). The Cambridge Handbook of Thinking and Reasoning . Cambridge University Press. p. 169. ISBN 978-0-521-82417-0.\n - Ewald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri es/logic-firstorder-emergence/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 12 March 2023.\n - Falguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http s://plato.stanford.edu/entries/abstract-objects/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 January 2021. Retrieved 7 January 2022.\n - Falikowski, Anthony; Mills, Susan (2022). Experiencing Philosophy (2nd ed.). Broadview Press. p. 98. ISBN 978-1-77048-841-0.\n - Fisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005). Handbook of Temporal Reasoning in Artificial Intelligence . Elsevier. p. 119. ISBN 978-0-08-053336-0.\n - Fitch, G. W. (18 December 2014). Saul Kripke . Routledge. p. 17. ISBN 978-1-317-48917-7.\n - Flotyński, Jakub (7 December 2020). Knowledge-Based Explorable Extended Reality Environments . Springer Nature. p. 39. ISBN 978-3-030-59965-2.\n - Font, Josep Maria; Jansana, Ramon (2017). A General Algebraic Semantics for Sentential Logics . Cambridge University Press. p. 8. ISBN 978-1-107-16797-1.\n - Frede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). Michigan Technological University . Retrieved 1 November 2022.\n - Friend, Michele (2014). Introducing Philosophy of Mathematics . Routledge. p. 101. ISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid the principle of explosion: for them, it is not the case that anything follows from a contradiction. [139] They are often motivated by dialetheism, the view that contradictions are real or that reality itself is contradictory. Graham Priest is an influential contemporary proponent of this position and similar views have been ascribed to Georg Wilhelm Friedrich Hegel. [140]\n\n## Informal\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like investigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some frameworks of informal logic have also been presented that try to provide a systematic characterization of the correctness of arguments. [141]\n\nThe pragmatic or dialogical approach to informal logic sees arguments as speech acts and not merely as a set of premises together with a conclusion. [142] As speech acts, they occur in a certain context, like a dialogue, which affects the standards of right and wrong arguments. [143] A prominent version by Douglas N. Walton understands a dialogue as a game between two players. The initial position of each player is characterized by the propositions to which they are committed and the conclusion they intend to prove. Dialogues are games of persuasion: each player has the goal of convincing the opponent of their own conclusion. [144] This is achieved by making arguments: arguments are the moves of the game. [145] They affect to which propositions the players are committed. A winning move is a successful argument that takes the opponent's commitments as premises and shows how one's own conclusion follows from them. This is usually not possible straight away. For this reason, it is normally necessary to formulate a sequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's intended conclusion. Besides these positive arguments leading one closer to victory, there are also negative arguments preventing the opponent's victory by denying their conclusion. [144] Whether an argument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other hand, are violations of the standards of proper argumentative rules. [146] These standards also depend on the type of dialogue. For example, the standards governing the scientific discourse differ from the standards in business negotiations. [147]\n\nThe epistemic approach to informal logic, on the other hand, focuses on the epistemic role of arguments. [148] It is based on the idea that arguments aim to increase our knowledge. They achieve this by linking justified beliefs to beliefs that are not yet justified. [149] Correct arguments succeed at expanding knowledge while fallacies are epistemic failures: they do not justify the belief in their conclusion. [150] For example, the fallacy of begging the question is a fallacy because it fails to provide independent justification for its conclusion, even though it is deductively valid. [151] In this sense, logical normativity consists in epistemic success or rationality. [149] The Bayesian approach is one example of an epistemic approach. [152] Central to Bayesianism is not just whether the agent believes something but the degree to which they believe it, the so-called credence . Degrees of belief are seen as subjective probabilities in the believed proposition, i.e. how certain the agent is that the proposition is true. [153] On this view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "new formal systems have been proposed. There are disagreements about what makes a formal system a logic. [22] For example, it has been suggested that only logically complete systems, like first-order logic, qualify as logics. For such reasons, some theorists deny that higher-order logics are logics in the strict sense. [23]\n\n## Informal logic\n\n\n\nFormal logic needs to translate natural language arguments into a formal language, like first-order logic, to assess whether they are valid. In this example, the letter \"c\" represents Carmen while the letters \"M\" and \"T\" stand for \"Mexican\" and \"teacher\". The symbol \" ∧ \" has the meaning of \"and\".\n\nWhen understood in a wide sense, logic encompasses both formal and informal logic. [24] Informal logic uses non-formal criteria and standards to analyze and assess the correctness of arguments. Its main focus is on everyday discourse. [25] Its development was prompted by difficulties in applying the insights of formal logic to natural language arguments. [26] In this regard, it considers problems that formal logic on its own is unable to address. [27] Both provide criteria for assessing the correctness of arguments and distinguishing them from fallacies. [28]\n\nMany characterizations of informal logic have been suggested but there is no general agreement on its precise definition. [29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the language used to express arguments. On this view, informal logic studies arguments that are in informal or natural language. [30] Formal logic can only examine them indirectly by translating them first into a formal language while informal logic investigates them in their original form. [31] On this view, the argument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is examined by informal logic. But the formal translation \"(1) ; (2) ; (3) \" is studied by formal logic. [32] The study of natural language arguments comes with various difficulties. For example, natural language expressions are often ambiguous, vague, and context-dependent. [33] Another approach defines informal logic in a wide sense as the normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes questions about the role of rationality, critical thinking, and the psychology of argumentation. [34]\n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, it contrasts with deductive reasoning examined by formal logic. [35] Non-deductive arguments make their conclusion probable but do not ensure that it is true. An example is the inductive argument from the empirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are black\". [36]\n\nA further approach is to define informal logic as the study of informal fallacies. [37] Informal fallacies are incorrect arguments in which errors are present in the content and the context of the argument. [38] A false dilemma, for example, involves an error of content by excluding viable options. This is the case in the fallacy \"you are either with us or against us; you are not with us; therefore, you are against us\". [39] Some theorists state that formal logic studies the general form of arguments while informal logic studies particular instances of arguments. Another approach is to hold that formal logic only considers the role of", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Vidyabhusana, Satis Chandra (1988). A History of Indian Logic: Ancient, Mediaeval and Modern Schools . Motilal Banarsidass Publisher. p. 221. ISBN 978-81-208-0565-1.\n - Vleet, Van Jacob E. (2010). \"Introduction\". Informal Logical Fallacies: A Brief Guide (https://p hilpapers.org/rec/VLEILF). Upa. pp. ix-x. ISBN 978-0-7618-5432-6. Archived (https://web.ar chive.org/web/20220228035654/https://philpapers.org/rec/VLEILF) from the original on 28 February 2022. Retrieved 2 January 2022.\n - Väänänen, Jouko (2021). \"Second-order and Higher-order Logic\" (https://plato.stanford.edu/ entries/logic-higher-order/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211030222316/ https://plato.stanford.edu/entries/logic-higher-order/) from the original on 30 October 2021. Retrieved 23 November 2021.\n - Walton, Douglas N. (1987). Informal Fallacies: Towards a Theory of Argument Criticisms (htt ps://philpapers.org/rec/WALIFT). John Benjamins. ISBN 978-1-55619-010-0. Archived (http s://web.archive.org/web/20220302001111/https://philpapers.org/rec/WALIFT) from the original on 2 March 2022. Retrieved 2 January 2022.\n - Warren, Jared (2020). Shadows of Syntax: Revitalizing Logical and Mathematical Conventionalism (https://global.oup.com/academic/product/shadows-of-syntax-9780190086 152). Oxford University Press. ISBN 978-0-19-008615-2.\n - Washell, Richard F. (1973). \"Logic, Language, and Albert the Great\" (https://philpapers.org/r ec/WASLLA-3). Journal of the History of Ideas . 34 (3): 445-50. doi:10.2307/2708963 (http s://doi.org/10.2307%2F2708963). JSTOR 2708963 (https://www.jstor.org/stable/2708963).\n - Wasilewska, Anita (2018). Logics for Computer Science: Classical and Non-Classical . Springer. pp. 145-6. ISBN 978-3-319-92591-2.\n - Weber, Zach. \"Paraconsistent Logic\" (https://iep.utm.edu/para-log/). Internet Encyclopedia of Philosophy . Retrieved 12 December 2021.\n - Weddle, Perry (2011). \"Chapter 36. Informal logic and the eductive-inductive distinction\". Across the Lines of Disciplines (https://www.degruyter.com/document/doi/10.1515/97831108 67718.383/html). De Gruyter Mouton. pp. 383-388. doi:10.1515/9783110867718.383 (http s://doi.org/10.1515%2F9783110867718.383). ISBN 978-3-11-086771-8. Archived (https://w eb.archive.org/web/20211231172343/https://www.degruyter.com/document/doi/10.1515/978 3110867718.383/html) from the original on 31 December 2021. Retrieved 2 January 2022.\n - Westerståhl, Dag (1989). \"Aristotelian Syllogisms and Generalized Quantifiers\" (https://philp apers.org/rec/WESASA). Studia Logica . 48 (4): 577-585. doi:10.1007/BF00370209 (https:// doi.org/10.1007%2FBF00370209). S2CID 32089424 (https://api.semanticscholar.org/Corpu sID:32089424). Archived (https://web.archive.org/web/20220104182746/https://philpapers.o rg/rec/WESASA) from the original on 4 January 2022. Retrieved 4 January 2022.\n - Wilbanks, Jan J. (1 March 2010). \"Defining Deduction, Induction, and Validity\" (https://link.sp ringer.com/article/10.1007/s10503-009-9131-5). Argumentation . 24 (1): 107-124. doi:10.1007/s10503-009-9131-5 (https://doi.org/10.1007%2Fs10503-009-9131-5). ISSN 1572-8374 (https://search.worldcat.org/issn/1572-8374). S2CID 144481717 (https://ap i.semanticscholar.org/CorpusID:144481717). Archived (https://web.archive.org/web/202201 08171721/https://link.springer.com/article/10.1007/s10503-009-9131-5) from the original on 8 January 2022. Retrieved 8 January 2022.\n - Wilce, Alexander (2021). \"Quantum Logic and Probability Theory: 2.1 Realist Quantum Logic\" (https://plato.stanford.edu/entries/qt-quantlog/#RealQuanLogi). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions behind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant logics, on the other hand, reject certain classical intuitions and provide alternative explanations of the basic laws of logic.\n\n## Definition\n\nThe word \"logic\" originates from the Greek word logos , which has a variety of translations, such as reason, discourse, or language. [4] Logic is traditionally defined as the study of the laws of thought or correct reasoning, [5] and is usually understood in terms of inferences or arguments. Reasoning is the activity of drawing inferences. Arguments are the outward expression of inferences. [6] An argument is a set of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. whether their premises support the conclusion. [7] These general characterizations apply to logic in the widest sense, i.e., to both formal and informal logic since they are both concerned with assessing the correctness of arguments. [8] Formal logic is the traditionally dominant field, and some logicians restrict logic to formal logic. [9]\n\n## Formal logic\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal approach to study reasoning: it replaces concrete expressions with abstract symbols to examine the logical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is only concerned with the abstract structure of arguments and not with their concrete content. [10]\n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures the truth of their conclusion. This means that it is impossible for the premises to be true and the conclusion to be false. [11] For valid arguments, the logical structure of the premises and the conclusion follows a pattern called a rule of inference. [12] For example, modus ponens is a rule of inference according to which all arguments of the form \"(1) p , (2) if p then q , (3) therefore q \" are valid, independent of what the terms p and q stand for. [13] In this sense, formal logic can be defined as the science of valid inferences. An alternative definition sees logic as the study of logical truths. [14] A proposition is logically true if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible worlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is not\". [15] These two definitions of formal logic are not identical, but they are closely related. For example, if the inference from p to q is deductively valid then the claim \"if p then q \" is a logical truth. [16]\n\nFormal logic uses formal languages to express and analyze arguments. [17] They normally have a very limited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to construct sentences, so-called well-formed formulas. [18] This simplicity and exactness of formal logic make it capable of formulating precise rules of inference. They determine whether a given argument is valid. [19] Because of the reliance on formal language, natural language arguments cannot be studied directly. Instead, they need to be translated into formal language before their validity can be assessed. [20]\n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, a logic is a logical formal system. Distinct logics differ from each other concerning the rules of inference they accept as valid and the formal languages used to express them. [21] Starting in the late 19th century, many", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Knuuttila, Simo (1980). Reforging the Great Chain of Being: Studies of the History of Modal Theories . Springer Science & Business Media. p. 71. ISBN 978-90-277-1125-0.\n - Korb, Kevin (2004). \"Bayesian Informal Logic and Fallacy\" (https://philpapers.org/rec/KORBI L). Informal Logic . 24 (1): 41-70. doi:10.22329/il.v24i1.2132 (https://doi.org/10.22329%2Fil. v24i1.2132). Archived (https://web.archive.org/web/20211110075255/https://philpapers.org/r ec/KORBIL) from the original on 10 November 2021. Retrieved 2 January 2022.", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia1.pdf" - }, - { - "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts as a premise of later arguments. For a complex argument to be successful, each link of the chain has to be successful. [43]\n\nArguments and inferences are either correct or incorrect. If they are correct then their premises support their conclusion. In the incorrect case, this support is missing. It can take different forms corresponding to the different types of reasoning. [62] The strongest form of support corresponds to deductive reasoning. But even arguments that are not deductively valid may still be good arguments because their premises offer nondeductive support to their conclusions. For such cases, the term ampliative or inductive reasoning is used. [63] Deductive arguments are associated with formal logic in contrast to the\n\nArgument terminology used in logic\n\n\n\nrelation between ampliative arguments and informal logic. [64]\n\n## Deductive\n\nA deductively valid argument is one whose premises guarantee the truth of its conclusion. [11] For instance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are frogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the conclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) therefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises. [65]\n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) they are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a priori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that they hold by logical necessity for the given propositions, independent of any other circumstances. [66]\n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of inference. [67] Rules of inference specify the form of the premises and the conclusion: how they have to be structured for the inference to be valid. Arguments that do not follow any rule of inference are deductively invalid. [68] The modus ponens is a prominent rule of inference. It has the form \" p ; if p , then q ; therefore q \". [69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one can use modus ponens to deduce that the streets are wet ( ). [70]\n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is impossible for the premises to be true and the conclusion to be false. [71] Because of this feature, it is often asserted that deductive inferences are uninformative since the conclusion cannot arrive at new information not already present in the premises. [72] But this point is not always accepted since it would mean, for example, that most of mathematics is uninformative. A different characterization distinguishes", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "logical constants for correct inferences while informal logic also takes the meaning of substantive concepts into account. Further approaches focus on the discussion of logical topics with or without formal devices and on the role of epistemology for the assessment of arguments. [40]\n\n## Basic concepts\n\n## Premises, conclusions, and truth\n\n## Premises and conclusions\n\nPremises and conclusions are the basic parts of inferences or arguments and therefore play a central role in logic. In the case of a valid inference or a correct argument, the conclusion follows from the premises, or in other words, the premises support the conclusion. [41] For instance, the premises \"Mars is red\" and \"Mars is a planet\" support the conclusion \"Mars is a red planet\". For most types of logic, it is accepted that premises and conclusions have to be truth-bearers. [41][a] This means that they have a truth value: they are either true or false. Contemporary philosophy generally sees them either as propositions or as sentences . [43] Propositions are the denotations of sentences and are usually seen as abstract objects. [44] For example, the English sentence \"the tree is green\" is different from the German sentence \"der Baum ist grün\" but both express the same proposition. [45]\n\nPropositional theories of premises and conclusions are often criticized because they rely on abstract objects. For instance, philosophical naturalists usually reject the existence of abstract objects. Other arguments concern the challenges involved in specifying the identity criteria of propositions. [43] These objections are avoided by seeing premises and conclusions not as propositions but as sentences, i.e. as concrete linguistic objects like the symbols displayed on a page of a book. But this approach comes with new problems of its own: sentences are often context-dependent and ambiguous, meaning an argument's validity would not only depend on its parts but also on its context and on how it is interpreted. [46] Another approach is to understand premises and conclusions in psychological terms as thoughts or judgments. This position is known as psychologism. It was discussed at length around the turn of the 20th century but it is not widely accepted today. [47]\n\n## Internal structure\n\nPremises and conclusions have an internal structure. As propositions or sentences, they can be either simple or complex. [48] A complex proposition has other propositions as its constituents, which are linked to each other through propositional connectives like \"and\" or \"if...then\". Simple propositions, on the other hand, do not have propositional parts. But they can also be conceived as having an internal structure: they are made up of subpropositional parts, like singular terms and predicates. [49][48] For example, the simple proposition \"Mars is red\" can be formed by applying the predicate \"red\" to the singular term \"Mars\". In contrast, the complex proposition \"Mars is red and Venus is white\" is made up of two simple propositions connected by the propositional connective \"and\". [49]\n\nWhether a proposition is true depends, at least in part, on its constituents. For complex propositions formed using truth-functional propositional connectives, their truth only depends on the truth values of their parts. [49][50] But this relation is more complicated in the case of simple propositions and their", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "In early Chinese philosophy, what were the major influences regarding the philosophy of logic ?", - "target_page": 18, - "target_passage": "In Chinese philosophy, the School of Names and Mohism were particularly influential", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In Chinese philosophy, the School of Names and Mohism were particularly influential. The School of Names focused on the use of language and on paradoxes. For example, Gongsun Long proposed the white horse paradox, which defends the thesis that a white horse is not a horse. The school of Mohism also acknowledged the importance of language for logic and tried to relate the ideas in these fields to the realm of ethics. [197]\n\nIn India, the study of logic was primarily pursued by the schools of Nyaya, Buddhism, and Jainism. It was not treated as a separate academic discipline and discussions of its topics usually happened in the context of epistemology and theories of dialogue or argumentation. [198] In Nyaya, inference is understood as a source of knowledge (pramā ṇ a). It follows the perception of an object and tries to arrive at conclusions, for example, about the cause of this object. [199] A similar emphasis on the relation to epistemology is also found in Buddhist and Jainist schools of logic, where inference is used to expand the knowledge gained through other sources. [200] Some of the later theories of Nyaya, belonging to the Navya-Nyāya school, resemble modern forms of logic, such as Gottlob Frege's distinction between sense and reference and his definition of number. [201]\n\nThe syllogistic logic developed by Aristotle predominated in the West until the mid-19th century, when interest in the foundations of mathematics stimulated the development of modern symbolic logic. [202] Many see Gottlob Frege's Begriffsschrift as the birthplace of modern logic. Gottfried Wilhelm Leibniz's idea of a universal formal language is often considered a forerunner. Other pioneers were George Boole, who invented Boolean algebra as a mathematical system of logic, and Charles Peirce, who developed the logic of relatives. Alfred North Whitehead and Bertrand Russell, in turn, condensed many of these insights in their work Principia Mathematica . Modern logic introduced novel concepts, such as functions, quantifiers, and relational predicates. A hallmark of modern symbolic logic is its use of formal language to precisely codify its insights. In this regard, it departs from earlier logicians, who relied mainly on natural language. [203] Of particular influence was the development of first-order logic, which is usually treated as the standard system of modern logic. [204] Its analytical generality allowed the formalization of mathematics and drove the investigation of set theory. It also made Alfred Tarski's approach to model theory possible and provided the foundation of modern mathematical logic. [205]\n\n## See also\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Wile, Bruce; Goss, John; Roesner, Wolfgang (2005). Comprehensive Functional Verification: The Complete Industry Cycle . Elsevier. p. 447. ISBN 978-0-08-047664-3.\n - Willman, Marshall D. (2022). \"Logic and Language in Early Chinese Philosophy\" (https://plat o.stanford.edu/entries/chinese-logic-language/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Introduction. Retrieved 11 March 2023.", - "page_start": 36, - "page_end": 36, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Rautenberg, Wolfgang (1 July 2010). A Concise Introduction to Mathematical Logic . Springer. p. 15. ISBN 978-1-4419-1221-3.\n - Rendsvig, Rasmus; Symons, John (2021). \"Epistemic Logic\" (https://plato.stanford.edu/entri es/logic-epistemic/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 11 March 2023.\n - Restall, Greg; Standefer, Shawn (2023). Logical Methods . MIT Press. p. 91. ISBN 978-0262-54484-9.\n - Richardson, Alan W. (1998). Carnap's Construction of the World: The Aufbau and the Emergence of Logical Empiricism . Cambridge University Press. p. 15. ISBN 978-0-52143008-1.\n - Rini, Adriane (13 December 2010). Aristotle's Modal Proofs: Prior Analytics A8-22 in Predicate Logic . Springer Science & Business Media. p. 26. ISBN 978-94-007-0050-5.\n - Ritola, Juho (1 December 2008). \"Walton's Informal Logic: A Pragmatic Approach\" (https://d oi.org/10.22329%2Fil.v28i4.2856). Informal Logic . 28 (4): 335. doi:10.22329/il.v28i4.2856 (h ttps://doi.org/10.22329%2Fil.v28i4.2856).\n - Rocci, Andrea (8 March 2017). Modality in Argumentation: A Semantic Investigation of the Role of Modalities in the Structure of Arguments with an Application to Italian Modal Expressions . Springer. p. 26. ISBN 978-94-024-1063-1.\n - Rošker, Jana S. (May 2015). \"Classical Chinese Logic: Philosophy Compass\". Philosophy Compass . 10 (5): 301-309. doi:10.1111/phc3.12226 (https://doi.org/10.1111%2Fphc3.1222 6).\n - Runco, Mark A.; Pritzker, Steven R. (1999). Encyclopedia of Creativity . Academic Press. p. 155. ISBN 978-0-12-227075-8.\n - Rush, Penelope (2014). \"Introduction\". The Metaphysics of Logic (https://philpapers.org/rec/ RUSTMO-4). Cambridge University Press. pp. 1-10. ISBN 978-1-107-03964-3. Archived (htt ps://web.archive.org/web/20211207184954/https://philpapers.org/rec/RUSTMO-4) from the original on 7 December 2021. Retrieved 8 January 2022.\n - Sadegh-Zadeh, Kazem (2015). Handbook of Analytic Philosophy of Medicine . Springer. p. 983. ISBN 978-94-017-9579-1.\n - Sagüillo, José M. (2014). \"Hintikka on Information and Deduction\". Teorema: Revista Internacional de Filosofía . 33 (2): 75-88. ISSN 0210-1602 (https://search.worldcat.org/issn/ 0210-1602). JSTOR 43047609 (https://www.jstor.org/stable/43047609).\n - Sarukkai, Sundar; Chakraborty, Mihir Kumar (2022). Handbook of Logical Thought in India . Springer Nature. pp. 117-8. ISBN 978-81-322-2577-5.\n - Schagrin, Morton L. \"Metalogic\" (https://www.britannica.com/topic/metalogic). Encyclopædia Britannica . Retrieved 23 September 2022.\n - Schechter, Joshua. \"Epistemology of Logic - Bibliography\" (https://philpapers.org/browse/ep istemology-of-logic). PhilPapers . Retrieved 11 September 2022.\n - Schlesinger, I. M.; Keren-Portnoy, Tamar; Parush, Tamar (1 January 2001). The Structure of Arguments . John Benjamins Publishing. p. 220. ISBN 978-90-272-2359-3.\n - Schreiner, Wolfgang (2021). Thinking Programs: Logical Modeling and Reasoning About Languages, Data, Computations, and Executions . Springer Nature. p. 22. ISBN 978-3-03080507-4.\n - Scott, John; Marshall, Gordon (2009). \"analytic induction\". A Dictionary of Sociology (https:// www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661). Oxford University Press. ISBN 978-0-19-953300-8. Archived (https://web.archive.org/web/2022010 8173225/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095410661) from the original on 8 January 2022. Retrieved 8 January 2022.\n - Shapiro, Stewart; Kouri Kissel, Teresa (2022). \"Classical Logic\" (https://plato.stanford.edu/e ntries/logic-classical/#Sema). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 19 July 2023.", - "page_start": 34, - "page_end": 34, - "source_file": "wikipedia1.pdf" - }, - { - "text": "\n\nIbn Sina (Avicenna) was the founder of Avicennian logic, which replaced Aristotelian logic as the dominant system of logic in the Islamic world. [189] It influenced Western medieval writers such as Albertus Magnus and William of Ockham. [190] Ibn Sina wrote on the hypothetical syllogism [191] and on the propositional calculus. [192] He developed an original \"temporally modalized\" syllogistic theory, involving temporal logic and modal logic. [193] He also made use of inductive logic, such as his methods of agreement, difference, and concomitant variation, which are critical to the scientific method. [191] Fakhr al-Din al-Razi was another influential Muslim logician. He criticized Aristotelian syllogistics and formulated an early system of inductive logic, foreshadowing the system of inductive logic developed by John Stuart Mill. [194]\n\nDuring the Middle Ages, many translations and interpretations of Aristotelian logic were made. The works of Boethius were particularly influential. Besides translating Aristotle's work into Latin, he also produced textbooks on logic. [195] Later, the works of Islamic philosophers such as Ibn Sina and Ibn Rushd (Averroes) were drawn on. This expanded the range of ancient works available to medieval Christian scholars since more Greek work was available to Muslim scholars that had been preserved in Latin commentaries. In 1323, William of Ockham's influential Summa Logicae was released. It is a comprehensive treatise on logic that discusses many basic concepts of logic and provides a systematic exposition of types of propositions and their truth conditions. [196]", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- Marenbon, John (2021). \"Anicius Manlius Severinus Boethius\" (https://plato.stanford.edu/ent ries/boethius/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University.\n - McKeon, Matthew. \"Logical Consequence\" (https://iep.utm.edu/logcon/). Internet Encyclopedia of Philosophy . Archived (https://web.archive.org/web/20211112071437/https:// iep.utm.edu/logcon/) from the original on 12 November 2021. Retrieved 20 November 2021.\n - Michaelson, Eliot; Reimer, Marga (2019). \"Reference\" (https://plato.stanford.edu/entries/refe rence/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20211207184705/https://plato.stanford.ed u/entries/reference/) from the original on 7 December 2021. Retrieved 4 December 2021.\n - Mills, Ethan (2018). Three Pillars of Skepticism in Classical India: Nagarjuna, Jayarasi, and Sri Harsa . Rowman & Littlefield. p. 121. ISBN 978-1-4985-5570-8. \"... for Nyāya all inference is ultimately rooted in perception ... 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S2CID 4402158 (https://api.s emanticscholar.org/CorpusID:4402158).", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia1.pdf", - "query": "What is considered a deductively valid argument regarding logic ?", - "target_page": 6, - "target_passage": "A deductively valid argument is one whose premises guarantee the truth of its conclusion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "argument is made up of a chain of simple arguments. This means that the conclusion of one argument acts as a premise of later arguments. For a complex argument to be successful, each link of the chain has to be successful. [43]\n\nArguments and inferences are either correct or incorrect. If they are correct then their premises support their conclusion. In the incorrect case, this support is missing. It can take different forms corresponding to the different types of reasoning. [62] The strongest form of support corresponds to deductive reasoning. But even arguments that are not deductively valid may still be good arguments because their premises offer nondeductive support to their conclusions. For such cases, the term ampliative or inductive reasoning is used. [63] Deductive arguments are associated with formal logic in contrast to the\n\nArgument terminology used in logic\n\n\n\nrelation between ampliative arguments and informal logic. [64]\n\n## Deductive\n\nA deductively valid argument is one whose premises guarantee the truth of its conclusion. [11] For instance, the argument \"(1) all frogs are amphibians; (2) no cats are amphibians; (3) therefore no cats are frogs\" is deductively valid. For deductive validity, it does not matter whether the premises or the conclusion are actually true. So the argument \"(1) all frogs are mammals; (2) no cats are mammals; (3) therefore no cats are frogs\" is also valid because the conclusion follows necessarily from the premises. [65]\n\nAccording to an influential view by Alfred Tarski, deductive arguments have three essential features: (1) they are formal, i.e. they depend only on the form of the premises and the conclusion; (2) they are a priori, i.e. no sense experience is needed to determine whether they obtain; (3) they are modal, i.e. that they hold by logical necessity for the given propositions, independent of any other circumstances. [66]\n\nBecause of the first feature, the focus on formality, deductive inference is usually identified with rules of inference. [67] Rules of inference specify the form of the premises and the conclusion: how they have to be structured for the inference to be valid. Arguments that do not follow any rule of inference are deductively invalid. [68] The modus ponens is a prominent rule of inference. It has the form \" p ; if p , then q ; therefore q \". [69] Knowing that it has just rained ( ) and that after rain the streets are wet ( ), one can use modus ponens to deduce that the streets are wet ( ). [70]\n\nThe third feature can be expressed by stating that deductively valid inferences are truth-preserving: it is impossible for the premises to be true and the conclusion to be false. [71] Because of this feature, it is often asserted that deductive inferences are uninformative since the conclusion cannot arrive at new information not already present in the premises. [72] But this point is not always accepted since it would mean, for example, that most of mathematics is uninformative. A different characterization distinguishes", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia1.pdf" - }, - { - "text": "\n\n## Logic\n\nLogic is the study of correct reasoning. It includes both formal and informal logic. Formal logic is the study of deductively valid inferences or logical truths. It examines how conclusions follow from premises based on the structure of arguments alone, independent of their topic and content. Informal logic is associated with informal fallacies, critical thinking, and argumentation theory. Informal logic examines arguments expressed in natural language whereas formal logic uses formal language. When used as a countable noun, the term \"a logic\" refers to a specific logical formal system that articulates a proof system. Logic plays a central role in many fields, such as philosophy, mathematics, computer science, and linguistics.\n\nLogic studies valid forms of inference like modus ponens .\n\n\n\nLogic studies arguments, which consist of a set of premises that leads to a conclusion. An example is the argument from the premises \"it's Sunday\" and \"if it's Sunday then I don't have to work\" leading to the conclusion \"I don't have to work\". [1] Premises and conclusions express propositions or claims that can be true or false. An important feature of propositions is their internal structure. For example, complex propositions are made up of simpler propositions linked by logical vocabulary like (and) or (if...then). Simple propositions also have parts, like \"Sunday\" or \"work\" in the example. The truth of a proposition usually depends on the meanings of all of its parts. However, this is not the case for logically true propositions. They are true only because of their logical structure independent of the specific meanings of the individual parts.\n\nArguments can be either correct or incorrect. An argument is correct if its premises support its conclusion. Deductive arguments have the strongest form of support: if their premises are true then their conclusion must also be true. This is not the case for ampliative arguments, which arrive at genuinely new information not found in the premises. Many arguments in everyday discourse and the sciences are ampliative arguments. They are divided into inductive and abductive arguments. Inductive arguments are statistical generalization-such as inferring that all ravens are black, based on many individual observations of black ravens. [2] Abductive arguments are inferences to the best explanation-for example, when a doctor concludes that a patient has a certain disease, as the best explanation for the symptoms that they are observed to suffer. [3] Arguments that fall short of the standards of correct reasoning often embody fallacies. Systems of logic are theoretical frameworks for assessing the correctness of arguments.\n\nLogic has been studied since antiquity. Early approaches include Aristotelian logic, Stoic logic, Nyaya, and Mohism. Aristotelian logic focuses on reasoning in the form of syllogisms. It was considered the main system of logic in the Western world until it was replaced by modern formal logic, which has its roots in the work of late 19th-century mathematicians such as Gottlob Frege. Today, the most commonly used system is classical logic. It consists of propositional logic and first-order logic. Propositional logic only considers logical relations between full propositions. First-order logic also takes the internal parts of", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia1.pdf" - }, - { - "text": "- 20. Hintikka & Sandu 2006, pp. 22-3; Magnus 2005, pp. 8-9, 1.4 Deductive validity; Johnson 1999, p. 267.\n - 21. Haack 1978, pp. 1-2, 4, Philosophy of logics; Hintikka & Sandu 2006, pp. 16-17; Jacquette 2006, Introduction: Philosophy of logic today, pp. 1-12.\n - 22. Haack 1978, pp. 1-2, 4, Philosophy of logics; Jacquette 2006, pp. 1-12, Introduction: Philosophy of logic today.\n - 23. Haack 1978, pp. 5-7, 9, Philosophy of logics; Hintikka & Sandu 2006, pp. 31-2; Haack 1996, pp. 229-30.\n - 24. Haack 1978, pp. 1-10, Philosophy of logics; Groarke 2021, lead section; 1.1 Formal and Informal Logic.\n - 25. Johnson 2014, pp. 228-9.\n - 26. Groarke 2021, lead section; 1. History; Audi 1999a, Informal logic; Johnson 1999, pp. 265274.\n - 27. Craig 1996, Formal and informal logic; Johnson 1999, p. 267.\n - 28. Blair & Johnson 2000, pp. 93-97; Craig 1996, Formal and informal logic.\n - 29. Johnson 1999, pp. 265-270; van Eemeren et al., pp. 1-45, Informal Logic.\n - 30. Groarke 2021, 1.1 Formal and Informal Logic; Audi 1999a, Informal logic; Honderich 2005, logic, informal.\n - 31. Blair & Johnson 2000, pp. 93-107; Groarke 2021, lead section; 1.1 Formal and Informal Logic; van Eemeren et al., p. 169.\n - 32. Oaksford & Chater 2007, p. 47.\n - 33. Craig 1996, Formal and informal logic; Walton 1987, pp. 2-3, 6-8, 1. A new model of argument; Engel 1982, pp. 59-92, 2. The medium of language.\n - 34. Blair & Johnson 1987, pp. 147-51.\n - 35. Falikowski & Mills 2022, p. 98; Weddle 2011, pp. 383-8, 36. Informal logic and the eductiveinductive distinction; Blair 2011, p. 47.\n - 36. Vickers 2022; Nunes 2011, pp. 2066-9, Logical Reasoning and Learning.\n - 37. Johnson 2014, p. 181; Johnson 1999, p. 267; Blair & Johnson 1987, pp. 147-51.\n - 38. Vleet 2010, pp. ix-x, Introduction; Dowden; Stump.\n - 39. Maltby, Day & Macaskill 2007, p. 564; Dowden.\n - 40. Craig 1996, Formal and informal logic; Johnson 1999, pp. 265-270.\n - 41. Audi 1999b, Philosophy of logic; Honderich 2005, philosophical logic.\n - 42. Haack 1974, p. 51.\n - 43. Audi 1999b, Philosophy of logic.\n - 44. Falguera, Martínez-Vidal & Rosen 2021; Tondl 2012, p. 111.\n - 45. Olkowski & Pirovolakis 2019, pp. 65-66 (https://books.google.com/books?id=FhaGDwAAQ BAJ&pg=PT65).\n - 46. Audi 1999b, Philosophy of logic; Pietroski 2021.\n - 47. Audi 1999b, Philosophy of logic; Kusch 2020; Rush 2014, pp. 1-10, 189-190.\n - 48. King 2019; Pickel 2020, pp. 2991-3006.\n - 49. Honderich 2005, philosophical logic.\n - 50. Pickel 2020, pp. 2991-3006.\n - 51. Honderich 2005, philosophical logic; Craig 1996, Philosophy of logic; Michaelson & Reimer 2019.\n - 52. Michaelson & Reimer 2019.\n - 53. Hintikka 2019, §Nature and varieties of logic; MacFarlane 2017.\n - 54. Gómez-Torrente 2019; MacFarlane 2017; Honderich 2005, philosophical logic.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia1.pdf" - }, - { - "text": "incoming information. [154] Correct reasoning and the arguments it is based on follow the laws of probability, for example, the principle of conditionalization. Bad or irrational reasoning, on the other hand, violates these laws. [155]\n\n## Areas of research\n\nLogic is studied in various fields. In many cases, this is done by applying its formal method to specific topics outside its scope, like to ethics or computer science. [156] In other cases, logic itself is made the subject of research in another discipline. This can happen in diverse ways. For instance, it can involve investigating the philosophical assumptions linked to the basic concepts used by logicians. Other ways include interpreting and analyzing logic through mathematical structures as well as studying and comparing abstract properties of formal logical systems. [157]\n\n## Philosophy of logic and philosophical logic\n\nPhilosophy of logic is the philosophical discipline studying the scope and nature of logic. [59] It examines many presuppositions implicit in logic, like how to define its basic concepts or the metaphysical assumptions associated with them. [158] It is also concerned with how to classify logical systems and considers the ontological commitments they incur. [159] Philosophical logic is one of the areas within the philosophy of logic. It studies the application of logical methods to philosophical problems in fields like metaphysics, ethics, and epistemology. [160] This application usually happens in the form of extended or deviant logical systems. [161]\n\n## Metalogic\n\nMetalogic is the field of inquiry studying the properties of formal logical systems. For example, when a new formal system is developed, metalogicians may study it to determine which formulas can be proven in it. They may also study whether an algorithm could be developed to find a proof for each formula and whether every provable formula in it is a tautology. Finally, they may compare it to other logical systems to understand its distinctive features. A key issue in metalogic concerns the relation between syntax and semantics. The syntactic rules of a formal system determine how to deduce conclusions from premises, i.e. how to formulate proofs. The semantics of a formal system governs which sentences are true and which ones are false. This determines the validity of arguments since, for valid arguments, it is impossible for the premises to be true and the conclusion to be false. The relation between syntax and semantics concerns issues like whether every valid argument is provable and whether every provable argument is valid. Metalogicians also study whether logical systems are complete, sound, and consistent. They are interested in whether the systems are decidable and what expressive power they have. Metalogicians usually rely heavily on abstract mathematical reasoning when examining and formulating metalogical proofs. This way, they aim to arrive at precise and general conclusions on these topics. [162]\n\n## Mathematical logic\n\nThe term \"mathematical logic\" is sometimes used as a synonym of \"formal logic\". But in a more restricted sense, it refers to the study of logic within mathematics. Major subareas include model theory, proof theory, set theory, and computability theory. [164] Research in mathematical logic commonly addresses the mathematical properties of formal systems of logic. However, it can also include attempts", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia1.pdf" - }, - { - "text": "propositions into account, like predicates and quantifiers. Extended logics accept the basic intuitions behind classical logic and apply it to other fields, such as metaphysics, ethics, and epistemology. Deviant logics, on the other hand, reject certain classical intuitions and provide alternative explanations of the basic laws of logic.\n\n## Definition\n\nThe word \"logic\" originates from the Greek word logos , which has a variety of translations, such as reason, discourse, or language. [4] Logic is traditionally defined as the study of the laws of thought or correct reasoning, [5] and is usually understood in terms of inferences or arguments. Reasoning is the activity of drawing inferences. Arguments are the outward expression of inferences. [6] An argument is a set of premises together with a conclusion. Logic is interested in whether arguments are correct, i.e. whether their premises support the conclusion. [7] These general characterizations apply to logic in the widest sense, i.e., to both formal and informal logic since they are both concerned with assessing the correctness of arguments. [8] Formal logic is the traditionally dominant field, and some logicians restrict logic to formal logic. [9]\n\n## Formal logic\n\nFormal logic is also known as symbolic logic and is widely used in mathematical logic. It uses a formal approach to study reasoning: it replaces concrete expressions with abstract symbols to examine the logical form of arguments independent of their concrete content. In this sense, it is topic-neutral since it is only concerned with the abstract structure of arguments and not with their concrete content. [10]\n\nFormal logic is interested in deductively valid arguments, for which the truth of their premises ensures the truth of their conclusion. This means that it is impossible for the premises to be true and the conclusion to be false. [11] For valid arguments, the logical structure of the premises and the conclusion follows a pattern called a rule of inference. [12] For example, modus ponens is a rule of inference according to which all arguments of the form \"(1) p , (2) if p then q , (3) therefore q \" are valid, independent of what the terms p and q stand for. [13] In this sense, formal logic can be defined as the science of valid inferences. An alternative definition sees logic as the study of logical truths. [14] A proposition is logically true if its truth depends only on the logical vocabulary used in it. This means that it is true in all possible worlds and under all interpretations of its non-logical terms, like the claim \"either it is raining, or it is not\". [15] These two definitions of formal logic are not identical, but they are closely related. For example, if the inference from p to q is deductively valid then the claim \"if p then q \" is a logical truth. [16]\n\nFormal logic uses formal languages to express and analyze arguments. [17] They normally have a very limited vocabulary and exact syntactic rules. These rules specify how their symbols can be combined to construct sentences, so-called well-formed formulas. [18] This simplicity and exactness of formal logic make it capable of formulating precise rules of inference. They determine whether a given argument is valid. [19] Because of the reliance on formal language, natural language arguments cannot be studied directly. Instead, they need to be translated into formal language before their validity can be assessed. [20]\n\nThe term \"logic\" can also be used in a slightly different sense as a countable noun. In this sense, a logic is a logical formal system. Distinct logics differ from each other concerning the rules of inference they accept as valid and the formal languages used to express them. [21] Starting in the late 19th century, many", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia1.pdf" - }, - { - "text": "Paraconsistent logics are logical systems that can deal with contradictions. They are formulated to avoid the principle of explosion: for them, it is not the case that anything follows from a contradiction. [139] They are often motivated by dialetheism, the view that contradictions are real or that reality itself is contradictory. Graham Priest is an influential contemporary proponent of this position and similar views have been ascribed to Georg Wilhelm Friedrich Hegel. [140]\n\n## Informal\n\nInformal logic is usually carried out in a less systematic way. It often focuses on more specific issues, like investigating a particular type of fallacy or studying a certain aspect of argumentation. Nonetheless, some frameworks of informal logic have also been presented that try to provide a systematic characterization of the correctness of arguments. [141]\n\nThe pragmatic or dialogical approach to informal logic sees arguments as speech acts and not merely as a set of premises together with a conclusion. [142] As speech acts, they occur in a certain context, like a dialogue, which affects the standards of right and wrong arguments. [143] A prominent version by Douglas N. Walton understands a dialogue as a game between two players. The initial position of each player is characterized by the propositions to which they are committed and the conclusion they intend to prove. Dialogues are games of persuasion: each player has the goal of convincing the opponent of their own conclusion. [144] This is achieved by making arguments: arguments are the moves of the game. [145] They affect to which propositions the players are committed. A winning move is a successful argument that takes the opponent's commitments as premises and shows how one's own conclusion follows from them. This is usually not possible straight away. For this reason, it is normally necessary to formulate a sequence of arguments as intermediary steps, each of which brings the opponent a little closer to one's intended conclusion. Besides these positive arguments leading one closer to victory, there are also negative arguments preventing the opponent's victory by denying their conclusion. [144] Whether an argument is correct depends on whether it promotes the progress of the dialogue. Fallacies, on the other hand, are violations of the standards of proper argumentative rules. [146] These standards also depend on the type of dialogue. For example, the standards governing the scientific discourse differ from the standards in business negotiations. [147]\n\nThe epistemic approach to informal logic, on the other hand, focuses on the epistemic role of arguments. [148] It is based on the idea that arguments aim to increase our knowledge. They achieve this by linking justified beliefs to beliefs that are not yet justified. [149] Correct arguments succeed at expanding knowledge while fallacies are epistemic failures: they do not justify the belief in their conclusion. [150] For example, the fallacy of begging the question is a fallacy because it fails to provide independent justification for its conclusion, even though it is deductively valid. [151] In this sense, logical normativity consists in epistemic success or rationality. [149] The Bayesian approach is one example of an epistemic approach. [152] Central to Bayesianism is not just whether the agent believes something but the degree to which they believe it, the so-called credence . Degrees of belief are seen as subjective probabilities in the believed proposition, i.e. how certain the agent is that the proposition is true. [153] On this view, reasoning can be interpreted as a process of changing one's credences, often in reaction to new", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia1.pdf" - }, - { - "text": "new formal systems have been proposed. There are disagreements about what makes a formal system a logic. [22] For example, it has been suggested that only logically complete systems, like first-order logic, qualify as logics. For such reasons, some theorists deny that higher-order logics are logics in the strict sense. [23]\n\n## Informal logic\n\n\n\nFormal logic needs to translate natural language arguments into a formal language, like first-order logic, to assess whether they are valid. In this example, the letter \"c\" represents Carmen while the letters \"M\" and \"T\" stand for \"Mexican\" and \"teacher\". The symbol \" ∧ \" has the meaning of \"and\".\n\nWhen understood in a wide sense, logic encompasses both formal and informal logic. [24] Informal logic uses non-formal criteria and standards to analyze and assess the correctness of arguments. Its main focus is on everyday discourse. [25] Its development was prompted by difficulties in applying the insights of formal logic to natural language arguments. [26] In this regard, it considers problems that formal logic on its own is unable to address. [27] Both provide criteria for assessing the correctness of arguments and distinguishing them from fallacies. [28]\n\nMany characterizations of informal logic have been suggested but there is no general agreement on its precise definition. [29] The most literal approach sees the terms \"formal\" and \"informal\" as applying to the language used to express arguments. On this view, informal logic studies arguments that are in informal or natural language. [30] Formal logic can only examine them indirectly by translating them first into a formal language while informal logic investigates them in their original form. [31] On this view, the argument \"Birds fly. Tweety is a bird. Therefore, Tweety flies.\" belongs to natural language and is examined by informal logic. But the formal translation \"(1) ; (2) ; (3) \" is studied by formal logic. [32] The study of natural language arguments comes with various difficulties. For example, natural language expressions are often ambiguous, vague, and context-dependent. [33] Another approach defines informal logic in a wide sense as the normative study of the standards, criteria, and procedures of argumentation. In this sense, it includes questions about the role of rationality, critical thinking, and the psychology of argumentation. [34]\n\nAnother characterization identifies informal logic with the study of non-deductive arguments. In this way, it contrasts with deductive reasoning examined by formal logic. [35] Non-deductive arguments make their conclusion probable but do not ensure that it is true. An example is the inductive argument from the empirical observation that \"all ravens I have seen so far are black\" to the conclusion \"all ravens are black\". [36]\n\nA further approach is to define informal logic as the study of informal fallacies. [37] Informal fallacies are incorrect arguments in which errors are present in the content and the context of the argument. [38] A false dilemma, for example, involves an error of content by excluding viable options. This is the case in the fallacy \"you are either with us or against us; you are not with us; therefore, you are against us\". [39] Some theorists state that formal logic studies the general form of arguments while informal logic studies particular instances of arguments. 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Law and Revolution, the Formation of the Western Legal Tradition . Harvard University Press. ISBN 978-0-674-02085-6.\n - Bimbo, Katalin (2 April 2016). J. Michael Dunn on Information Based Logics . Springer. pp. 8-9. ISBN 978-3-319-29300-4.\n - Blackburn, Simon (1 January 2008). \"argument\". The Oxford Dictionary of Philosophy (http s://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194756/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803095423356) from the original on 8 January 2022. Retrieved 8 January 2022.\n - Blackburn, Simon (24 March 2016). \"rule of inference\". The Oxford Dictionary of Philosophy (https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990). Oxford University Press. ISBN 978-0-19-954143-0. Archived (https://web.archive.org/web/2022010 8194809/https://www.oxfordreference.com/view/10.1093/oi/authority.20110803100432990) from the original on 8 January 2022. Retrieved 8 January 2022.\n - Blair, J. Anthony; Johnson, Ralph H. (1987). \"The Current State of Informal Logic\" (https://ph ilpapers.org/rec/BLATCS). Informal Logic . 9 (2): 147-51. doi:10.22329/il.v9i2.2671 (https://d oi.org/10.22329%2Fil.v9i2.2671). Archived (https://web.archive.org/web/20211230194638/ht tps://philpapers.org/rec/BLATCS) from the original on 30 December 2021. Retrieved 2 January 2022.", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed8.pdf", - "query": "What was the mean correctness score for LLM-generated handoff notes ?", - "target_page": 7, - "target_passage": "Correctness 4.52", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n## Original Investigation | Emergency Medicine\n\n## DevelopingandEvaluatingLargeLanguageModel-GeneratedEmergencyMedicine HandoffNotes\n\nVince Hartman, MS; Xinyuan Zhang, PhD; Ritika Poddar, MS; Matthew McCarty, MD; Alexander Fortenko, MD, MPH; Evan Sholle, MS; Rahul Sharma, MD, MBA; Thomas Campion Jr, PhD; Peter A. D. Steel, MA, MBBS\n\n## Abstract\n\nIMPORTANCE An emergency medicine (EM) handoff note generated by a large language model (LLM) has the potential to reduce physician documentation burden without compromising the safety of EM-to-inpatient (IP) handoffs.\n\nOBJECTIVE To develop LLM-generated EM-to-IP handoff notes and evaluate their accuracy and safety compared with physician-written notes.\n\nDESIGN, SETTING, AND PARTICIPANTS This cohort study used EM patient medical records with acute hospital admissions that occurred in 2023 at NewYork-Presbyterian/Weill Cornell Medical Center. A customized clinical LLM pipeline was trained, tested, and evaluated to generate templated EM-to-IP handoff notes. Using both conventional automated methods (ie, recall-oriented understudy for gisting evaluation [ROUGE], bidirectional encoder representations from transformers score [BERTScore], and source chunking approach for large-scale inconsistency evaluation [SCALE]) and a novel patient safety-focused framework, LLM-generated handoff notes vs physician-written notes were compared. Data were analyzed from October 2023 to March 2024.\n\nEXPOSURE LLM-generated EM handoff notes.\n\nMAINOUTCOMESANDMEASURES LLM-generated handoff notes were evaluated for (1) lexical similarity with respect to physician-written notes using ROUGE and BERTScore; (2) fidelity with respect to source notes using SCALE; and (3) readability, completeness, curation, correctness, usefulness, and implications for patient safety using a novel framework.\n\nRESULTS In this study of 1600 EM patient records (832 [52%] female and mean [SD] age of 59.9 [18.9] years), LLM-generated handoff notes, compared with physician-written ones, had higher ROUGE(0.322 vs 0.088), BERTScore (0.859 vs 0.796), and SCALE scores (0.691 vs 0.456), indicating the LLM-generated summaries exhibited greater similarity and more detail. As reviewed by 3 board-certified EM physicians, a subsample of 50 LLM-generated summaries had a mean (SD) usefulness score of 4.04 (0.86) out of 5 (compared with 4.36 [0.71] for physician-written) and mean (SD) patient safety scores of 4.06 (0.86) out of 5 (compared with 4.50 [0.56] for physician-written). None of the LLM-generated summaries were classified as a critical patient safety risk.\n\nCONCLUSIONSANDRELEVANCE In this cohort study of 1600 EM patient medical records, LLM-generated EM-to-IP handoff notes were determined superior compared with physician-written summaries via conventional automated evaluation methods, but marginally inferior in usefulness\n\n(continued)\n\n\n\nOpenAccess. This is an open access article distributed under the terms of the CC-BY License.\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n(Reprinted)\n\n## KeyPoints\n\nQuestion Can a large language model (LLM) generate emergency medicine (EM)-to-inpatient (IP) handoff notes that are useful and safe for EM care?\n\nFindings In this cohort study of 1600 EMpatient medical records using a novel evaluation framework, the LLM-generated EM-to-IP handoff notes had a mean usefulness of 4.04 out of 5 (compared with 4.36 for physician-written) and a mean patient safety of 4.06 out of 5 (compared with 4.50 for physician-written) with no critical patient safety risks.\n\nMeaning These findings suggest the value of a manual, patient safetyfocused clinical evaluation of LLM models and the potential of LLM-generated handoff notes to create a new standard of care in EM.\n\n\n\n+\n\n\n\nInvited Commentary\n\n## + Supplemental content\n\nAuthor affiliations and article information are listed at the end of this article.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed8.pdf" - }, - { - "text": "LLM-model training, an informatics professional (V.H.) worked over a period of 200 hours with 3 board certified emergency medicine physician leaders with experience in formal quality and patient safety review processes (M.M., A.F., and P.S.) to improve the dataset through manual curation and annotation. As the task of EM-handoff note generation is not dependent on racial characteristics of the patients, we removed all mentions of race during the annotation stage as a means to avoid race bias; therefore, the model was trained to generate text without race-based assumptions. Although resource intensive, a small and carefully curated dataset of at least 1000 examples has been shown to be sufficient to produce remarkable results for the language model chosen. 42 Given the size of our dataset, we created a train and test dataset with a ratio of 1500:100, with a higher ratio of data placed in the training set and eschewed a validation set to lower the variance of the models. We used k-fold cross validation on the training dataset to avoid sampling bias for the hyperparameter optimization of the LLMs.\n\n## Models\n\nFor this study, we chose the LLMs Robustly Optimized BERT Approach (RoBERTa; hereafter referred to as LLM 1) 43 for saliency content selection and Large Language Model Meta AI 2 (Llama-2; hereafter referred to as LLM 2) 7B 44 for abstractive summarization. Further information about the models and technology specifications is provided in detail in eAppendix 1 in Supplement 1.\n\n## Data Processing\n\nAs LLM 2 only has a context size of 4096 tokens, 44 weused 2 steps to process the EM notes to both shorten the input size while maintaining content salience. First, we adopted a number of heuristic strategies for prioritization and filtration: (1) clinical note types (hierarchy presented in Table 1), (2) time of authorship, and (3) duplicate sentence detection. Second, we used an LLM 1-based saliency model to infer EM note sentences based on likelihood of content contribution to the EM-to-IP handoff notes.\n\n## ModelTraining and Inference\n\nOur summarization model is a fine-tuned decoder-only causal language model based on LLM 2. We used different prompts for the separate types of summarization: HPI and EM handoff. Additional information about the model training and inference process is provided in eAppendix 1 in\n\n## Supplement 1.\n\nUsing a combination of generative AI powered by our fine-tuned LLM 2 model and a set of heuristic rules, our summarization system produced ED handoff notes with various sections for downstream clinical tasks. The inference process is shown in the Figure .\n\nTable 1. Types of Data Included From the Emergency Department (ED) Patient Electronic Health Record a", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed8.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOnaLikert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences. 51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk. 45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement. 52 Data were analyzed from October 2023 to March 2024.\n\n## Results\n\n## AutomatedTasks\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In Table 2 , ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n## Clinical Evaluation Tasks\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in Table 3 and Table 4 . The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)-Generated and Physician-Written\n\n| Summary type | R-1 a | R-2 a | R-L a | BERT-p | BERT-r | SCALE |\n|-------------------|---------|---------|---------|----------|----------|---------|\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## Discussion\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user-developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\nTable 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)-Generated and Physician-Written", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise. 49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows. 29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy. 54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps), 30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n## Limitations\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs 32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)-Generated and Physician-Written\n\n| | LLM-generated | LLM-generated | LLM-generated | LLM-generated | LLM-generated | LLM-generated | Physician-written | Physician-written | Physician-written | Physician-written | Physician-written | Physician-written |\n|--------------|-----------------|------------------------------|------------------------------|------------------------------|------------------------------|------------------------------|---------------------|------------------------------|------------------------------|------------------------------|------------------------------|------------------------------|\n| | | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a |\n| Criteria | Mean score (SD) | 1 | 2 | 3 | 4 | 5 | Mean score (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.00 (0.88) | 0 | 12 (8) | 31 (20.7) | 69 (46) | 38 (25.3) | 4.16 (0.84) | 0 | 3 (2) | 31 (20.7) | 48 (32) | 68 (45.3) |\n| Curation | 4.24 (0.58) | 0 | 1 (0.7) | 13 (8.7) | 85 (56.7) | 51 (34) | 4.76 (0.48) | 0 | 0 | 6 (4) | 39 (26) | 105 (70) |\n| Readability | 4.00 (0.64) | 0 | 8 (5.3) | 17 (11.3) | 87 (58) | 38 (25.3) | 4.64 (0.49) | 0 | 0 | 5 (3.3) | 38 (25.3) | 107 (71.3) |\n| Correctness | 4.52 (0.64) | 0 | 0 | 13 (8.7) | 39 (26) | 98 (65.3) | 4.90 (0.39) | 0 | 0 | 2 (1.3) | 12 (8) | 136 (90.7) |\n| Usefulness | 4.04 (0.86) | 0 | 12 (8) | 30 (20) | 59 (39.3) | 49 (32.7) | 4.36 (0.71) | 0 | 5 (3.3) | 13 (8.7) | 53 (35.3) | 79 (52.7) |\n\n - a Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results.\n\nTable 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)-Generated and Physician-Written", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "We thus also evaluate using the following benchmark-specific metrics to assess response quality:\n\n - · MT-bench: We score the responses on a scale of 1 -10 using an LLM-as-a-judge methodology [71]. We use GPT-4o [2] as the judge and ask it to provide a score given a pair of a query and a corresponding response.\n - · MMLU: We parse the responses and compare the answer to the ground truth. In cases where the response did not fit any known multi-choice format, we marked the response as a mistake. We report accuracy as the percentage of responses that match the ground truth.\n - · GSM8K: similar to MMLU except questions are math rather than multiple choice, thus we parse the answers according to the expected format.\n\nTo further demonstrate that the attack improves the quality of responses when there is a significant gap between the weak and strong LLMs, we perform an additional evaluation with Mistral-7B-Instruct-v0.3 [38] and Llama-2-7B-chat-hf [63] as the weak LLMs (LLM pairs 2 and 3). Mistral-7B achieves 7 . 4 , 57% , and 25% on MT-bench, MMLU, and GSM8K, respectively. Llama-2-7B achieves 6 . 4 , 44% , and 21% . Table 4 shows that the rerouting attack improves quality of responses when either of these LLMs is the weak model, and in particular for the weaker Llama-2-7B model.\n\nLLM responses are sometimes affected by the confounder gadget. In some cases, the LLM responded with, for example, 'I can't answer that question as it appears to be a jumbled mix of characters'. Still, the response continued with 'However, I can help you with the actual question you're asking,' followed by the actual answer. We observed very few cases where an LLM refused to answer due to the presence of the gadget. In most cases, the response did not mention anything", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv1.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety. 38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n## Methods\n\n## Data Collection\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n## EM-to-IP Handoff Note Template\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n## Data Curation for Automated ED Note Generation", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "Table 12: Average upgrade rates for different ways of adding the gadget to queries, in the white-box setting. Results are similar in both methods, with a slight preference to the prefix approach.\n\n| | | R SW | R MF | R CLS | R LLM |\n|----------|---------------|-----------------|-----------------|-----------------|----------------|\n| MT-Bench | Prefix Suffix | 100 ± 0 100 ± 0 | 100 ± 0 100 ± 0 | 100 ± 0 100 ± 0 | 73 ± 5 84 ± 4 |\n| MMLU | Prefix | 90 ± 1 82 ± 2 | 78 ± 4 | 100 ± 0 | 95 ± 1 |\n| GSM8K | Suffix | 98 ± 0 94 ± 1 | 63 ± 3 | 93 ± 1 | 93 ± 1 |\n| | Prefix Suffix | | 100 ± 0 100 ± 0 | 100 ± 0 100 ± 0 | 100 ± 0 94 ± 3 |\n\nTable 13: Average upgrade rates for different ways of sampling candidate tokens during gadget generation, in the whitebox setting. Uniformly sampling the tokens yields better upgrade rates in most cases.\n\n| | | R SW | R MF | R CLS | R LLM |\n|----------|-----------------------|---------------|----------------|-----------------|---------------|\n| MT-Bench | Uniform Natural Prob. | 100 ± 0 | 100 ± 0 97 ± 2 | 100 ± 0 100 ± 0 | 73 ± 5 5 |\n| MMLU | Uniform | 100 ± 0 | 78 ± 4 | ± | 70 ± 95 ± 1 |\n| GSM8K | Natural Prob. Uniform | 90 ± 1 77 ± 2 | 41 ± 3 | 100 0 96 ± 2 | 87 ± 4 |\n| | Natural Prob. | 98 ± 0 88 ± 2 | 100 ± 0 92 ± 3 | 100 ± 0 100 ± 0 | 94 ± 3 83 ± 9 |\n\nAs mentioned in Section 5, to encourage the LLMs to follow the specific format in their responses (so they can be parsed and compared with the ground-truth answers), we add a short prefix to the MMLU and GSM8K queries that instructs the model how to respond. We phrase this instruction as follows: ' Answer the question using the format: 'Answer: [A/B/C/D]. Explanation: [EXPLANATION]' ' for the multi-choice queries of the MMLU benchmark, and a similar version for GSM8K. We add this instruction after modifying the queries with the confounder gadget, i.e. the instruction is prepended to the gadget.\n\nAn alternative to insert the instruction after the gadget but before the query, however we observed this to slighly underperform its counterpart. In the white-box setting we observe a slight decrease in the average (across all four routers) upgrade rate from 91% to 89% for the MMLU benchmark, and from 98% to 91% for the GSM8K benchmark. In the black-box setting, the average upgrade rate on MMLU reduces from 57% to 49% and on GSM8K from 73% to 64% .\n\nToken sampling method. When generating the confounder gadget (see Section 4), we iteratively replace tokens with the goal of maximizing the routing algorithm's score for the gadget. Candidate replacement tokens are chosen uniformly at random. An alternative is to choose candidates based on their probability of appearing in natural text. To evaluate this method, we compute token probabilities by parsing and tokenizing the wikitext-103-raw-v1 dataset [44].\n\nTable 13 shows that in most cases uniform sampling of replacement tokens yields better upgrade rates. We conjecture that uniform sampling produces more unnatural text, confusing the router. For example, for the R SW routing algorithm, uniform sampling produces the following gadget: ' legationbelongs967reglo'hui(DictionaryizedNameantal bidi.numberOf ', whereas sampling according to natural probabilities produces ' total occurred According number Letar final Bab named remainder '.", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 3: Summary of our setup for routers, underlying LLMs, and benchmark datasets used in the experiments.\n\n| Routers | | Notation R SW R |\n|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|\n| Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | MF R CLS R LLM |\n| LLMpair | Strong ( M s ) | Weak ( M w ) |\n| 1 | Llama-3.1-8B | 4-bit Mixtral 8x7B |\n| 2 3 | Llama-3.1-8B Llama-3.1-8B | Mistral-7B-Instruct-v0.3 Llama-2-7B-chat-hf |\n| 4 | GPT-4-1106-preview | 4-bit Mixtral 8x7B |\n| Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions |\n| MMLU[35] | MMLU[35] | MMLU[35] |\n| GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems |\n\nIn all experiments, we assume that the adversary's goal is to reroute queries to the strong model. In Appendix E, we evaluate efficacy of the attack when the goal is to reroute to the weak model.\n\nTarget routers. We focus our evaluation on the four prescriptive routing algorithms proposed by Ong et al. [47], which provides open-source code and trained parameters, and does so for a representative variety of routing approaches: similarity-based classification [41, 59], an MLP constructed via matrix factorization [59], BERT-based classification [27, 53, 59], and a fine-tuned LLM.\n\nThe routers we evaluate were trained in a supervised fashion using a set of reference (training) queries whose performance score on each of the considered models is known. The scores were computed from a collection of human pairwise rankings of model answers for each of the queries. We note that while the routers we consider are all learned using this training set, there is no reason to believe a non-learning-based approach (e.g., rule based) to routing would be more adversarially robust.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What are the improvements made to possible to the HadGEM3 and CMIP5 climate change models by UKCP18 ?", - "target_page": 1, - "target_passage": "mprovements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Rather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12-14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts-an atmosphereonly simulation requires considerably less computing time than a coupled ocean-atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean-atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\n\n\n\n\n## UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW\n\n\n\n## What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments 1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme 2 .\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power 3 for example.\n\n\n\n## What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n- · Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback - user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information 4 .\n- · Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM3 5 model and the CMIP5 6 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n- · Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models 7 .\n- · The increased quantity and range of observations available since 2009.\n- · Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n- 1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports\n- 2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/ 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: https://www.gov.uk/government/collections/climate-change-adaptation-\n\n## reporting-second-round-reports\n\n- 4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n- 5 http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3\n- 6 Coupled model intercomparison project phase 5, see http://cmip-pcmdi.llnl.gov/cmip5/\n- 7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, 5791-5806 (2012) http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\n## What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n\n\n\n\n## OBSERVATIONS\n\n## Annual report: State of the UK Climate. Downloadable data.\n\nThe 'State of the UK Climate' report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update 8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence 9 . For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n## MARINE PROJECTIONS\n\n## Sea level rise. Storm surge. Past event case studies.\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a 'plausible but highly unlikely' scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report 10 .\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These 'storminess' projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n - 8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n - 9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n - 10 https://www.ipcc.ch/report/ar5/", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## PROJECTIONS OVER LAND\n\nThe land projections comprise three components:\n\n## 60KM GLOBAL PROJECTIONS\n\n20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## 25KM PROBABILISTIC PROJECTIONS\n\nCaptures natural variability and climate change . Updated models and observations. Provides seasonal scale projections.\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP09 11 . The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided 12 .\n\n## DOWNSCALED HIGH RESOLUTION PROJECTIONS\n\nDownscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX 13 .\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n - 11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n - 12 30-year means can be created using the UKCP18 PDF data\n - 13 http://www.euro-cordex.net/\n\n\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "- 2. Murphy JM et al. 2009 UKclimate projections science report: climate change projections . Exeter, UK: Met Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n - 3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in Copenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference of the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ 11a01.pdf.\n - 4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, 30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of the Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ 10a01.pdf.\n - 5. Hewitson B et al. 2014 Regional context. In Climate change 2014: impacts, adaptation, and vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment report of the Intergovernmental Panel on Climate Change (eds VR Barros et al. ), pp. 1133-1197. Cambridge, UK: Cambridge University Press.\n - 6. Dankers R et al. 2013 First look at changes in flood hazard in the inter-sectoral impact model intercomparison project ensemble. Proc. Natl Acad. Sci. USA 111 , 3257-3261. (doi:10.1073/ pnas.1302078110)\n - 7. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change (eds CB Field et al. ), pp. 1-32. Cambridge, UK: Cambridge University Press.\n - 8. Schewe J et al. 2014 Multimodel assessment of water scarcity under climate change. Proc. Natl Acad. Sci. USA 111 , 3245-3250. (doi:10.1073/pnas.1222460110)\n - 9. Schleussner C-F et al. 2015 Differential climate impacts for policy-relevant limits to global warming: the case of 1.5°C and 2°C. Earth Syst. Dynam. Discuss. 6 , 2447-2505. (doi:10.5194/ esdd-6-2447-2015)\n - 10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-adegree difference: a review of methods for identifying regional climate responses to global warming targets. WIREs Clim Change 8 , e457. (doi:10.1002/wcc.457)\n - 11. Haarsma RJ et al. 2016 High resolution model intercomparison project (HighResMIP v1.0) for CMIP6. Geosci. Model Dev. 9 , 4185-4208. (doi:10.5194/gmd-9-4185-2016)\n - 12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke EC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation Met Office climate modelling system. Geosci. Model Dev. 4 , 223-253. (doi:10.5194/gmd-4223-2011).\n - 13. Martin GM et al. 2011 The HadGEM2 family of met office unified model climate configurations. Geosci. Model Dev. 4 , 723-757. (doi:10.5194/gmd-4-723-2011)\n - 14. Walters DN et al. 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and JULES global land 3.0/3.1 configurations. Geosci. Model Dev. 4 , 919-941. (doi:10.5194/gmd4-919-2011)\n - 15. Williams KD et al. 2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. Geosci. Model Dev. 8 , 1509-1524. (doi:10.5194/gmd-8-1509-2015)\n - 16. Senior CA et al. 2016 Idealized climate change simulations with a high-resolution physical model: HadGEM3-GC2. J. Adv. Model. Earth Syst. 8 , 813-830. (doi:10.1002/2015MS000614)\n - 17. Wood N et al. 2014 An inherently mass-conserving semi-implicit semi-Lagrangian discretization of the deep-atmosphere global non-hydrostatic equations. Q. J. R. Meteorol. Soc. 140 , 1505-1520. (doi:10.1002/qj.2235)\n - 18. MacLachlan C et al. 2014 Global seasonal forecast system version 5 (GloSea5): a highresolution seasonal forecast system. Q. J. R. Meteorol. Soc. 141 , 1072-1084. (doi:10.1002/qj.2396)", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 19. Knight J et al. 2014 Predictions of climate several years ahead using an improved decadal prediction system. J. Clim. 27 , 7550-7567. (doi:10.1175/JCLI-D-14-00069.1)\n - 20. Wyser K et al. 2016 Documentation of changes in climate variability and extremes simulated by the HELIX AGCMs at the 3 SWLs and comparison to changes in equivalent SST/SIC lowresolution CMIP5 projections. HELIX project deliverable 3.1.\n - 21. Alexander L, Yang H, Perkins S. 2018 ClimPACT-Indices and Software. User Manual. See http://www.wmo.int/pages/prog/wcp/ccl/opace/opace4/meetings/documents/ ETCRSCI\\_software\\_documentation\\_v2a.doc (accessed on 5 February 2018).", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100-the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "Table 3. Time of reaching GWLs of 1.5 ° Cand2 ° C in the raw output from the HadGEM3 climate simulations, driven by di/fferent sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20-year period for which the climate data are applied to the calculation of the ClimPACT indices.\n\n| driving SSTs | 1.5 ° C | 2.0 ° C |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|-----------|\n| IPSL-CM5A-LR .......................................................................................................................................................................................................... | 2015 | 2030 |\n| GFDL-ESM2M .......................................................................................................................................................................................................... | 2040 | 2055 |\n| HadGEM2-ES .......................................................................................................................................................................................................... | 2027 | 2039 |\n| IPSL-CM5A-MR .......................................................................................................................................................................................................... | 2020 | 2034 |\n| MIROC-ESM-CHEM .......................................................................................................................................................................................................... | 2023 | 2035 |\n| ACCESS1-0 .......................................................................................................................................................................................................... | 2034 | 2046 |\n\nup to present-day plus model-projected warming thereafter (table 4). While this does lead to inconsistent definitions of dates of the GWLs for applications of the climate model output with and without bias correction, the focus here is on the level of warming relative to pre-industrial rather than the timing of this warming. Therefore, priority is given to an accurate quantification of GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming levels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on the model and warming level. This inconsistency would have consequences if these results were applied to time-dependent impacts and adaptation assessments, but that is not the case here so this concern does not apply. However, one issue is that the time-dependent nature of the aerosol forcing means that the spatial pattern of regional climate responses varies over time, so this will lead to some degree of inconsistency between the analysis of the ClimPACT extremes and the HCVI and JULES impacts projections.\n\n## 3. Results", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "- * Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/ data/uk-network-real-time ).\n - ‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net ).\n - +Now included due to user request and Peer Review Panel advice.\n - ++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n## How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\nhttp://ukclimateprojections.metoffice.gov.uk/24125\n\nUKCP Project Team\n\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "In the present study, processing errors in the input data for one ensemble member, the HadGEM2-ES-driven member, caused the results to be invalid. Results for this member for the HCVI are, therefore, not presented here.\n\n## (d) Freshwater resources: run-o/ff\n\nImpacts on freshwater were assessed with a version of the JULES land surface model [24,25], a coupled ecosystem-hydrology-surface exchange model which simulates land-atmosphere fluxes of water, energy and carbon in an internally consistent way, typically applied at global scales. Variants of JULES form the land surface scheme of Met Office Hadley Centre Earth System Models [26,27] and have been used to assess impacts of climate change on global terrestrial ecosystems and hydrology [28-30] within such models. JULES can also be used outside of the Earth System Model (ESM), driven by meteorological outputs of other ESMs to assess impacts of a wider range of climate projections [6,8]. Here we use a new, higher-resolution configuration of JULES on a global grid of 0.5° resolution [31].\n\nIt has been noted that hydrological impacts models driven by climate-change projections from climate models tend to give more severe drying than simulated in the climate models themselves [32-34]. This is largely attributed to the inclusion of plant stomatal closure in response to elevated CO2 in the climate model land surface schemes, which generally reduces evapotranspiration relative to climate projections without this process and hence further increases run-off/streamflow or ameliorates decreases [34]. This process is often omitted from standard hydrological models. Plant physiological responses to CO 2 are included in the JULES model, so our projections of changes in run-off here do account for this process.\n\nWe used each HadGEM3 simulation to drive JULES to simulate changes in run-off due to the effects of climate change and CO 2 rise on precipitation, evaporation and transpiration. We analysed 30 year periods centred around the year of crossing GWLs of 1.5°C and 2°C relative to pre-industrial. We examined changes in both mean flows and low flows (defined as the flows for the lowest 10% of time).\n\n## (e) Correcting biases in climate model output and implications for de/fining levels of global warming\n\nThe ClimPACT extreme weather indices, HCVI and JULES run-off simulations were all performed using outputs from the higher-resolution HadGEM3 projections described in §2a. However, there were some differences in how these data were applied, with different approaches to the treatment of systematic biases in the climate model output. For the ClimPACT analysis, it was considered important to assess changes in the raw climate model output, because this directly represents the behaviour of the model itself. The main focus was on the changes relative to the presentday baseline climate, defined as 1981-2010, with absolute values in either the baseline or the GWLs of 1.5°C and 2°C being only of secondary interest. For the HCVI and JULES run-off analyses, however, it was considered important to correct for systematic biases in the climate model output, because these can lead to unrealistic representations of the key quantities in the present-day simulation [35]. A bias-correction methodology was, therefore, applied for these two parts of the analysis, whereby the model output was adjusted to make it consistent with an observed climatology [36]. We used a multi-segment statistical bias-correction methodology for precipitation [37], and a modification of this for other variables [37].", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "Which causes of the rise of sea level will be considered by UKCP18 ?", - "target_page": 2, - "target_passage": "Sea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n## What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n\n\n\n\n## OBSERVATIONS\n\n## Annual report: State of the UK Climate. Downloadable data.\n\nThe 'State of the UK Climate' report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update 8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence 9 . For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n## MARINE PROJECTIONS\n\n## Sea level rise. Storm surge. Past event case studies.\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a 'plausible but highly unlikely' scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report 10 .\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These 'storminess' projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n - 8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n - 9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n - 10 https://www.ipcc.ch/report/ar5/", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\n\n\n## UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW\n\n\n\n## What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments 1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme 2 .\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power 3 for example.\n\n\n\n## What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n- · Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback - user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information 4 .\n- · Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM3 5 model and the CMIP5 6 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n- · Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models 7 .\n- · The increased quantity and range of observations available since 2009.\n- · Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n- 1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports\n- 2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/ 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: https://www.gov.uk/government/collections/climate-change-adaptation-\n\n## reporting-second-round-reports\n\n- 4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n- 5 http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3\n- 6 Coupled model intercomparison project phase 5, see http://cmip-pcmdi.llnl.gov/cmip5/\n- 7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, 5791-5806 (2012) http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "| Scale | UK | UK | Global | UK | UK | UK |\n| Spatial resolution* | To match land projections | UK Coastline † | 60km | 25km | 12km + | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 RCP2.6, RCP4.5, | 1900-2100 RCP8.5; additional | 1961-2100 SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "- * Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/ data/uk-network-real-time ).\n - ‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net ).\n - +Now included due to user request and Peer Review Panel advice.\n - ++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n## How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\nhttp://ukclimateprojections.metoffice.gov.uk/24125\n\nUKCP Project Team\n\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## PROJECTIONS OVER LAND\n\nThe land projections comprise three components:\n\n## 60KM GLOBAL PROJECTIONS\n\n20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## 25KM PROBABILISTIC PROJECTIONS\n\nCaptures natural variability and climate change . Updated models and observations. Provides seasonal scale projections.\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP09 11 . The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided 12 .\n\n## DOWNSCALED HIGH RESOLUTION PROJECTIONS\n\nDownscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX 13 .\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n - 11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n - 12 30-year means can be created using the UKCP18 PDF data\n - 13 http://www.euro-cordex.net/\n\n\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "rsta.royalsocietypublishing.org\n\n## Research\n\n\n\n\n\nCite this article: Betts RA et al . 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° Cand2 ° C global warming with a higher-resolution global climate model. Phil. Trans. R. Soc. A 376 : 20160452.\n\nhttp://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted:13February2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5 ° C above pre-industrial levels'.\n\n## Subject Areas:\n\nclimatology, hydrology\n\n## Keywords:\n\n1.5 ° C, Paris Agreement, 2 ° C, global climate impacts, water resources, terrestrial ecosystems\n\n## Author for correspondence:\n\nRichard A. Betts\n\ne-mail: richard.betts@meto/ffice.gov.uk\n\n\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° C and 2 ° C global warming with a higher-resolution global climate model\n\nRichard A. Betts 1,2 , Lorenzo Al/fieri 3 , Catherine Bradshaw 2 ,JohnCaesar 2 ,LucFeyen 3 ,Pierre Friedlingstein 4 , Laila Gohar 2 , Aristeidis Koutroulis 5 , Kirsty Lewis 2 , Catherine Morfopoulos 1 , Lamprini Papadimitriou 5,6 ,KatyJ.Richardson 2 , Ioannis Tsanis 5 and Klaus Wyser 7\n\n7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\n\n\n- RAB, 0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "Table 3. Time of reaching GWLs of 1.5 ° Cand2 ° C in the raw output from the HadGEM3 climate simulations, driven by di/fferent sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20-year period for which the climate data are applied to the calculation of the ClimPACT indices.\n\n| driving SSTs | 1.5 ° C | 2.0 ° C |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|-----------|\n| IPSL-CM5A-LR .......................................................................................................................................................................................................... | 2015 | 2030 |\n| GFDL-ESM2M .......................................................................................................................................................................................................... | 2040 | 2055 |\n| HadGEM2-ES .......................................................................................................................................................................................................... | 2027 | 2039 |\n| IPSL-CM5A-MR .......................................................................................................................................................................................................... | 2020 | 2034 |\n| MIROC-ESM-CHEM .......................................................................................................................................................................................................... | 2023 | 2035 |\n| ACCESS1-0 .......................................................................................................................................................................................................... | 2034 | 2046 |\n\nup to present-day plus model-projected warming thereafter (table 4). While this does lead to inconsistent definitions of dates of the GWLs for applications of the climate model output with and without bias correction, the focus here is on the level of warming relative to pre-industrial rather than the timing of this warming. Therefore, priority is given to an accurate quantification of GWLs in all parts of the study, at the expense of inconsistencies in the dates of these warming levels. The inconsistency between the dates of the GWLs ranged from 2 to 9 years depending on the model and warming level. This inconsistency would have consequences if these results were applied to time-dependent impacts and adaptation assessments, but that is not the case here so this concern does not apply. However, one issue is that the time-dependent nature of the aerosol forcing means that the spatial pattern of regional climate responses varies over time, so this will lead to some degree of inconsistency between the analysis of the ClimPACT extremes and the HCVI and JULES impacts projections.\n\n## 3. Results", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed11.pdf" - }, - { - "text": "- 2. Murphy JM et al. 2009 UKclimate projections science report: climate change projections . Exeter, UK: Met Office Hadley Centre. See http://ukclimateprojections.metoffice.gov.uk.\n - 3. United Nations. 2010 Report of the Conference Parties on its fifteenth session, held in Copenhagen, 7 to 19 December 2009. Addendum. Part Two: Action taken by the Conference of the Parties at its fifteenth session. See http://unfccc.int/resource/docs/2009/cop15/eng/ 11a01.pdf.\n - 4. United Nations. 2016 Report of the Conference Parties on its twenty-first session, held in Paris, 30 November to 13 December 2015. Addendum Part two: Action taken by the Conference of the Parties at its twenty-first session. See http://unfccc.int/resource/docs/2015/cop21/eng/ 10a01.pdf.\n - 5. Hewitson B et al. 2014 Regional context. In Climate change 2014: impacts, adaptation, and vulnerability. Part B: regional aspects. Contribution of Working Group II to the Fifth assessment report of the Intergovernmental Panel on Climate Change (eds VR Barros et al. ), pp. 1133-1197. Cambridge, UK: Cambridge University Press.\n - 6. Dankers R et al. 2013 First look at changes in flood hazard in the inter-sectoral impact model intercomparison project ensemble. Proc. Natl Acad. Sci. USA 111 , 3257-3261. (doi:10.1073/ pnas.1302078110)\n - 7. IPCC. 2014 Summary for policymakers. In Climate change 2014: impacts, adaptation, and vulnerability. Part A: global and sectoral aspects. Contribution of Working Group II to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change (eds CB Field et al. ), pp. 1-32. Cambridge, UK: Cambridge University Press.\n - 8. Schewe J et al. 2014 Multimodel assessment of water scarcity under climate change. Proc. Natl Acad. Sci. USA 111 , 3245-3250. (doi:10.1073/pnas.1222460110)\n - 9. Schleussner C-F et al. 2015 Differential climate impacts for policy-relevant limits to global warming: the case of 1.5°C and 2°C. Earth Syst. Dynam. Discuss. 6 , 2447-2505. (doi:10.5194/ esdd-6-2447-2015)\n - 10. James R, Washington R, Schleussner C-F, Rogeli J, Conway D. 2017 Characterizing half-adegree difference: a review of methods for identifying regional climate responses to global warming targets. WIREs Clim Change 8 , e457. (doi:10.1002/wcc.457)\n - 11. Haarsma RJ et al. 2016 High resolution model intercomparison project (HighResMIP v1.0) for CMIP6. Geosci. Model Dev. 9 , 4185-4208. (doi:10.5194/gmd-9-4185-2016)\n - 12. Hewitt HT, Copsey D, Culverwell ID, Harris CM, Hill RSR, Keen AB, McLaren AJ, Hunke EC. 2011 Design and implementation of the infrastructure of HadGEM3: the next-generation Met Office climate modelling system. Geosci. Model Dev. 4 , 223-253. (doi:10.5194/gmd-4223-2011).\n - 13. Martin GM et al. 2011 The HadGEM2 family of met office unified model climate configurations. Geosci. Model Dev. 4 , 723-757. (doi:10.5194/gmd-4-723-2011)\n - 14. Walters DN et al. 2011 The Met Office Unified Model Global Atmosphere 3.0/3.1 and JULES global land 3.0/3.1 configurations. Geosci. Model Dev. 4 , 919-941. (doi:10.5194/gmd4-919-2011)\n - 15. Williams KD et al. 2015 The Met Office Global Coupled Model 2.0 (GC2) configuration. Geosci. Model Dev. 8 , 1509-1524. (doi:10.5194/gmd-8-1509-2015)\n - 16. Senior CA et al. 2016 Idealized climate change simulations with a high-resolution physical model: HadGEM3-GC2. J. Adv. Model. Earth Syst. 8 , 813-830. (doi:10.1002/2015MS000614)\n - 17. Wood N et al. 2014 An inherently mass-conserving semi-implicit semi-Lagrangian discretization of the deep-atmosphere global non-hydrostatic equations. Q. J. R. Meteorol. Soc. 140 , 1505-1520. (doi:10.1002/qj.2235)\n - 18. MacLachlan C et al. 2014 Global seasonal forecast system version 5 (GloSea5): a highresolution seasonal forecast system. Q. J. R. Meteorol. Soc. 141 , 1072-1084. (doi:10.1002/qj.2396)", - "page_start": 25, - "page_end": 25, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 2. Simulated changes in annual daily maximum temperature relative to 1981-2010 at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\nTable 4. Time of reaching GWLs of 1.5 ° Cand2 ° C in each bias-corrected output from the HadGEM3 climate simulations, driven by di/fferent sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| driving SSTs | 1.5 ° C | 2.0 ° C |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|-----------|\n| IPSL-CM5A-LR .......................................................................................................................................................................................................... | 2024 | 2035 |\n| GFDL-ESM2M .......................................................................................................................................................................................................... | 2036 | 2051 |\n| HadGEM2-ES .......................................................................................................................................................................................................... | 2019 | 2033 |\n| IPSL-CM5A-MR .......................................................................................................................................................................................................... | 2023 | 2036 |\n| MIROC-ESM-CHEM .......................................................................................................................................................................................................... | 2020 | 2032 |\n| ACCESS1-0 | 2026 | 2040 |\n\n..........................................................................................................................................................................................................\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "## 2. Background\n\n## 2.1. Climate Change, Global Warming, and Frames\n\nExisting studies have noted that the subtle di GLYPH<11> erence between climate change and global warming evokes di GLYPH<11> erent public cognitive responses, where global warming'indicates heat-related impacts, human causes, increased UV light penetration, ozone depletion, and the greenhouse e GLYPH<11> ect, whereas climate change is more associated with a wide range of influences on climate, including drought and agriculture [9]. An N-gram analysis suggested that global warming showed a closer connection with ice, snow, and sea, whereas climate change was always connected with scientific investigations, such as", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "legal1_opengouvernementlicense.pdf", - "query": "What perdiod is covered by the 12 km resolution projection data of the UKCP18 ?", - "target_page": 4, - "target_passage": "1981-2080", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n## What can users expect from UKCP18?\n\nThere are three components to UKCP18: observations of historic climate, marine projections and projections over land. These components are described below and summarised in Table 1. UKCP18 will provide each of these components at a higher spatial and temporal resolution than UKCP09 and with more information on different types of uncertainty.\n\n\n\n\n\n## OBSERVATIONS\n\n## Annual report: State of the UK Climate. Downloadable data.\n\nThe 'State of the UK Climate' report for 2017 will be included as part of the UKCP18 package, bringing the observed data right up to date. This annual update 8 covers trends, the multidecade climate record and significant weather events such as the early July 2015 hot spell and the exceptionally mild and wet December of the same year.\n\nQuality controlled UK observational datasets from the Met Office observing network, provided at spatial resolutions to match the land projections and for pre-defined administrative regions and river basins, will be available under an Open Government Licence 9 . For variables such as temperature and precipitation these data sets will span the late 19th Century to the present day and will be provided for daily, monthly, seasonal, annual and long term averages.\n\n## MARINE PROJECTIONS\n\n## Sea level rise. Storm surge. Past event case studies.\n\nSea-level rise projections will extend to 2100 and will include contributions from glaciers, ice sheets, freshwater reservoirs, groundwater and thermal expansion. Outputs will include an estimate of the year-to-year changes in sea level rise and a 'plausible but highly unlikely' scenario known as H++. A new feature of UKCP18 will be assessing the credibility of making sea level rise projections to 2300. The projections will use the latest information from the CMIP5 models and application of the methods used in the Intergovernmental Panel on Climate Change's (IPCC) Fifth Assessment Report 10 .\n\nThe UKCP09 storm surge projections will be updated to provide new estimates of the change in high water levels over the 21st Century. These estimates will be based on a combination of projected mean sea level change and projections of change in the extremes due to changes in atmospheric storminess. These 'storminess' projections will use the same surge model used in operational weather forecasting, using the wind and pressure from the CMIP5 ensemble to drive the surge. New understanding of the modification of large-scale sea level change signals as they pass from the open ocean onto the shelf sea around the UK will be incorporated into the UKCP18 marine projections. UKCP18 will also include storm surge historical case studies derived from applying plausible future sea level change to historical extreme events.\n\n - 8 The latest update can be found at http://www.metoffice.gov.uk/climate/uk/about/state-of-climate\n - 9 http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/\n - 10 https://www.ipcc.ch/report/ar5/", - "page_start": 1, - "page_end": 1, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "| Scale | UK | UK | Global | UK | UK | UK |\n| Spatial resolution* | To match land projections | UK Coastline † | 60km | 25km | 12km + | 2.2km |\n| Highest temporal resolution | Daily / monthly | Annual | Daily | Monthly | Daily | Sub-daily |\n| Period of data | bulk of 20th century to present day | 1950-2100 RCP2.6, RCP4.5, | 1900-2100 RCP8.5; additional | 1961-2100 SRES A1B, RCP2.6, RCP4.5, RCP6.0 RCP8.5 | 1981-2080 | 1981-2000 2021-2040 2061-2080 |", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\n\n\n## UK CLIMATE PROJECTIONS: A PROJECT OVERVIEW\n\n\n\n## What is UKCP18 and why do we need it?\n\nFollowing the historic Paris Agreement on Climate Change in December 2015, the Department of Environment, Food and Rural Affairs announced a major upgrade to the UK Climate Projections.\n\nThe UKCP18 project will build upon the current set of projections (UKCP09) to provide the most up-todate assessment of how the climate of the UK may change over the 21st century. This information will be essential to future Climate Change Risk Assessments 1 and to equip the UK with information to help adapt to the challenges and opportunities of climate change in line with the National Adaptation Programme 2 .\n\nOrganisations and individual users will use UKCP18 to inform risk assessments and adaptation plans to ensure they are resilient to extreme weather and climate change. Some organisations will use UKCP18 in responding to the Adaptation Reporting Power 3 for example.\n\n\n\n## What improvements does UKCP18 deliver?\n\nUKCP18 will benefit from a range of developments since the release of UKCP09, including:\n\n- · Greater understanding of user needs as a result of the adaptation community's use of UKCP09 projections and the subsequent feedback - user workshops indicated that users supported the continued use of probabilistic projections and the importance of spatially coherent information 4 .\n- · Advances in climate models in recent years, such as the Met Office Hadley Centre HadGEM3 5 model and the CMIP5 6 set of models. Improvements include better representation of the past climate, the inclusion of more cloud and aerosol processes and the ability to model important climate phenomena such as the El-Niño Southern Oscillation (ENSO).\n- · Groundbreaking Met Office research on modelling of extreme events in high resolution regional climate models 7 .\n- · The increased quantity and range of observations available since 2009.\n- · Use of the new Met Office supercomputer, enabling a credible range of climate projections to be generated in greater spatial detail.\n- 1 The 2008 Climate Change Act allows UK government to mandate or invite certain organisations to produce reports to assess the impacts of climate change on their operations and present proposals for adaptation. https://www.gov.uk/government/collections/climate-changeadaptationreporting-second-round-reports\n- 2 Expected in 2018, the National Adaptation Programme will be supported by the Evidence Report of the Adaptation Sub-Committee of the Committee on Climate Change (ASC): https://www.theccc.org.uk/uk-climate-change-risk-assessment-2017/introduction-to-the-ccra/ 3 Under the 2008 Climate Change Act, organisations are invited to produce Adaptation Reporting Power reports to assess the impacts of climate change on their operations and present proposals for adaptation: https://www.gov.uk/government/collections/climate-change-adaptation-\n\n## reporting-second-round-reports\n\n- 4 Spatial coherence means that climate projections can be compared between locations and aggregated over larger areas, enabling climate change to be assessed consistently over larger study areas.\n- 5 http://www.metoffice.gov.uk/research/modelling-systems/unified-model/climate-models/hadgem3\n- 6 Coupled model intercomparison project phase 5, see http://cmip-pcmdi.llnl.gov/cmip5/\n- 7 Kendon, E. J., Roberts, N. M., Senior, C. A. & Roberts, M. J. Realism of rainfall in a very high resolution regional climate model. J. Clim. 25, 5791-5806 (2012) http://journals.ametsoc.org/doi/abs/10.1175/JCLI-D-11-00562.1", - "page_start": 0, - "page_end": 0, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## PROJECTIONS OVER LAND\n\nThe land projections comprise three components:\n\n## 60KM GLOBAL PROJECTIONS\n\n20 plausible climate futures. Latest Hadley Centre climate model. Simulations of extreme weather. Simultaneous impacts captured at multiple locations.\n\nThis resolution will enable more realistic simulations of climate for the UK and capture the drivers of extreme weather, a significant advance on the 300 km-resolution simulations of UKCP09. A set of 20 plausible global projections of 21st century climate will be generated using an ensemble of the Met Office Hadley Centre HadGEM3 climate model. These projections will be selected to represent a wide range of possible future climate states to reflect key uncertainties, informing a risk-based approach to planning. They will be generated to provide spatially coherent daily data at a horizontal resolution of 60 km for two greenhouse gas concentration scenarios. These will be compared with an ensemble of CMIP5 models to provide additional information on uncertainties in the projections relative to other climate models.\n\n## 25KM PROBABILISTIC PROJECTIONS\n\nCaptures natural variability and climate change . Updated models and observations. Provides seasonal scale projections.\n\nBased on the established, peer-reviewed, ground-breaking method of UKCP09 for estimating uncertainty for use in risk-based analysis. Probabilistic projections will be updated using an up-to-date collection of Met Office climate simulations and the latest IPCC-assessed simulations to estimate the model uncertainties, incorporate the latest observations and estimate carbon cycle feedbacks. Projections will be on a 25 km grid for the UK at monthly intervals for several emission scenarios, including one used in UKCP09 11 . The new probabilistic projections will indicate the range of uncertainty in our knowledge of the climate system and natural variability through the 21st century, using probability density functions to provide information on how climate varies from month to month. This contrasts with UKCP09 for which only 30-year means were provided 12 .\n\n## DOWNSCALED HIGH RESOLUTION PROJECTIONS\n\nDownscaled versions of the global model for the UK. For the most spatially detailed downscaling this includes hourly data. Simultaneous impacts captured at multiple UK locations.\n\nThe high resolution projections will provide information on types of weather of relevance to adaptation at two different resolutions. The 12 km model provides a downscaled product that is similar to UKCP09's 25 km simulations but driven by an improved global model and at a higher resolution. This may be especially useful for those interested in water availability and some aspects of agriculture. A key reason for providing this data is that users will be able to compare it directly with EURO-CORDEX 13 .\n\nThe global projections will also be downscaled to 2.2 km using a process of nesting models at finer resolution that maintains the integrity of the representation of evolving atmospheric processes. Key benefits of simulations at this resolution will be the information provided on high impact events such as localised heavy rainfall in summer and potential improvements in the diurnal cycle.\n\nThe output will be available at a time resolution of 3-hourly, possibly higher for some output, for a high emission scenario. Spatial coherence will be maintained. Specific time slices (e.g. 2061-2080) will be made available with the exact nature of these still to be confirmed.\n\n - 11 SRESA1B: IPCC future scenario based on rapid economic growth and a balance of energy sources\n - 12 30-year means can be created using the UKCP18 PDF data\n - 13 http://www.euro-cordex.net/\n\n\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "- * Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/ data/uk-network-real-time ).\n - ‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net ).\n - +Now included due to user request and Peer Review Panel advice.\n - ++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n## How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\nhttp://ukclimateprojections.metoffice.gov.uk/24125\n\nUKCP Project Team\n\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\n\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T ( t ) = exp [ -µ ( E ) A ( h )], where µ ( E ) is the mass attenuation coefficient of gamma rays at energy E in air and A ( h ) is the air mass along the line of sight at a given altitude h ( t ). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5 σ after ∼ 490 days of observations, and one transient source.\n\n## III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm 2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\n\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n## A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBMCTIMEdata do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "## SURFACE TUFT PHOTOGRAHS FOR A SWEPT, TAPERED WlNG 60° DELTA, AR=2.31, A=0\n\nFigure 1.33. Std Patterns (sheet 8 018)\n\n\n\na = 0 DEGEES\n\n\n\n\n\n\n\nFROM NACA TN 2674\n\n", - "page_start": 102, - "page_end": 102, - "source_file": "00-80T-80.pdf" - }, - { - "text": "| EUIs 20 events | configuration 726 count 709 detected 40 logs 702, 708 notifications 40, 674 |\n|------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------|\n| syslog messages 41 Excluded 776 expand a VDisk 303 expand a space-efficient VDisk 303 extended distance solutions 521 extended unique identifiers 20 | |\n| extent 65 extent sizes 66 | |\n| extents 33 | |\n| | Easy Tier 33, 404 |\n| managed MDisks 28 mappings 33 | |\n| striped volumes 31-32 external storage | |\n| arrays 28 | |\n| importing 17 | |\n\n## F\n\n| fabric interconnect 780 failover 526 |\n|-------------------------------------------------------------|\n| failover situation 521 |\n| failovers 20, 37-38 |\n| FAStT 514 |\n| Fibre Channel port fan in 786 |\n| Fibre Channel port logins 776 |\n| filtering 144 |\n| FlashCopy 16, 38, 73, 436 bitmap 459 |\n| free extents 302 front-end application 777 |\n| how it works 465 |\n| image mode disk 459 indirection layer 459 mapping 465 |\n| mapping events 459 mappings 12, 17 |\n| serialization of I/O 462 FlashCopy mapping 458 |\n| FlashCopy rate 73 |\n| FlashCopy mapping states 461 |\n| FlashCopy nocopy with thin provisioning 16 |\n\n| FRU 776 |\n|----------------------------|\n| Full/Incremental Copy 16 |\n\n## G", - "page_start": 816, - "page_end": 816, - "source_file": "sg247938.pdf" - }, - { - "text": "Rather than using the original CMIP5 ensemble as in previous studies, the aim is to allow for an improved representation of atmospheric and land surface processes including extremes by using higher spatial resolution [11].\n\nHadGEM3 (Hadley Centre Global Environment Model version 3) is a configuration of the UK Met Office Unified Model (MetUM) which has been developed for use for both climate research and weather prediction applications. It is the result of converging the development of the Met Office's weather and climate global atmospheric model components so that, where possible, atmospheric processes are modelled or parametrized seamlessly across spatial resolutions and timescales.\n\nThe high-resolution simulations were performed using the HadGEM3A Global Atmosphere (GA) 3.0 model [12-14] at a resolution of N216 (0.556° of latitude by 0.833° of longitude with gridboxes of approx. 60 km length in mid-latitudes). This is the atmospheric component of the HadGEM3-GC2 coupled climate model [15,16], which is part of the HadGEM3 family of climate models [12]. This represents the third generation of HadGEM configurations, leading on from the HadGEM2 family of climate model configurations [13] which was used for CMIP5. Key improvements over the previous model, HadGEM2, include increased vertical levels in the atmosphere (85 compared to 38) and substantial changes to the model dynamics (ENDGame) [17]. This version of the HadGEM3 model lies in the transition from CMIP5 to CMIP6 versions. The Met Office is currently operationally running the coupled HadGEM3-GC2 model at N216 resolution for seasonal and decadal forecasting and clear benefits are emerging from this use at higher resolution [18,19].\n\nWe ran the model using only its atmosphere and land components, with time-varying seasurface temperatures (SSTs) and sea-ice concentrations (SICs) prescribed as input quantities. This approach was taken for two reasons: (i) to provide a rapid first analysis of the implications of the higher resolution for projections of climate extremes and impacts-an atmosphereonly simulation requires considerably less computing time than a coupled ocean-atmosphere general circulation model (GCM); (ii) to allow us to explore, to some degree, uncertainties in regional climate changes by using SSTs and SICs from different climate models. To explore these uncertainties in the regional impacts of climate change, we carried out six HadGEM3 atmospheric simulations driven by time-varying SSTs and SICs from a subset of projections from the CMIP5 with the RCP8.5 scenario. The assumption here is that SSTs and SICs provide a substantial influence on regional patterns of climate change over land, so using a range of SST and SIC patterns in a single atmosphere model goes some way towards representing the range of regional climate changes that would arise in a set of different coupled ocean-atmosphere GCMs. This approach will not capture the full range of uncertainty affecting regional climate changes over land, because it still relies on one atmosphere model and one land surface scheme, so responses to radiative forcing that depend mainly on atmospheric process or land-atmosphere interactions will still be constrained by the behaviour of that single model. Nevertheless, we consider that our experimental design avoids the reliance on one single realization of climate and hence allows some of the uncertainties in regional climate-change impacts to be illustrated and explored.", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "TABLE I: Fluxes and Significance in High Energy Bands\n\n| | 50 - 100 keV | 50 - 100 keV | 50 - 100 keV | 100 - 300 keV | 100 - 300 keV | 100 - 300 keV | 300 - 500 keV | 300 - 500 keV | 300 - 500 keV |\n|-------------------|----------------|-----------------------|----------------|-----------------|-----------------------|-----------------|-----------------|-----------------------|-----------------|\n| | Flux | Error (mCrab) (mCrab) | Signif. ( σ ) | Flux | Error (mCrab) (mCrab) | Signif. ( σ ) | Flux | Error (mCrab) (mCrab) | Signif. ( σ ) |\n| Crab | 1000 | 3 | 336 | 1000 | 6 | 182 | 1000 | 47 | 21.2 |\n| Cen A | 72 | 4 | 18 | 108 | 7 | 15 | 42 | 47 | 0.9 |\n| Cyg X-1 | 1130 | 4 | 283 | 1094 | 8 | 137 | 474 | 50 | 9.5 |\n| GRS 1915+105 | 121 | 4 | 30 | 49 | 7 | 7 | 41 | 52 | 0.8 |\n| 1E 1740-29 | 113 | 5 | 23 | 96 | 10 | 10 | 97 | 68 | 1.4 |\n| SWIFT 1753.5-0127 | 135 | 5 | 27 | 151 | 9 | 17 | 131 | 64 | 2.0 |\n| XTE J1752-223 | 770 | 16 | 48 | 622 | 30 | 21 | 132 | 218 | 0.6 |\n\nFIG. 7: SWIFTJ1753.5-0127 light curve. Horizontal scale is in modified Julian days.\n\n\n\nFIG. 6: 1E1740-29 light curve. Horizontal scale is in modified Julian days.\n\n\n\nwill use the GBM CSPEC data with their finer energy bins to obtain a fit to the spectrum and compare the power law index to that measured by Integral.\n\nSWIFT J1753.5-0127 (Fig. 7) is a LMXB with the compact object likely being a black hole. Swift discovered this source when it observed a large flare in July of 2005. The source did not return to quiescence but settled into a low intensity hard state [14]. BATSE occultation measurements from 19912000 showed no significant emission from this source above 25 keV [15]. The GBM results show that this source is still in a hard state, with significant emission above 100 keV. We will continue to monitor this\n\nsource while it is in the hard state, with longer observations potentially verifying significant emission above 300 keV.\n\n## B. Transient Source\n\nThe new transient black hole candidate XTE J1752-223 rose from undetectable on 2009 October 24 to 511 ± 50 mCrab (12 - 25 keV), 570 ± 70 mCrab (25 - 50 keV), 970 ± 100 mCrab (50 - 100 keV), and 330 ± 100 mCrab (100 - 300 keV) on 2009 November 2 [2, 16]. The light curve is variable, especially in the", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0955.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "How many articles compose the Syntec French collective bargaining agreement ?", - "target_page": 2, - "target_passage": "The Syntec French collective bargaining agree- ment comprises around 90 articles", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- 337 Treaty Establishing the European Coal and Steel Community and Annexes I-III, PARIS, 18 APRIL 1951, Article 3e\n - (DRAFT ENGLISH TEXT), here\n - 338 Consolidated Version of the Treaty on the Functioning of the European Union Official Journal of the European Union, C 326/47, 6.10.2012, Article 151 and Article 153, here\n - 339 The European Parliament, the Council and the Commission: The European Pillar of Social Rights in 20 principles, here\n - 340 EU-OSHA, 2021: Directive 89/391/EEC - OSH 'Framework Directive' of 12 June 1989 on the introduction of measures to encourage improvements in the safety and health of workers at work - 'Framework Directive', here 341\n - Ibid., Framework Directive - Section 2 Employers' obligations.\n - 342 Ibid., Framework Directive - Section 3 Workers' obligations.", - "page_start": 152, - "page_end": 152, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 74. Home page (https://web.archive.org/web/20060512161815/http://membres.lycos.fr/adlcj/). Association Pour le Developpement de la Langue et de la Culture Japonaises . Retrieved on 12 May 2006.\n - 75. \"Bus 47 - Meyzieu ZI - Aéroport St Exupéry - St-Laurent de Maréchal Juin | TCL\" (https://www.tcl.fr/lignes/bus47). www.tcl.fr . Retrieved 10 March 2020.\n - 76. Zeilinger, Stefan (July 2003). \"On the Fast Track: French Railway Modernization and the Origins of the TGV, 1944-1983 (review)\" (https://muse.jhu.edu/article/46124). Technology and Culture . 44 (3): 613-614. doi:10.1353/tech.2003.0143 (https://doi.org/10.1353%2Ftech.2003.0143). ISSN 1097-3729 (https://search.wo rldcat.org/issn/1097-3729). S2CID 109613366 (https://api.semanticscholar.org/CorpusID:109613366).\n - 77. \"Eurolines - Lyon Tourist Office\" (https://en.visiterlyon.com/stay/access-come-and-move-in-lyon/transport-andtransfers/eurolines). en.visiterlyon.com . Retrieved 28 January 2024.\n - 78. \"Le réseau TCL | TCL\" (https://www.tcl.fr/a-propos-de-tcl/le-reseau-tcl). www.tcl.fr . Retrieved 28 January 2024.\n - 79. \"Plan interactif - Carte de Lyon et ses environs | TCL\" (https://www.tcl.fr/se-deplacer/plan-interactif). www.tcl.fr . Retrieved 28 January 2024.\n - 80. \"Discover the service | Rhônexpress\" (https://www.rhonexpress.fr/en\\_GB/discover-the-service). www.rhonexpress.fr . Retrieved 28 January 2024.\n - 81. \"RhônExpress\" (https://www.railway-technology.com/projects/rhonexpress/). Railway Technology . Retrieved 28 January 2024.\n - 82. \"Lyon Public Transportation Statistics\" (https://moovitapp.com/insights/en/Moovit\\_Insights\\_Public\\_Transit\\_Ind ex\\_France\\_Lyon-3483). Global Public Transit Index by Moovit. Retrieved 19 June 2017. Material was copied from this source, which is available under a Creative Commons Attribution 4.0 International License (ht tps://creativecommons.org/licenses/by/4.0/).\n - 83. Council of Europe (2011). \"Intercultural city: Lyon, France\" (http://www.coe.int/t/dg4/cultureheritage/culture/Citi es/lyon\\_en.asp). coe.int . Retrieved 22 May 2011.\n - 84. \"Jumelage\" (http://www.economie.grandlyon.com/tous-les-partenariats-internationaux-villes.html). economie.grandlyon.com (in French). Grand Lyon économie. Retrieved 14 November 2019.\n - 85. \"World Trade Center Saint Louis\" (https://worldtradecenter-stl.com/st-louis-sister-cities-program/lyon-france/). worldtradecenter-stl.com . World Trade Center Saint Louis. Retrieved 18 May 2020.\n\n## External links", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| | SyntecReranking | Allopr ofReranking | SyntecRetrie v al | BSARDRetrie v al | Allopr ofRetrie v al |\n|------------------------------------------------------------------|-------------------|----------------------|---------------------|--------------------|------------------------|\n| | Reranking | Reranking | Reranking | Retrieval | Retrieval |\n| bge-m3 | 0.88 | 0.74 | 0.85 | 0.60 | 0.49 |\n| distilbert-base-25lang-cased | 0.39 | 0.29 | 0.18 | 0.11 | 0.01 |\n| distilbert-base-en-fr-cased | 0.39 | 0.29 | 0.18 | 0.11 | 0.01 |\n| distilbert-base-fr-cased | 0.39 | 0.29 | 0.18 | 0.11 | 0.01 |\n| sentence-camembert-large | 0.82 | 0.63 | 0.79 | 0.56 | 0.33 |\n| sentence-flaubert-base | 0.81 | 0.48 | 0.69 | 0.42 | 0.18 |\n| Solon-embeddings-base-0.1 | 0.85 | 0.71 | 0.81 | 0.00 | 0.41 |\n| Solon-embeddings-large-0.1 | 0.87 | 0.72 | 0.85 | 0.58 | 0.47 |\n| sentence-croissant-llm-base | 0.78 | 0.57 | 0.74 | 0.52 | 0.30 |\n| bert-base-multilingual-cased | 0.43 | 0.32 | 0.19 | 0.10 | 0.02 |\n| bert-base-multilingual-uncased | 0.59 | 0.33 | 0.35 | 0.16 | 0.06 |\n| camembert-base | 0.36 | 0.26 | 0.06 | 0.00 | 0.00 |\n| camembert-large | 0.36 | 0.33 | 0.18 | 0.01 | 0.02 |\n| sentence-camembert-base | 0.74 | 0.58 | 0.69 | 0.39 | 0.22 |\n| embed-multilingual-light-v3.0 | 0.82 | 0.70 | 0.77 | 0.52 | 0.35 |\n| embed-multilingual-v3.0 | 0.84 | 0.74 | 0.79 | 0.44 | 0.38 |\n| flaubert\\_base\\_cased | 0.43 | 0.29 | 0.21 | 0.02 | 0.02 |\n| flaubert\\_base\\_uncased flaubert\\_large\\_cased | 0.49 0.32 | 0.30 0.29 | 0.22 0.02 | 0.03 0.00 | 0.02 |\n| e5-mistral-7b-instruct | 0.90 | 0.74 | | 0.64 | 0.01 0.45 |", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv4.pdf" - }, - { - "text": "- 6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc ales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12). Retrieved 12 July 2024.\n - 7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta tistiques-locales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1 3). Retrieved 12 July 2024.\n - 8. Wells, John C. (2008). Longman Pronunciation Dictionary (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n - 9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). Lexico UK English Dictionary . Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons) on 24 January 2020.\n - 10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). Cambridge English Pronouncing Dictionary (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n - 11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). Merriam-Webster.com Dictionary . MerriamWebster. Retrieved 8 August 2018.\n - 12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). Collins English Dictionary . HarperCollins. Retrieved 8 August 2018.\n - 13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com\\_dicodoc& view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5 B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5 B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). locongres.org . Retrieved 1 April 2022.\n - 14. https://about-france.com/tourism/main-towns-cities.htm\n - 15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=691 23&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n - 16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=202 1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n - 17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081 31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?& L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n - 18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved 8 April 2022.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Table 33: EU Directives on Occupational Safety and Health", - "page_start": 119, - "page_end": 119, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 45 Lorenz & Valeyre, 2005: Organisational Innovation, Human Resource Management and Labour Market Structure: A comparison of the EU-15\n - 46 Directive 2003/88/EC of 4 November 2003 concerning certain aspects of the organisation of working time", - "page_start": 141, - "page_end": 141, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## References\n\n - 1. \"Cicero\" (http://www.thelatinlibrary.com/cicero/fam10.shtml#3). Epistulae ad familiares, X.3 . Retrieved 2 January 2020.\n - 2. \"Répertoire national des élus: les maires\" (https://www.data.gouv.fr/fr/datasets/r/2876a346-d50c-4911-934e-1 9ee07b0e503) (in French). data.gouv.fr, Plateforme ouverte des données publiques françaises. 13 September 2022.\n - 3. \"Comparateur de territoire - Unité urbaine 2020 de Lyon (00760)\" (https://www.insee.fr/fr/statistiques/140559 9?geo=UU2020-00760). INSEE. Retrieved 3 April 2022.\n - 4. \"Comparateur de territoire - Aire d'attraction des villes 2020 de Lyon (002)\" (https://www.insee.fr/fr/statistique s/1405599?geo=AAV2020-002). INSEE. Retrieved 16 January 2023.\n - 5. \"Populations de référence 2022\" (https://www.insee.fr/fr/statistiques/8288323?geo=COM-69123) (in French). The National Institute of Statistics and Economic Studies. 19 December 2024.\n - Osaka, Japan, since 1984\n - Ouagadougou, Burkina Faso\n - Porto-Novo, Benin\n - Rabat, Morocco\n - St. Louis, United States [85]\n - Saint Petersburg, Russia\n - Sétif, Algeria\n - Tinca, Romania\n - Turin, Italy\n - Yerevan, Armenia, since 1992\n - Yokohama, Japan, since 1959", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## External links\n\n - Ranum, Orest, ed. (1972). The Century of Louis XIV (http://www.palgrave.com/in/book/9781349004997). Archived (https://web.archive.org/web/20180207182952/https://www.palgrave.com/in/book/9781349004997) from the original on 7 February 2018. Retrieved 7 July 2017. {{cite book}} : |work= ignored (help)\n - Works by or about Louis XIV (https://archive.org/search.php?query=%28+%22Louis+XIV%22+OR+%22Louis+the +Great%22+OR+%22Sun+King%22+OR+%28%221638-1715%22+AND+Louis%29+%29) at the Internet Archive\n - Works by Louis XIV (https://librivox.org/author/9631) at LibriVox (public domain audiobooks)\n - Louis XIV (http://www.history.com/topics/louis-xiv) Archived (https://web.archive.org/web/20170622232619/http://w ww.history.com/topics/louis-xiv) 22 June 2017 at the Wayback Machine at History.com\n - Full text of marriage contract (https://web.archive.org/web/20070616071522/http://www.smae.diplomatie.gouv.fr/ch oiseul/ressource/pdf/D16590004.pdf), France National Archives transcription (in French)\n - Le Siècle de Louis XIV by Voltaire, 1751, hosted by French Wikisource\n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Louis\\_XIV&oldid=1267574624\"", - "page_start": 33, - "page_end": 33, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Chin-Yew Lin. 2004. ROUGE: A package for automatic evaluation of summaries. In Text Summarization Branches Out , pages 74-81, Barcelona, Spain. Association for Computational Linguistics.\n\nAntoine Louis and Gerasimos Spanakis. 2022. A statutory article retrieval dataset in French. In Proceedings of the 60th Annual Meeting of the Association for Computational Linguistics (Volume 1: Long Papers) , pages 6789-6803, Dublin, Ireland. Association for Computational Linguistics.\n\nLouis Martin, Benjamin Muller, Pedro Ortiz Suarez, Yoann Dupont, Laurent Romary, Eric Villemonte de la Clergerie, Djamé Seddah, and Benoît Sagot. 2019. Camembert: a tasty french language model. In Annual Meeting of the Association for Computational Linguistics .\n\nPhilip May. 2021. Machine translated multilingual sts benchmark dataset.\n\nJulian McAuley and Jure Leskovec. 2013. Hidden factors and hidden topics: understanding rating dimensions with review text. In Proceedings of the 7th ACM Conference on Recommender Systems , RecSys '13, page 165-172, New York, NY, USA. Association for Computing Machinery.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv4.pdf" - }, - { - "text": "horticulture and forestry, Luxembourg: Publications Office of the European Union, 2012, ISBN 978-92-79-226731, doi:10.2767/53801\n\n - 391 European Commission Directorate-General for Internal Market, Industry, Entrepreneurship and SMEs Industrial Transformation and Advanced Value Chains, Advanced Engineering and Manufacturing Systems : Guide to application of the Machinery Directive 2006/42/EC, Edition 2.2 - October 2019, p174 (Machinery directive annex 1, 1.1.6, Official Journal of the European Union, L157/37\n - 392 EU-OSHA: COVID-19: Back to the workplace - Adapting workplaces and protecting workers, 2020, https://osha.europa.eu/en/publications/covid-19-back-workplace-adapting-workplaces-and-protecting-workers 393 European Commission: Guidelines of the Commission on seasonal workers in the EU Factsheet on practical\n - examples and best practices, 2020\n\n394 European Agency for Safety and Health at Work: E-guide to managing stress and psychosocial risks; https://osha.europa.eu/en/tools-and-resources/e-guides/e-guide-managing-stress-and-psychosocial-risks European Agency for Safety and Health at Work, 2020: Healthy workers, thriving companies - a practical guide to wellbeing at work, 2018. https://osha.europa.eu/en/publications/healthy-workers-thriving-companies-practicalguide-wellbeing-work\n\nISO 2021: ISO 45003 Occupational health and safety management - Psychological health and safety at work Guidelines for managing psychosocial risks. https://www.iso.org/standard/64283.html", - "page_start": 155, - "page_end": 155, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv4.pdf", - "query": "In the context of research publication, what is HAL ?", - "target_page": 3, - "target_passage": "Hyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Reporting for specific materials, systems and methods\n\nWe require information from authors about some types of materials, experimental systems and methods used in many studies. Here, indicate whether each material, system or method listed is relevant to your study. If you are not sure if a list item applies to your research, read the appropriate section before selecting a response.", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed4.pdf" - }, - { - "text": "- · Duplicates are eliminated, retaining unique publications for each field.\n- · Irrelevant titles (due to API indexing mistakes) or titles in languages other than French have been manually removed.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "- Partee, Barbara H. (2016). Aloni, Maria; Dekker, Paul (eds.). The Cambridge Handbook of Formal Semantics . Cambridge University Press. ISBN 978-1-107-02839-5.", - "page_start": 32, - "page_end": 32, - "source_file": "wikipedia1.pdf" - }, - { - "text": "## ACKNOWLEDGMENTS\n\nThis paper represents the work of seven authors, but some were required by their employer to remove their names. The remaining listed authors are extremely grateful to our colleagues for the effort and wisdom they contributed to this paper.\n\nIn addition, in drafting and revising this paper, we benefited from thoughtful comments and discussion from many people: Alex Hanna, Amandalynne Paullada, Ben Hutchinson, Ben Packer, Brendan O'Connor, Dan Jurafsky, Ehud Reiter, Emma Strubell, Emily Denton, Gina-Anne Levow, Iason Gabriel, Jack Clark, Kristen Howell, Lucy Vasserman, Maarten Sap, Mark Díaz, Miles Brundage, Nick Doiron, Rob Munro, Roel Dobbe, Samy Bengio, Suchin Gururangan, Vinodkumar Prabhakaran, William Agnew, William Isaac, and Yejin Choi and our anonymous reviewers.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "- 139. Power, Jennifer; Pym, Tinonee; James, Alexandra; Waling, Andrea (5 July 2024). \"Smart Sex Toys: A Narrative Review of Recent Research on Cultural, Health and Safety Considerations\" (https://doi.org/10.1007%2Fs11930-024-00392-3). Current Sexual Health Reports . 16 (3): 199-215. doi:10.1007/s11930-024-00392-3 (https://doi.org/10.1007%2Fs11 930-024-00392-3). ISSN 1548-3592 (https://search.worldcat.org/issn/1548-3592).\n - 140. Marcantonio, Tiffany L.; Avery, Gracie; Thrash, Anna; Leone, Ruschelle M. (10 September 2024). \"Large Language Models in an App: Conducting a Qualitative Synthetic Data Analysis of How Snapchat's \"My AI\" Responds to Questions About Sexual Consent, Sexual Refusals, Sexual Assault, and Sexting\" (https://www.tandfonline.com/doi/full/10.1080/00224 499.2024.2396457). The Journal of Sex Research : 1-15. doi:10.1080/00224499.2024.2396457 (https://doi.org/10.1080%2F00224499.2024.239645 7). ISSN 0022-4499 (https://search.worldcat.org/issn/0022-4499).\n - 141. 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Singh, Suyesha; Nambiar, Vaishnavi (2024). \"Role of Artificial Intelligence in the Prevention of Online Child Sexual Abuse: A Systematic Review of Literature\" (https://www.tandfonline.c om/doi/full/10.1080/19361610.2024.2331885). Journal of Applied Security Research . 19 (4): 586-627. doi:10.1080/19361610.2024.2331885 (https://doi.org/10.1080%2F19361610.202 4.2331885). ISSN 1936-1610 (https://search.worldcat.org/issn/1936-1610).\n - 144. Razi, Afsaneh; Kim, Seunghyun; Alsoubai, Ashwaq; Stringhini, Gianluca; Solorio, Thamar; De Choudhury, Munmun; Wisniewski, Pamela J. (13 October 2021). \"A Human-Centered Systematic Literature Review of the Computational Approaches for Online Sexual Risk Detection\" (https://dl.acm.org/doi/10.1145/3479609). Proceedings of the ACM on HumanComputer Interaction . 5 (CSCW2): 1-38. doi:10.1145/3479609 (https://doi.org/10.1145%2F 3479609). ISSN 2573-0142 (https://search.worldcat.org/issn/2573-0142).\n - 145. 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This appears very clearly on the relative ranking of E5 and T5 models (see Figure 1). However, some small models perform very well on the benchmark, such as the standard version of the multilingual universal sentence encoder or Solon-embeddings-base-1.0 . Notably, the maximum sequence length, while an important criterion for generative tasks with LLMs, is less correlated with performance than the other dimensions. This can be explained by many datasets containing relatively small texts (see appendix Table 3 showing that 14 datasets have less than 50 tokens).\n\nRegarding language, it is surprising that good performance is not particularly correlated with French models in particular. In reality, the other aspects of the models, such as being fine-tuned", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv4.pdf" - }, - { - "text": "tion and, in practical applications, the underlying storage and compute costs. We selected models with embedding dimensions ranging from 384 to 4096.\n\n - · Sequence length: Being the number of tokens that a model can consider as input, the sequence length is important as it impacts the unit that can be encoded (sentence, paragraph, document). However, encoding overly long sequences requires efficiently storing the relevant information into a single vector. Among the selected methods, this criterion varies from 128 tokens to 32768.\n - · Model parameters: Often correlated with the two first characteristics, parameter count is important for practical applications as it affects usability on resource-efficient machines. The selected models have a number of parameters ranging from 20 million ( ∼ 100Mb in float32) to 7 billion ( ∼ 28Gb).\n - · Language: This is a major feature of language models. Some are monolingual, and others are multilingual. Language is usually acquired during pre-training, but sometimes, models familiarize themselves with new languages at tuning. For the benchmark, we selected French models, as well as bilingual or multilingual models. We also included a few ones that claimed to be English (e.g. allMiniLM-L12-v2 9 ).\n - · Model types: There are several strategies to generate text embeddings such as aggregating (e.g. with average pooling) token-level embeddings from raw pre-trained models, or adding an extra contrastive learning step on a sentence similarity task with, optionally, additional transformation layers. We included models of all types in our benchmark, summarizing the model type information under two relevant criteria: finetuned vs pretrained, and trained for sentence similarity or not.\n\nThe selected models are visible in Figure 1, and all of their characteristics are summarized in appendix Table 7. Overall, the selection includes the best models from the sentence transformers framework (Reimers and Gurevych, 2019), the most popular French NLP models (Le et al., 2020; Martin\n\net al., 2019), their variants optimized for semantic similarity (Reimers and Gurevych, 2019), numerous multilingual models performing at the top on MTEB (e.g E5 and T5 ), Bloom variants (Zhang et al., 2023), models based on very recent powerful LLMs (Wang et al., 2023; Faysse et al., 2024) and finally the proprietary models of OpenAI, Cohere and Voyage. Certain models were selected in multiple sizes to isolate the dimensionality effect effectively. We provide information on the models' licenses as reported in the Hugging Face hub 10 . However, we encourage readers to conduct further research before utilizing a model.\n\n## 3.3 Evaluation\n\nFor the sake of homogeneity, models are evaluated using the same metrics per task as in MTEB (Muennighoff et al., 2022): Classification (Accuracy), Bitext mining (F1 score), Pair classification (AP), Clustering (V measure), Reranking (MAP), Retrieval (NDCG@10), Summarization and STS (Spearman correlation based on cosine similarity). BitextMining tasks are excluded from the average performance scores and therefore the figures, as this task evaluates 2 languages instead of one, and this benchmark focuses only on one language (French). We present the results for both DiaBlaBitextMining and FloresBitextMining in Table 12.\n\nUsing the overall benchmark results, our goal will be to answer the following research questions: Q1: Is a model outstanding on all tasks?\n\nAs we are trying to find out whether one embedding model is statistically better than the others for French, the objective will also be to analyze the performance of the models by tasks to facilitate model choice for specific applications.\n\nQ2: Are there any links between the model characteristics and performance?", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "correlated (see Figure 12). We preferred to propose datasets even if they could introduce biases rather than not address the task in the benchmark. Note that each task type can be considered individually. We hope additional resources will be developed in the French-speaking community to enrich our comparison.\n\nBenchmark validity over time As with all benchmarks, their reliability over time can be discussed as the field evolves fast. The models selected for the analysis conducted in this paper are those available at this time, new outperforming models will be created and shall be evaluated. Our work extends MTEB and thus simplifies the addition of new datasets for evaluation and allows running new models. With this effort, we hope this will simplify the evaluation of new models proposed by the community to keep our work up to date.\n\nData contamination issues Bias may exist for models that use the training sets of the provided evaluation datasets for their training. It considerably improves their performance on the benchmark, favouring them over other models. This is particularly worrying for models that do not communicate about the datasets used during training, such as proprietary models. Generally speaking, it would be interesting to calculate the similarity between the datasets used to train the models and those used to test them to check that they are far enough apart to draw general conclusions.\n\nFocus on sentence embeddings Finally, like the original version of MTEB, the comparison focuses mainly on sentence embeddings. Other tasks could be added to cover word embeddings and, therefore, more NLP tasks.\n\n## Acknowledgements\n\nWe would like to thank Wikit 11 and Esker 12 for providing compute and funding this research.\n\n## References\n\nDavid Ifeoluwa Adelani, Marek Masiak, Israel Abebe Azime, Jesujoba Oluwadara Alabi, Atnafu Lambebo Tonja, Christine Mwase, Odunayo Ogundepo, Bonaventure F. P. Dossou, Akintunde Oladipo, Doreen Nixdorf, Chris C. Emezue,\n\nSana Al-Azzawi, Blessing K. Sibanda, Davis David, Lolwethu Ndolela, Jonathan Mukiibi, Tunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian Odhiambo, Abraham Toluwase Owodunni, Nnaemeka Obiefuna, Shamsuddeen Hassan Muhammad, Saheed Salahudeen Abdullahi, Mesay Gemeda Yigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmumin, Mahlet Taye Bame, Oluwabusayo Olufunke Awoyomi, Iyanuoluwa Shode, Tolulope Anu Adelani, Habiba Abdulganiy Kailani, Abdul-Hakeem Omotayo, Adetola Adeeko, Afolabi Abeeb, Anuoluwapo Aremu, Olanrewaju Samuel, Clemencia Siro, Wangari Kimotho, Onyekachi Raphael Ogbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chukwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. Awosan, Tadesse Kebede Guge, Sakayo Toadoum Sari, Pamela Nyatsine, Freedmore Sidume, Oreen Yousuf, Mardiyyah Oduwole, Ussen Kimanuka, Kanda Patrick Tshinu, Thina Diko, Siyanda Nxakama, Abdulmejid Tuni Johar, Sinodos Gebre, Muhidin A. Mohamed, Shafie Abdi Mohamed, Fuad Mire Hassan, Moges Ahmed Mehamed, Evrard Ngabire, and Pontus Stenetorp. 2023. Masakhanews: News topic classification for african languages. In International Joint Conference on Natural Language Processing .\n\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, Aitor Gonzalez-Agirre, Rada Mihalcea, German Rigau, and Janyce Wiebe. 2016. SemEval-2016 task 1: Semantic textual similarity, monolingual and cross-lingual evaluation. In Proceedings of the 10th International Workshop on Semantic Evaluation (SemEval-2016) , pages 497-511, San Diego, California. Association for Computational Linguistics.\n\nArthur Barbosa, Máverick Ferreira, Rafael Ferreira Mello, Rafael Dueire Lins, and Dragan Gasevic. 2021. The impact of automatic text translation on classification of online discussions for social and cognitive presences. In LAK21: 11th International Learning Analytics and Knowledge Conference , LAK21, page 77-87, New York, NY, USA. Association for Computing Machinery.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "## Feature Prediction versus Pixel Reconstruction.\n\nApproaches that predict in pixel space must dedicate significant model capacity and compute to capture all the low-level detail in the visual input. By contrast, approaches that predict in latent space have the flexibility to eliminate irrelevant or unpredictable pixel-level details from the target representation (Vondrick et al., 2016). Predicting in representation space has been shown to lead to versatile representations that perform well across many downstream tasks through linear probing or lowshot adaptation (Assran et al., 2023; Oquab et al., 2023; Assran et al., 2022), while demonstrating an efficiency gain during pretraining compared to pixel level reconstruction (Assran et al., 2023; Baevski et al., 2022b,a). The works of Baevski et al. (2022a,b) additionally show that predicting in representation space results in competitive end-to-end fine-tuning performance in the image, audio and text domains. In this work, we extend these findings to the video modality.\n\n## 3 Methodology: Video-JEPA\n\nFigure 2 Joint-Embedding Predictive Architectures are trained to predict the representation of an input y from the representation of another input x . The additional variable z provides the predictor with information about the transformation that computes y from x .\n\n\n\nOur goal is to explore the effectiveness of feature prediction as a stand-alone objective for learning visual representations from video. To that end, we use a joint-embedding predictive architecture (JEPA) (LeCun, 2022); see Figure 2. The main idea behind a JEPA is to learn by predicting the representation of an input y from the representation of another input x . The basic architecture is made up of an encoder, E θ ( · ) , which computes the representation of the inputs, and a predictor, P ϕ ( · ) , which predicts the representation of y from the representation of x , conditioned on a variable z indicating the transformation (or corruption) between x and y . Conditioning on z enables the generation of distinct predictions for various transformations of x .\n\n## 3.1 Training Objective\n\nWe train our visual encoder E θ ( · ) to satisfy the constraint that representations computed from one part of the video, y , should be predictable from representations\n\ncomputed from another part of the video, x . The predictor network P ϕ ( · ) , which maps the representation of x to the representation of y , is trained simultaneously with the encoder, and is provided specification of the spatio-temporal positions of y through the conditioning variable z ← ∆ y .\n\nNaively implementing the objective using the regression\n\nminimize θ,ϕ ∥ P ϕ ( E θ ( x ) , ∆ y ) -E θ ( y ) ∥ 1 ,\n\nwould admit a trivial solution, where the encoder outputs a constant representation, regardless of its input. In practice, we use the following modified objective to prevent representation collapse,\n\nminimize θ,ϕ ∥ P ϕ ( E θ ( x ) , ∆ y ) -sg ( E θ ( y )) ∥ 1 , (1)\n\nwhere sg ( · ) denotes a stop-gradient operation, which does not backpropagate through its argument, and E θ ( · ) is an exponential moving average of the network E θ ( · ) . The use of an exponential-moving average feature extractor along with a stop-gradient and a predictor has been used as a collapse prevention strategy for image pretraining (Grill et al., 2020), and studied empirically (Xie et al., 2021) and theoretically (Tian et al., 2021). In fact, the objective in equation (1) is similar to the loss of Assran et al. (2023) used for image pretraining, but we modify it to use an ℓ 1 regression, which we found to be more stable.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "## 4 WhatMatters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction\n\nversus pixel prediction objective, b) the construction of the pretraining data distribution, c) the feature pooling strategy for leveraging the model's representations in downstream tasks, and d) the masking strategy, towards identifying: what to predict from what?\n\n## 4.1 Predicting Representations versus Pixels\n\nWe first ablate the effect of computing the prediction loss in representation space. We train a pair of ViT-L/16 models using either a V-JEPA feature prediction loss, or a mean-squared error loss with the normalized pixel values, as in masked autoencoders (He et al., 2021), and perform a sweep over the learning rate and weight decay schedules for both approaches. All models are pretrained on VideoMix2M for 90K iterations with a batch size of 3072 using multi-block masking. We examine performance on Kinetics-400 (K400), Something-Something-v2 (SSv2), and ImageNet-1K (IN1K), using a frozen backbone with an attentive probe, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on Kinetics-400.\n\nResults of this comparison are reported in Table 1 and indicate that predicting in feature space provides a consistent performance improvement over pixel space prediction in both frozen evaluation of the video backbone, as well as end-to-end fine-tuning.\n\n## 4.2 Pretraining Data Distribution\n\nNext we study the impact of the pretraining data distribution in Table 2. Leveraging large scale datasets", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for sentence embeddings have been developed by the open-source community 2 , by fine-tuning models like CamemBERT (Martin et al., 2019) or CroissantLLM (Faysse et al., 2024).\n\nBenchmarks Embedding models are generally compared on specific tasks, such as information retrieval, STS or reranking (Thakur et al., 2021; Agirre et al., 2016; Wang et al., 2021). Other works evaluate embedding models on multiple tasks (Wang et al., 2018; et al., 2022; Conneau and Kiela, 2018) or compare meta-embeddings (GarcíaFerrero et al., 2021). The most comprehensive benchmark to date is MTEB (Muennighoff et al., 2022). MTEB still has a critical limit: it mainly focuses on English. Some initiatives already extended this benchmark to other languages, such as Chinese (Xiao et al., 2024) and German (Wehrli et al., 2024). Our work comes with the same ambition for French. It relies on the MTEB structure that provides a solid basis for analysis and extends it to a new language.\n\n## 3 MTEB for French\n\nIn this section, we describe the datasets and the models that we propose for the French extension of MTEB. We also list the research questions we want to discuss with the results.\n\n## 3.1 New Datasets\n\nWeidentified 7 datasets relevant to French in the existing MTEB, which we assume are of good quality. We complemented these with 8 external relevant datasets proposed in the literature, such as BSARD (Louis and Spanakis, 2022) and Alloprof (LefebvreBrossard et al., 2023), which are proven to be good quality. We created 3 new ones presented in Table 1 and assessed their quality with various procedures and metrics. In addition to all performed checks, we run multiple models on these datasets and provide results to show that they are neither trivial nor impossible to solve (see Tables 10, 11, 12 and 13).\n\nTherefore, as of today, our French MTEB runs on 18 datasets. Some datasets are framed differently according to the task category they are used with. For example, MasakhaNEWS dataset (Adelani et al., 2023) is used for both Classification ( MasakhaNEWSClassification ) and Clustering ( MasakhaNEWSClusteringS2S and\n\nMasakhaNEWSClusteringP2P ). Table 3 shows details of each task data used for running the benchmark.\n\nThis section describes the 3 new datasets we introduce, quality checks performed and an analysis of the semantic similarities between datasets.\n\n## 3.1.1 Syntec (Retrieval)\n\nThe Syntec French collective bargaining agreement 3 comprises around 90 articles. Despite its topic, the language used does not feature the specificity of the legal vocabulary, making the data suitable for benchmarking general-purpose models. The articles have been scraped for use as documents. Four annotators were divided into two groups. Each group was given half of the articles and asked to choose an article and write a question about it. Each annotator wrote 25 questions. Thus, a hundred questions have been manually created and paired with the articles containing the answer 4 . Examples of the dataset are available in the appendix Figure 5. This dataset could also be used for text classification, clustering or topic modeling. Regarding quality checks, every article's integrity has been reviewed while manually creating questions. We also manually checked that the questions could only be answered using the annotated article.\n\n## 3.1.2 HAL (Clustering)\n\nHyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields. Scrapping this resource, we fetched 85,000 publications in French 5 . We extracted IDs, titles and the author's choice among domain labels. The last 2 are provided by authors when submitting their papers to HAL. Since domain annotations are provided, the dataset can be used for many tasks, such as topic modeling or text classification. To ensure the dataset quality is suitable for a benchmark, further data cleaning has been performed:", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.Table 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Fine-Tuning |\n|----------|----------|---------------------|---------------------|---------------------|----------------------|\n| Target | Arch. | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | K400-ft (16 × 5 × 3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\n| | | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | |\n|----------|------------|----------|---------------------|---------------------|---------------------|------|\n| Arch. | Data | #Samples | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| ViT-L/16 | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| ViT-L/16 | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| ViT-H/16 | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n## 4 WhatMatters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "with respect to model ranking?\n\nTo go further than the correlation analysis among datasets regarding their topics (see section 3.1.5), subsequent analysis will be conducted regarding how they rank models. Additionally, complementary insights will be derived from examining correlations of models relative to their strengths and weaknesses across different datasets.\n\n## 4 Results and discussion\n\nIn this section, we present the results through the prism of our research questions.\n\n## Q1: Is there a model that outstands on all tasks?\n\nModels performances for each task are presented in appendix Tables 9, 10, 11, 12 and 13. Figure 1 shows the critical difference diagram of average score ranks.\n\nAs in MTEB (Muennighoff et al., 2022), no model claims state-of-the-art in all tasks even if the text-embedding-3-large model is in first place on average on all tasks (see Table 9). It ranks first for the classification and reranking tasks. For the clustering task, text-embedding-ada-002 is the best model. The models voyage-code-2 , textembedding-3-small and mistral-embed share the top positions in the retrieval task ranking. For the pair classification task, laser2 is ahead of its competitors. Finally, sentence-camembert-large leads on the STS task and multilingual-e5-small has the best results for summarization.\n\nFigure 1 shows a global model comparison across all datasets. The models are arranged horizontally according to their performance, with the best models on the left. The black bars represent the statistical equivalence between the models' performances. The statistically equivalent top performers for this benchmark are OpenAI's models text-embedding-3-large , text-embedding-3small and text-embedding-ada-002 . Interestingly, many models do not show a significant performance gap between their base and large flavours. Some French models stand out among the multilingual models, such as Solon-embeddings-large0.1 , sentence\\_croissant\\_alpha\\_v0.3 and sentencecamembert-large .\n\n## Q2: Are there any links between model characteristics and performance?\n\nThe Spearman correlations between the average rank of the models and their characteristics are the\n\n## following:\n\n - · Tuned for sentence similarity : 0.727\n - · Finetuned vs pretrained : 0.544\n - · Model number of parameters : 0.49\n - · Embedding dimension : 0.452\n - · Closed source : 0.449\n - · Max sequence length : 0.336\n - · Multilingual : 0.103\n - · English : 0.025\n - · English but tuned on other languages : -0.025\n - · French : -0.134\n - · Bilingual : -0.135\n\nAdditionally, all cross-correlations between characteristics are reported in appendix Figure 10.\n\nAs expected, the score most strongly correlates with whether the evaluated models were trained on a sentence similarity task. Of course, this criterion is connected to the more general Finetuned one. The only top-performing models solely pre-trained are from the E5 family, where the pre-training is, in fact, contrastive and optimized for similarity. Conversely, models pre-trained on token-level tasks and generating embeddings via pooling appear less well-suited for the benchmark tasks.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv4.pdf" - }, - { - "text": "## E.3 Sample Efficiency of pretraining\n\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we look at the number of samples (image or video clips) processed by the network during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. Notably, our results with V-JEPA are obtained while processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude fewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data distribution could lead to substantial gains in downstream image and video tasks.\n\n## E.4 Masking Strategy\n\nAn important component of the V-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we detail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained on K400. Figure 8 presents a summary of those results.\n\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of sampled blocks used to construct the masks given a fixed effective masking ratio of 90% . Finally, in Figure 8a we", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - }, - { - "text": "Q2: Are there any links between the model characteristics and performance?\n\nIn section 3.2, we undertook the substantial task of gathering the characteristics of all evaluated models. The goal here will be to analyze their impact on performance and draw conclusions about, for example, the relationship between embedding dimension and model ranking on the benchmark.\n\n - Q3: Do monolingual models have multilingual capabilities?\n\nWe interrogate the ability of a model trained exclusively in one language to perform well in another language.\n\nQ4: Are there any correlations between datasets", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "What is the maximum amount covered by the FWC of the europeean chemical agency ?", - "target_page": 6, - "target_passage": "The maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is EUR 1 000 000 (one million)", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "Contract number: ECHA/2019/355\n\n## HAVE AGREED\n\n## I.1.1.1.1. Article 1 Subject matter\n\n - 1.1 This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [ complete date ] .\n - 1.2 In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [ complete ] . ]\n - I.1.1.1.2. Article 2 Entry into force and duration\n - 2.1 This specific contract enters into force on the date on which the last party signs it.\n - 2.2 The provision of the services starts from the date of entry into force of this specific contract.\n - 2.3 The provision of the services must not exceed [ complete ] [ days] [months ] . The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n\n## I.1.1.1.3. Article 3 Price\n\n - 3.1 The price payable under this specific contract excluding reimbursement of expenses is EUR [ amount in figures and in words ].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [ amount in figures and in words ].]\n\n - 3.2 [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [ amount in figures and in words ] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n\n***\n\n## I.1.1.1.4. Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [ complete ]]\n\n[Unit [ complete ]]\n\n[ Postcode and city ]\n\nE-mail: [ insert functional mailbox ]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "| Contract number: ECHA/2019/355 FWC conditions of October 2018 |\n|---------------------------------------------------------------------------------------------------------------------------------------|\n| II.22. Reimbursements ....................................................................................................... 36 |\n| II.23. Recovery .................................................................................................................. 37 |\n| II.24. Checks and audits ..................................................................................................... 37 |", - "page_start": 3, - "page_end": 3, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## SPECIFIC CONTRACT\n\n## No [ complete ]\n\n## implementing framework contract No ECHA/2019/355\n\n - 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [ forename, surname, function, department of authorising officer ],\n\nand\n\n - 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[ repeat these data as many times as there are contractors in case of joint tender and continue numbering ]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [ forename, surname and function of legal representative ,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "\n\n## DRAFT FRAMEWORK CONTRACT FOR SERVICES\n\n## NUMBER - ECHA/2019/355\n\n- 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [ forename, surname, function, directorate of authorising officer ],\n\nof the one part and\n\n- 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[ For joint tenders, r epeat these data as many times as there are contractors and continue numbering ]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [ forename, surname, function of legal representative and name of company in the case of a joint tender ],\n\non the other part,\n\nHAVE AGREED\n\nto the special conditions, the general conditions for framework contracts for services and the following annexes:\n\nAnnex I - Tender specifications (reference No [ complete ] of [ insert date ])\n\nAnnex II - Contractor's tender (reference No [ complete ] of [ insert date ])\n\nAnnex III - [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (a) travel, subsistence, accommodation and shipment expenses; and\n - (b) any other expenses provided for in the tender specifications.\n\nThe daily subsistence allowance referred to in Article II.22.4 (d) and the accommodation flat-rate ceiling referred to in Article II.22.4(e) are listed in Annex IV\n\n## I.6. Payment arrangements\n\n## I.6.1. Pre-financing\n\nPre-financing is not applicable to this FWC.\n\n## I.6.2. Interim payments\n\nInterim payment is not applicable to this FWC, unless it is provided for under a specific contract.\n\nIf provided for, the contractor (or leader in the case of a joint tender) may claim the interim payment equal to the amount specified in the relevant specific contract in accordance with Article II.21.6.\n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format or via e-PRIOR for the interim payment as provided for in the tender specifications, accompanied by the following:\n\n -  a list of all pre-existing rights to the results or parts of the results or a declaration stating that there are no such pre-existing rights , as provided for in Article II.13.4;\n -  the relevant progress report or deliverable accepted by ECHA\n -  statements of reimbursable expenses in accordance with Article II.22.\n\nThe contracting authority must approve the submitted documents or deliverables and pay within 30 days from receipt of the invoice.\n\n## I.6.3. Payment of the balance\n\n - 1. The contractor (or leader in the case of a joint tender) may claim the payment of the balance in accordance with Article II.21.6.\n\nThe contractor (or leader in the case of a joint tender) must send an invoice in paper format or via e-PRIOR for payment of the balance due under a specific contract, as provided for in the tender specifications and accompanied by the following:\n\n -  a list of all pre-existing rights to the results or parts of the results or a declaration stating that there are no such pre-existing rights , as provided for in Article II.13.4;\n -  document of acceptance by ECHA of the deliverables as defined in the tender specifications or specific contract\n -  statements of reimbursable expenses in accordance with Article II.22.\n - 2. The contracting authority must approve the submitted documents and pay within 30 days from receipt of the invoice.", - "page_start": 6, - "page_end": 6, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- 3. The contracting authority may suspend the time limit for payment specified in point 2 in accordance with Article II.21.7. Once the suspension is lifted, the contracting authority shall give its approval and pay within the remainder of the time-limit indicated in point 2 unless it rejects partially or fully the submitted documents.\n\n## I.6.4. Performance guarantee\n\nPerformance guarantee is not applicable to this FWC.\n\n## I.6.5. Retention money guarantee\n\nRetention money guarantee is not applicable to this FWC.\n\n## I.7. Bank account\n\nPayments must be made to the contractor's (or leader's in the case of a joint tender) bank account denominated in euro, identified as follows:\n\nName of bank:\n\nFull address of branch:\n\nExact denomination of account holder:\n\nFull account number including bank codes:\n\n[IBAN 1 code:]\n\n## I.8. Communication details\n\nFor the purpose of this FWC, communications must be sent to the following addresses:\n\nContracting authority:\n\nDirectorate and Unit D3, Risk Management I\n\nEuropean Chemicals Agency Telakkakatu 6 00150 Helsinki Finland E-mail: [insert functional mailbox]\n\nContractor (or leader in the case of a joint tender):\n\n[ Full name ] [ Function ] [ Company name ] [ Full official address ] E-mail: [ complete ]\n\nBy derogation from this Article, different contact details for the contracting authority or the contractor may be provided in specific contracts.", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## I.4.2. Period of provision of the services\n\nThe period for the provision of the services starts to run from the date on which the specific contract is signed by the last party.\n\n## I.4.3. Implementation of FWC in cascade\n\nThe FWC is implemented as follows: the contracting authority orders services by sending a request for offer for a specific contract to the contractor who is ranked first in the cascade.\n\nWithin 5 working days (unless otherwise stated in the request for offer), the contractor must either:\n\n - (a) send the specific tender back to the contracting authority; or\n - (b) send an explanation of why it cannot accept the order.\n\nIf the contractor does not accept the order or fails to observe the deadline or to submit an acceptable offer for the Agency, or if it is in a situation of conflicting interests that may negatively affect the performance of the specific contract (see Article II.7), the contracting authority may place the order with the next contractor on the cascade.\n\nIf the contractor repeatedly refuses to accept requests for offer or repeatedly fails to send them back on time, the contractor may be considered in breach of its obligations under this FWC as set out in Article II.18.1 (c).\n\nWithin a maximum of 5 working days of a specific contract or order form being sent by the Agency to the contractor, the Agency shall receive it back, duly signed and dated. The period allowed for the execution of the tasks shall start to run on the date of signature of the specific contract or order form by both parties.\n\n## I.5. Prices\n\n## I.5.1. Maximum amount of the FWC and maximum prices\n\nThe maximum amount covering all purchases under this FWC, including all renewals and reimbursement of expenses is EUR 1 000 000 (one million). However, this does not bind the contracting authority to purchase for the maximum amount.\n\nThe maximum unit prices of the services are:\n\nSenior experts:\n\n[ ] EUR per man-day\n\nExperts:\n\n[ ] EUR per man-day\n\n## I.5.2. Price revision index\n\nPrice revision is determined by the formula set out in Article II.20 and using the trend in the harmonised indices of consumer prices (HICP) 'Euro area (19 countries)' published at http://ec.europa.eu/eurostat/web/hicp/data/database under HICP (2015 = 100) - monthly data (index) (prc\\_hicp\\_midx).]\n\n## I.5.3. Reimbursement of expenses\n\nIn addition to the maximum price specified in each specific contract, if applicable, the contracting authority shall reimburse the following in accordance with Article II.22:", - "page_start": 5, - "page_end": 5, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Commission and published on the website indicated below, applicable on the day when it issues the payment order.\n\nThe contractor makes any conversion between the euro and another currency at the monthly accounting exchange rate, established by the Commission and published on the website indicated below, applicable on the date of the invoice.\n\nhttp://ec.europa.eu/budget/contracts\\_grants/info\\_contracts/inforeuro/inforeuro\\_en.cfm\n\n## II.21.4. Costs of transfer\n\nThe costs of the transfer are borne as follows:\n\n - (a) the contracting authority bears the costs of dispatch charged by its bank;\n - (b) the contractor bears the costs of receipt charged by its bank;\n - (c) the party causing repetition of the transfer bears the costs for repeated transfer.\n\nII.21.5. Pre-financing, performance and money retention guarantees\n\nIf, as provided for in Article I.6 , a financial guarantee is required for the payment of prefinancing, as performance guarantee or as retention money guarantee, it must fulfil the following conditions:\n\n - (a) the financial guarantee is provided by a bank or a financial institution approved by the contracting authority or, at the request of the contractor and with the agreement of the contracting authority, by a third party; and\n - (b) the guarantee shall have the effect of making the bank or financial institution or the third party provide irrevocable collateral security, or stand as first-call guarantor of the contractor's obligations without requiring that the contracting authority has recourse against the principal debtor (the contractor).\n\nThe contractor bears the cost of providing such guarantee.\n\nPre-financing guarantees must remain in force until the pre-financing is cleared against interim payments or payment of the balance. Where the payment of the balance takes the form of a debit note, the pre-financing guarantee must remain in force for three months after the debit note is sent to the contractor. The contracting authority must release the guarantee within the following month.\n\nPerformance guarantees cover compliance with substantial contractual obligations until the contracting authority has given its final approval for the service. The performance guarantee must not exceed 10 % of the total price of the specific contract. The contracting authority must release the guarantee fully after final approval of the service, as provided for in the specific contract.\n\nRetention money guarantees cover full delivery of the service in accordance with the specific contract including during the contract liability period and until its final approval by the contracting authority. The retention money guarantee must not exceed 10 % of the total price of the specific contract. The contracting authority must release the guarantee after the expiry of the contract liability period as provided for in the specific contract.", - "page_start": 33, - "page_end": 33, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## I. Special Conditions\n\n## I.1. Order of priority of provisions\n\nIf there is any conflict between different provisions in this FWC, the following rules must be applied:\n\n - (a) The provisions set out in the special conditions take precedence over those in the other parts of the FWC.\n - (b) The provisions set out in the general conditions take precedence over those in the order form and specific contract (Annex III)\n - (c) The provisions set out in the order form and specific contract (Annex III) take precedence over those in the other annexes.\n - (d) The provisions set out in the tender specifications (Annex I) take precedence over those in the tender (Annex II).\n - (e) The provisions set out in the FWC take precedence over those in the specific contracts.\n - (f) The provisions set out in the specific contracts take precedence over those in the requests for services.\n\nAny reference to specific contracts applies also to order forms.\n\n## I.2. Subject matter\n\nThe subject matter of the FWC is scientific support to ECHA for work on restrictions, dose-response functions, Annex XIV, POPs and dossier evaluation.\n\n## I.3. Entry into force and duration of the FWC\n\n - I.3.1 The FWC enters into force on the date on which the last party signs it.\n - I.3.2 The implementation of the FWC cannot start before its entry into force.\n - I.3.3 The FWC is concluded for a period of 24 months with effect from the date of its entry into force.\n - I.3.4 The parties must sign any specific contract before the FWC expires.\n\nThe FWC continues to apply to such specific contracts after its expiry. The services relating to such specific contracts must be performed no later than six months after the expiry of the FWC.\n\n## I.3.5 Renewal of the FWC\n\nThe FWC is renewed automatically 2 times for 12 months each, unless one of the parties receives formal notification to the contrary at least three months before the end of the ongoing duration. Renewal does not change or postpone any existing obligations.\n\n## I.4. Appointment of the contractor and implementation of the FWC\n\n## I.4.1. Appointment of the contractor\n\nThe contracting authority appoints the contractor for a multiple FWC in cascade in [ complete ] position.", - "page_start": 4, - "page_end": 4, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "OLAF's own staff or by any outside body authorised to do so on its behalf.\n\nSuch checks and audits may be initiated at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC\n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent by the contracting authority. Audits are carried out on a confidential basis.\n\n - II.24.2 The contractor must keep all original documents stored on any appropriate medium, including digitised originals if authorised under national law, for a period of five years starting from the payment of the balance of the last specific contract issued under this FWC.\n - II.24.3 The contractor must grant the contracting authority's staff and outside personnel authorised by the contracting authority the appropriate right of access to sites and premises where the FWC is implemented and to all the information, including information in electronic format, needed to conduct such checks and audits. The contractor must ensure that the information is readily available at the moment of the check or audit and, if so requested, that information is handed over in an appropriate format.\n - II.24.4 On the basis of the findings made during the audit, a provisional report is drawn up. The contracting authority or its authorised representative must send it to the contractor, who has 30 days following the date of receipt to submit observations. The contractor must receive the final report within 60 days following the expiry of the deadline to submit observations.\n\nOn the basis of the final audit findings, the contracting authority may recover all or part of the payments made in accordance with Article II.23 and may take any other measures which it considers necessary.\n\n - II.24.5 In accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspection carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities and Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office, the European AntiFraud Office may carry out investigations, including on the spot checks and inspections, to establish whether there has been fraud , corruption or any other illegal activity under the contract affecting the financial interests of the Union. Findings arising from an investigation may lead to criminal prosecution under national law.\n\nThe investigations may be carried out at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC.", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "How can I get compensation if the european chemical agency terminates a contract we have ?", - "target_page": 11, - "target_passage": "If the FWC or a specific contract is terminated: a) neither party is entitled to compensation", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## SPECIFIC CONTRACT\n\n## No [ complete ]\n\n## implementing framework contract No ECHA/2019/355\n\n - 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [ forename, surname, function, department of authorising officer ],\n\nand\n\n - 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[ repeat these data as many times as there are contractors in case of joint tender and continue numbering ]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [ forename, surname and function of legal representative ,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\n## HAVE AGREED\n\n## I.1.1.1.1. Article 1 Subject matter\n\n - 1.1 This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [ complete date ] .\n - 1.2 In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [ complete ] . ]\n - I.1.1.1.2. Article 2 Entry into force and duration\n - 2.1 This specific contract enters into force on the date on which the last party signs it.\n - 2.2 The provision of the services starts from the date of entry into force of this specific contract.\n - 2.3 The provision of the services must not exceed [ complete ] [ days] [months ] . The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n\n## I.1.1.1.3. Article 3 Price\n\n - 3.1 The price payable under this specific contract excluding reimbursement of expenses is EUR [ amount in figures and in words ].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [ amount in figures and in words ].]\n\n - 3.2 [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [ amount in figures and in words ] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n\n***\n\n## I.1.1.1.4. Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [ complete ]]\n\n[Unit [ complete ]]\n\n[ Postcode and city ]\n\nE-mail: [ insert functional mailbox ]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "\n\n## DRAFT FRAMEWORK CONTRACT FOR SERVICES\n\n## NUMBER - ECHA/2019/355\n\n- 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [ forename, surname, function, directorate of authorising officer ],\n\nof the one part and\n\n- 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[ For joint tenders, r epeat these data as many times as there are contractors and continue numbering ]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [ forename, surname, function of legal representative and name of company in the case of a joint tender ],\n\non the other part,\n\nHAVE AGREED\n\nto the special conditions, the general conditions for framework contracts for services and the following annexes:\n\nAnnex I - Tender specifications (reference No [ complete ] of [ insert date ])\n\nAnnex II - Contractor's tender (reference No [ complete ] of [ insert date ])\n\nAnnex III - [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (g) if the contractor does not comply with applicable obligations under environmental, social and labour law established by Union law, national law, collective agreements or by the international environmental, social and labour law provisions listed in Annex X to Directive 2014/24/EU;\n - (h) if the contractor is in a situation that could constitute a conflict of interest or a professional conflicting interest as referred to in Article II.7;\n - (i) if a change to the contractor's legal, financial, technical, organisational or ownership situation is likely to substantially affect the implementation of the FWC or substantially modify the conditions under which the FWC was initially awarded;\n - (j) in the event of force majeure , where either resuming implementation is impossible or the necessary ensuing amendments to the FWC or a specific contract would mean that the tender specifications are no longer fulfilled or result in unequal treatment of tenderers or contractors;\n - (k) if the needs of the contracting authority change and it no longer requires new services under the FWC; in such cases ongoing specific contracts remain unaffected;\n - (l) if the termination of the FWC with one or more of the contractors means that the multiple FWC with reopening of competition no longer has the minimum required level of competition;\n - (m) if the contractor is in breach of the data protection obligations resulting from Article II.9.2;\n - (n) if the contractor does not comply with the applicable data protection obligations resulting from Regulation (EU) 2016/679.\n\n## II.18.2. Grounds for termination by the contractor\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting authority fails to comply with its obligations, in particular the obligation to provide the information needed for the contractor to implement the FWC or to perform a specific contract as provided for in the tender specifications.\n\n## II.18.3. Procedure for termination\n\nA party must formally notify the other party of its intention to terminate the FWC or a specific contract and the grounds for termination.\n\nThe other party has 30 days following the date of receipt to submit observations, including the measures it has taken or will take to continue fulfilling its contractual obligations. Failing that, the decision to terminate becomes enforceable the day after the time limit for submitting observations has elapsed.", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## II.18.1. Grounds for termination by the contracting authority\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the following circumstances:\n\n - (a) if provision of the services under an on-going specific contract has not actually started within 15 days of the scheduled date and the contracting authority considers that the new date proposed, if any, is unacceptable, taking into account Article II.11.2;\n - (b) if the contractor is unable, through its own fault, to obtain any permit or licence required for implementation of the FWC ;\n - (c) if the contractor does not implement the FWC or perform the specific contract in accordance with the tender specifications or request for service or is in breach of another substantial contractual obligation or repeatedly refuses to sign specific contracts. Termination of three or more specific contracts in these circumstances also constitutes grounds for termination of the FWC;\n - (d) if the contractor or any person that assumes unlimited liability for the debts of the contractor is in one of the situations provided for in points (a) and (b) of Article 136(1) of the Financial Regulation 6 ;\n - (e) if the contractor or any related person is in one of the situations provided for in points (c) to (h) of Article 136(1) or to Article 136(2) of the Financial Regulation;\n - (f) if the procedure for awarding the FWC or the implementation of the FWC prove to have been subject to irregularities , fraud or breach of obligations ;", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "quality or continuity of the services. The parties may agree to draw up a transition plan detailing the contractor's assistance unless such plan is already detailed in other contractual documents or in the tender specifications. The contractor must provide such assistance at no additional cost, except if it can demonstrate that it requires substantial additional resources or means, in which case it must provide an estimate of the costs involved and the parties will negotiate an arrangement in good faith.\n\n## II.18.4. Effects of termination\n\nThe contractor is liable for damage incurred by the contracting authority as a result of the termination of the FWC or a specific contract, including the additional cost of appointing and contracting another contractor to provide or complete the services, except if the damage is a result of a termination in accordance with Article II.18.1(j), (k) or (l) or Article II.18.2. The contracting authority may claim compensation for such damage.\n\nThe contractor is not entitled to compensation for any loss resulting from the termination of the FWC or a specific contract, including loss of anticipated profits, unless the loss was caused by the situation specified in Article II.18.2.\n\nThe contractor must take all appropriate measures to minimise costs, prevent damage and cancel or reduce its commitments.\n\nWithin 60 days of the date of termination, the contractor must submit any report, deliverable or result and any invoice required for services that were provided before the date of termination.\n\nIn the case of joint tenders, the contracting authority may terminate the FWC or a specific contract with each member of the group separately on the basis of points (d), (e) or (g) of Article II.18.1, under the conditions set out in Article II.11.2\n\n## II.19. Invoices, value added tax and e-invoicing\n\n## II.19.1. Invoices and value added tax\n\nInvoices must contain the contractor's (or leader's in the case of a joint tender) identification data, the amount, the currency and the date, as well as the FWC reference and reference to the specific contract.\n\nInvoices must indicate the place of taxation of the contractor (or leader in the case of a joint tender) for value added tax (VAT) purposes and must specify separately amounts not including VAT and amounts including VAT.\n\nThe contracting authority is exempt from all taxes and duties, including VAT, in accordance with Articles 3 and 4 of the Protocol 7 of the Treaty on the Functioning of the European Union on the privileges and immunities of the European Union.\n\nThe contractor (or leader in the case of a joint tender) must complete the necessary formalities with the relevant authorities to ensure that the supplies and services required for implementation of the FWC are exempt from taxes and duties, including VAT.\n\n## II.19.2. E-invoicing\n\nIf provided for in the special conditions, the contractor (or leader in the case of a joint tender) submits invoices in electronic format if the conditions regarding electronic signature specified by Directive 2006/112/EC on VAT are fulfilled, i.e. using a qualified", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\naudits and investigations.", - "page_start": 38, - "page_end": 38, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- 3. The contracting authority may suspend the time limit for payment specified in point 2 in accordance with Article II.21.7. Once the suspension is lifted, the contracting authority shall give its approval and pay within the remainder of the time-limit indicated in point 2 unless it rejects partially or fully the submitted documents.\n\n## I.6.4. Performance guarantee\n\nPerformance guarantee is not applicable to this FWC.\n\n## I.6.5. Retention money guarantee\n\nRetention money guarantee is not applicable to this FWC.\n\n## I.7. Bank account\n\nPayments must be made to the contractor's (or leader's in the case of a joint tender) bank account denominated in euro, identified as follows:\n\nName of bank:\n\nFull address of branch:\n\nExact denomination of account holder:\n\nFull account number including bank codes:\n\n[IBAN 1 code:]\n\n## I.8. Communication details\n\nFor the purpose of this FWC, communications must be sent to the following addresses:\n\nContracting authority:\n\nDirectorate and Unit D3, Risk Management I\n\nEuropean Chemicals Agency Telakkakatu 6 00150 Helsinki Finland E-mail: [insert functional mailbox]\n\nContractor (or leader in the case of a joint tender):\n\n[ Full name ] [ Function ] [ Company name ] [ Full official address ] E-mail: [ complete ]\n\nBy derogation from this Article, different contact details for the contracting authority or the contractor may be provided in specific contracts.", - "page_start": 7, - "page_end": 7, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- a specific contract or any part of it:\n - (a) if the procedure for awarding the FWC or a specific contract or the implementation of the FWC proves to have been subject to irregularities, fraud or breach of obligations ;\n - (b) in order to verify whether the presumed irregularities, fraud or breach of obligations have actually occurred.\n\nThe contracting authority must formally notify the contractor of the suspension and the reasons for it. Suspension takes effect on the date of formal notification , or at a later date if the formal notification so provides.\n\nThe contracting authority must notify the contractor as soon as the verification is completed whether:\n\n - (a) it is lifting the suspension; or\n - (b) it intends to terminate the FWC or a specific contract under Article II.18.1(f) or (j).\n\nThe contractor is not entitled to compensation for suspension of any part of the FWC or a specific contract.\n\nThe contracting authority may in addition suspend the time allowed for payments in accordance with Article II.21.7.\n\n## II.18. Termination of the FWC\n\n## II.18.1. Grounds for termination by the contracting authority\n\nThe contracting authority may terminate the FWC or any on-going specific contract in the following circumstances:", - "page_start": 29, - "page_end": 29, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\nContractor (or leader in the case of a joint tender):\n\n[ Full name ]\n\n[ Function ]\n\n[ Company name ]\n\n[ Full official address ]\n\nE-mail: [ complete ]\n\n## I.1.1.1.5. Article 5 Performance guarantee\n\nPerformance guarantee is not applicable to this specific contract.\n\n## I.1.1.1.6. Article 6 Retention money guarantee\n\nRetention money guarantee is not applicable to this specific contract.\n\n## Annexes\n\nRequest for service\n\nContractor's specific tender of [ insert date ]\n\n## Signatures\n\nFor the contractor,\n\n[ Company name / forename/surname/function ]\n\nsignature: Done at [ place ], [ date ]\n\nFor the contracting authority,\n\n[ forename/surname/function ]\n\nsignature:\n\nDone at [ place ], [ date ]\n\nIn duplicate in English.", - "page_start": 44, - "page_end": 44, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Draft FWC for services 0142.pdf", - "query": "According to the european chemical agency contracts, what is considers a grave professional misconduct ?", - "target_page": 14, - "target_passage": "'Grave professional misconduct': a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "Contract number: ECHA/2019/355\n\naudits and investigations.", - "page_start": 38, - "page_end": 38, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\n## HAVE AGREED\n\n## I.1.1.1.1. Article 1 Subject matter\n\n - 1.1 This specific contract implements framework contract (FWC) No ECHA/2019/355 signed by the parties on [ complete date ] .\n - 1.2 In accordance with the provisions set out in the FWC and in this specific contract and [its][their] annex[es], which form an integral part of it, the contractor must provide the [following services:] [services specified in Annex [ complete ] . ]\n - I.1.1.1.2. Article 2 Entry into force and duration\n - 2.1 This specific contract enters into force on the date on which the last party signs it.\n - 2.2 The provision of the services starts from the date of entry into force of this specific contract.\n - 2.3 The provision of the services must not exceed [ complete ] [ days] [months ] . The parties may extend the duration by written agreement before it elapses and before expiry of the FWC.\n\n## I.1.1.1.3. Article 3 Price\n\n - 3.1 The price payable under this specific contract excluding reimbursement of expenses is EUR [ amount in figures and in words ].\n\n[The maximum amount covering all services to be provided under this specific contract including reimbursement of expenses and excluding price revision is EUR [ amount in figures and in words ].]\n\n - 3.2 [Reimbursement of expenses is not applicable to this specific contract.] [Within the maximum amount, up to EUR [ amount in figures and in words ] is earmarked for expenses, which must be reimbursed in accordance with the FWC].\n\n***\n\n## I.1.1.1.4. Article 4 communication details\n\nFor the purpose of this specific contract, communications must be sent to the following addresses:\n\nContracting authority:\n\nEuropean Chemicals Agency\n\n[Directorate [ complete ]]\n\n[Unit [ complete ]]\n\n[ Postcode and city ]\n\nE-mail: [ insert functional mailbox ]", - "page_start": 43, - "page_end": 43, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## SPECIFIC CONTRACT\n\n## No [ complete ]\n\n## implementing framework contract No ECHA/2019/355\n\n - 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this specific contract by [ forename, surname, function, department of authorising officer ],\n\nand\n\n - 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as leader of the group by the members of the group that submitted the joint tender]\n\n[ repeat these data as many times as there are contractors in case of joint tender and continue numbering ]\n\n([collectively] \"the contractor\"), represented for the purposes of signing this specific contract by [ forename, surname and function of legal representative ,]", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "\n\n## DRAFT FRAMEWORK CONTRACT FOR SERVICES\n\n## NUMBER - ECHA/2019/355\n\n- 1. The European Chemicals Agency in Helsinki ('the contracting authority'), represented for the purposes of signing this framework contract by [ forename, surname, function, directorate of authorising officer ],\n\nof the one part and\n\n- 2. [ Full official name ]\n\n[ Official legal form ]\n\n[ Statutory registration number or ID or passport number ]\n\n[ Full official address ]\n\n[ VAT registration number ]\n\n[appointed as the leader of the group by the members of the group that submitted the joint tender]\n\n[ For joint tenders, r epeat these data as many times as there are contractors and continue numbering ]\n\n([collectively] 'the contractor'), represented for the purposes of the signature of this framework contract by [ forename, surname, function of legal representative and name of company in the case of a joint tender ],\n\non the other part,\n\nHAVE AGREED\n\nto the special conditions, the general conditions for framework contracts for services and the following annexes:\n\nAnnex I - Tender specifications (reference No [ complete ] of [ insert date ])\n\nAnnex II - Contractor's tender (reference No [ complete ] of [ insert date ])\n\nAnnex III - [Model for order forms] [and] [model for specific contracts]", - "page_start": 0, - "page_end": 0, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "Union budget, ii) the non-disclosure of information in violation of a specific obligation, with the same effect or iii) the misapplication of such funds or assets for purposes other than those for which they were originally granted, which damages the Union's financial interests;\n\n'Grave professional misconduct': a violation of applicable laws or regulations or ethical standards of the profession to which a contractor or a related person belongs, including any conduct leading to sexual or other exploitation or abuse, or any wrongful conduct of the contractor or a related person which has an impact on its professional credibility where such conduct denotes wrongful intent or gross negligence.\n\n'Implementation of the FWC' : the purchase of services envisaged in the FWC through the signature and performance of specific contracts ;\n\n'Interface control document' : the guideline document which lays down the technical specifications, message standards, security standards, checks of syntax and semantics, etc. to facilitate machine-to-machine connection. This document is updated on a regular basis;\n\n'Irregularity' : any infringement of a provision of Union law resulting from an act or omission by an economic operator, which has, or would have, the effect of prejudicing the Union's budget.\n\n'Notification' (or 'notify'): form of communication between the parties made in writing including by electronic means;\n\n'Order form' : a simplified form of specific contract by which the contracting authority orders services under this FWC;\n\n'Performance of a specific contract' : the execution of tasks and delivery of the purchased services by the contractor to the contracting authority;\n\n'Personnel' : persons employed directly or indirectly or contracted by the contractor to implement the FWC;\n\n'Pre-existing material' : any material, document, technology or know-how which exists prior to the contractor using it for the production of a result in the implementation of the FWC ;\n\n'Pre-existing right' : any industrial and intellectual property right on pre-existing material ; it may consist in a right of ownership, a licence right and/or right of use belonging to the contractor, the creator , the contracting authority as well as to any other third parties;\n\n'Professional conflicting interest' : a situation in which the contractor's previous or ongoing professional activities affect its capacity to implement the FWC or to perform a specific contract to an appropriate quality standard.\n\n'Related person' : any natural or legal person who is a member of the administrative, management or supervisory body of the contractor, or who has powers of representation, decision or control with regard to the contractor;\n\n'Request for services' : a document from the contracting authority requesting that the contractors in a multiple FWC with re-opening of competition provide a specific tender for services whose terms are not entirely defined under the FWC;", - "page_start": 13, - "page_end": 13, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "OLAF's own staff or by any outside body authorised to do so on its behalf.\n\nSuch checks and audits may be initiated at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC\n\nThe audit procedure is initiated on the date of receipt of the relevant letter sent by the contracting authority. Audits are carried out on a confidential basis.\n\n - II.24.2 The contractor must keep all original documents stored on any appropriate medium, including digitised originals if authorised under national law, for a period of five years starting from the payment of the balance of the last specific contract issued under this FWC.\n - II.24.3 The contractor must grant the contracting authority's staff and outside personnel authorised by the contracting authority the appropriate right of access to sites and premises where the FWC is implemented and to all the information, including information in electronic format, needed to conduct such checks and audits. The contractor must ensure that the information is readily available at the moment of the check or audit and, if so requested, that information is handed over in an appropriate format.\n - II.24.4 On the basis of the findings made during the audit, a provisional report is drawn up. The contracting authority or its authorised representative must send it to the contractor, who has 30 days following the date of receipt to submit observations. The contractor must receive the final report within 60 days following the expiry of the deadline to submit observations.\n\nOn the basis of the final audit findings, the contracting authority may recover all or part of the payments made in accordance with Article II.23 and may take any other measures which it considers necessary.\n\n - II.24.5 In accordance with Council Regulation (Euratom, EC) No 2185/96 of 11 November 1996 concerning on-the-spot checks and inspection carried out by the Commission in order to protect the European Communities' financial interests against fraud and other irregularities and Regulation (EU, Euratom) No 883/2013 of the European Parliament and of the Council of 11 September 2013 concerning investigations conducted by the European Anti-Fraud Office, the European AntiFraud Office may carry out investigations, including on the spot checks and inspections, to establish whether there has been fraud , corruption or any other illegal activity under the contract affecting the financial interests of the Union. Findings arising from an investigation may lead to criminal prosecution under national law.\n\nThe investigations may be carried out at any moment during the provision of the services and up to five years starting from the payment of the balance of the last specific contract issued under this FWC.", - "page_start": 37, - "page_end": 37, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "The authors conclude on the relevance of the EU OSH directives :\n\n'The evaluation shows very clearly that the EU OSH acquis is the reference frame for national OSH regulatory regimes. While the Member States have chosen various models for their legal implementation of the Directives' requirements, there is no doubt that the Directives' requirements form the core of the national systems in one way or the other. The significance of the Directives in setting the scene for OSH regulation in the EU is therefore very high.'\n\nThe authors also distinguish between the two major principles of legislative approaches in OSH, that is, either setting an objective and letting the actors define how this goal can be achieved (goal-oriented approach) , or prescribing also quite detailed measures to reach the objective (prescriptive approach) : 352\n\n'There seems to be a general view that the Framework Directive, with its orientation towards a goaloriented approach to OSH (rather than prescriptive) successfully lays out a suitable template for managing workplace risks - but not in itself enough to ensure that all risks are dealt with sufficiently. One criticism of the goal-setting approach is that the absence of prescriptive intermediate goals makes", - "page_start": 120, - "page_end": 120, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Neither the European Agency for Safety and Health at Work nor any person acting on behalf of the agency is responsible for the use that might be made of the following information.\n\nLuxembourg: Publications Office of the European Union, 2023\n\nPrint\n\nISBN 978-92-9479-934-0\n\ndoi: 10.2802/26873\n\nPDF\n\nISBN 978-92-9479-935-7\n\ndoi: 10.2802/56459\n\n- © European Agency for Safety and Health at Work, 2023\n\nReproduction is authorised provided the source is acknowledged.\n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and Health at Work, permission must be sought directly from the copyright holders.\n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or compliance with legislative requirements.\n\nFor one-click access to websites and references please consult the online version of this publication https://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", - "page_start": 1, - "page_end": 1, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\nContractor (or leader in the case of a joint tender):\n\n[ Full name ]\n\n[ Function ]\n\n[ Company name ]\n\n[ Full official address ]\n\nE-mail: [ complete ]\n\n## I.1.1.1.5. Article 5 Performance guarantee\n\nPerformance guarantee is not applicable to this specific contract.\n\n## I.1.1.1.6. Article 6 Retention money guarantee\n\nRetention money guarantee is not applicable to this specific contract.\n\n## Annexes\n\nRequest for service\n\nContractor's specific tender of [ insert date ]\n\n## Signatures\n\nFor the contractor,\n\n[ Company name / forename/surname/function ]\n\nsignature: Done at [ place ], [ date ]\n\nFor the contracting authority,\n\n[ forename/surname/function ]\n\nsignature:\n\nDone at [ place ], [ date ]\n\nIn duplicate in English.", - "page_start": 44, - "page_end": 44, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- (g) if the contractor does not comply with applicable obligations under environmental, social and labour law established by Union law, national law, collective agreements or by the international environmental, social and labour law provisions listed in Annex X to Directive 2014/24/EU;\n - (h) if the contractor is in a situation that could constitute a conflict of interest or a professional conflicting interest as referred to in Article II.7;\n - (i) if a change to the contractor's legal, financial, technical, organisational or ownership situation is likely to substantially affect the implementation of the FWC or substantially modify the conditions under which the FWC was initially awarded;\n - (j) in the event of force majeure , where either resuming implementation is impossible or the necessary ensuing amendments to the FWC or a specific contract would mean that the tender specifications are no longer fulfilled or result in unequal treatment of tenderers or contractors;\n - (k) if the needs of the contracting authority change and it no longer requires new services under the FWC; in such cases ongoing specific contracts remain unaffected;\n - (l) if the termination of the FWC with one or more of the contractors means that the multiple FWC with reopening of competition no longer has the minimum required level of competition;\n - (m) if the contractor is in breach of the data protection obligations resulting from Article II.9.2;\n - (n) if the contractor does not comply with the applicable data protection obligations resulting from Regulation (EU) 2016/679.\n\n## II.18.2. Grounds for termination by the contractor\n\nThe contractor may terminate the FWC or any on-going specific contract if the contracting authority fails to comply with its obligations, in particular the obligation to provide the information needed for the contractor to implement the FWC or to perform a specific contract as provided for in the tender specifications.\n\n## II.18.3. Procedure for termination\n\nA party must formally notify the other party of its intention to terminate the FWC or a specific contract and the grounds for termination.\n\nThe other party has 30 days following the date of receipt to submit observations, including the measures it has taken or will take to continue fulfilling its contractual obligations. Failing that, the decision to terminate becomes enforceable the day after the time limit for submitting observations has elapsed.", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Draft FWC for services 0142.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "What or Corning's corporate values ?", - "target_page": 12, - "target_passage": "Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "C ORPORATE VALUES :\n\nCorning's Values provide an unchanging moral and ethical compass that guides the actions of everyone in the company. The corporate values are: Quality, Integrity, Performance, Leadership, Innovation, Independence, and The Individual.\n\nquality integri performance leadership innovation independence i i i i i i i T OTAL Q UALITY : In alignment with the quality policy of thecorporation, our policy is to achieve Total Quality performance. Total Quality performance means understanding who the customer is, what the requirements are, and meeting those requirements better than anyone else, without error, on time, every time.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## S CIENCE & TECHNOLOGY\n\n\n\nCorning' the context of managing the sensitive balance between the near alignment of R&D and business objectives, and longer discovery research and new opportunity creation.\n\nOver the past year with business conditions. markets and create life-changing innovations.\n\nWe opportunities more quickly and efficiently. We critical intellectual assets of our scientific organization.\n\nOur R&D or new product development, but also new process development. lowered cost and increased quality performance.\n\nInnovation is one of Corning's core V language and mindset of the company. Even in the face of dif commitment to research and development.\n\nC RITICAL T ECHNOLOGIES : CHEMICAL VAPOR DEPOSITIONM ATERIALS R ESEARCH : OPTICAL PROPERTIES\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\nW ENDELL P. WEEKS\n\n\n\nJ AMES B. FLAWS\n\n## PRESIDENT\n\n## AND CHIEF OPERATING OFFICER\n\nVICE CHAIRMAN\n\nAND CHIEF FINANCIAL OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring - following restructuring efforts we launched in 2001-we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched - and don't plan to. We also continue to pay down debt each quarter. This, combined a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses - especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003- and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals…but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\n\n\nB A L A N C E\n\nCorning Annual Report 2002\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## INVESTOR INFORMATION :\n\n## A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on Thursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n## A DDITIONAL INFORMATION\n\n'Safe Harbor' Statement under the Private Securities Litigation Reform Act of 1995 facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n - -global economic and political conditions,\n - -currency fluctuations,\n - -product demand and industry capacity,\n - -competitive products and pricing,\n\n-\n\nsufficiency of manufacturing capacity and efficiencies,\n\n - -cost reductions,\n - -availability and costs of critical materials,\n - -new product development and commercialization,\n - -attracting and retaining key personnel,\n - -order activity and demand from major customers,\n - -fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n - -financial condition of customers,\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\nINVESTOR INFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n## C OMMON S TOCK\n\n - -changes in the mix of sales between premium and non-premium products,\n - -facility expansions and new plant start-up costs,\n - -adverse litigation or regulatory developments, including future or pending tax legislation,\n - -adequacy and availability of insurance,\n - -capital resource and cash flow activities,\n - -capital spending,\n - -equity company activities,\n - -interest costs,\n - -acquisition and divestiture activity,\n - -the rate of technology change,\n - -the ability to enforce patents,\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is 'GLW.'\n\nTRANSFER A GENT AND R EGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nC HANGE OF A DDRESS\n\nReport change of address to Computershare Investor Services at the above address.\n\nINDEPENDENT A CCOUNTANTS PricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\nCorning Incorporated\n\nwww.corning.com\n\n - -product performance issues,\n - -stock price fluctuations, and\n - -other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any of\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\nhave more than 1,000 scientists and researchers in our laboratories. and they're going to stay that way!\n\noperations throughout the world. These actions are key to reaching this goal of profitability. The optical fiber and cable business remains challenging for the short term, but there is still a great deal of long-term value to be realized in this business. We believe our cost structure is coming in line with our current reduced revenue expectations.\n\nThe optical components market remains very weak and as a result our photonic technologies business will need to take further action to reduce costs. In this challenging environment, we have narrowed our product focus and continue to explore several strategic options.\n\nLastly, we are continuing to drive down costs in our administrative and staff functions by standardizing processes and centralizing activities wherever possible.\n\njust our scientific labs. We people-all 23,200 of them, in plants and offices throughout the world - who are continuing to move us forward toward our goals. They have been through a lot during this downturn, and we have done our best to set a tone of open, honest communication, even when the news hasn't been good. In the year ahead, I've told our managers to place special emphasis on our Value of The Individual … knowing that, in the end, the commitment and contribution of all our employees will determine our success.\n\n## L OOKING AHEAD\n\nAs a company, we have been through an extraordinarily difficult time. We continue to face some formidable challenges. But we are facing them with some equally formidable strengths.\n\nAnd as we reach that goal of profitability-as a smaller, more focused, yet highly diverse and balanced company - we are confident that you, our shareholders, will experience greater returns on your investments.\n\n## INVESTING IN OUR FUTURE\n\nI continue to be extremely excited about the future opportunities emerging from our 152-year legacy of scientific innovations. We are concentrating our efforts on high-impact, near-term growth initiatives with emphasis on our liquid-crystal display, diesel filter, and chemical processing projects.\n\nCorning Incorporated is more than the sum of its parts-much more than a commercial enterprise.\n\nWe are one company with a proud history of innovation spanning more than 150 years. That legacy has created a diverse business portfolio and strong market leadership.\n\nWe have a time-tested set of Values and we rely on them to guide our every action. We association that all who touch our corporation feel. Shareholders, customers and employees understand that your corporation has, for more than 150 years, produced useful and industry-creating products that have changed the lives of mankind.\n\nIn our long history, we've always come together in the face of a tough challenge - and you can count on us to continue and assure you that we will succeed!\n\nAnd we are certainly not giving up on optical communications. We have the biggest share of the optical fiber market, by far, and continue to be the low-cost producer for anyone needing to move information from place to place. So while we've scaled back on production of fiber and other optical products, we certainly believe that they will continue to be an important part of our product mix again in the future. The optical communications industry is still in its infancy and we will capitalize on our leadership position to grow both our earnings and return on shareholder equity.\n\nYes, we have trimmed our investment in research to a level appropriate with our lowered revenues. But we're committed to research today even more than we have been in the past. Sincerely,\n\nWe are applying more than 10 percent of our revenues toward research. Some may question this high level of commitment in these times … but we simply will not back away from it. We\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "competitive markets. Guy is an excellent fit for this role on many levels and the entire Board look forward to his leadership for many years to come.\n\nI would encourage you to review the discussions around our corporate governance, community investments and sustainability initiatives later in this annual report. First class corporate governance practices have always been a strong tenet at Rogers, and as an entrepreneur founded and family controlled company, our Board takes pride in what is a proactive and disciplined approach to ensuring that our governance practices continue to justify the confidence of the public capital markets. Giving back to the communities we serve is also an important part of our culture at Rogers and the Board is very proud of the significant initiatives and investments which the company undertook over the past year on the corporate social responsibility front.\n\nI would like to thank Rogers' 28,000 employees for their ongoing dedication to our customers and striving to make Rogers better every day, my fellow Board members for their counsel and drive towards delivering continued value to our shareholders, and you our shareholders for your continued investment in this great company.\n\n\n\nALAN HORN, CPA, CA ALAN HORN\n\nCHAIRMAN OF THE BOARD ROGERS COMMUNICATIONS INC.", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Corning' vative technology company The businesses we classify as Corning T ductor optics operations with aggressive plans for significant growth during 2003.\n\n\n\nOur LCD glass business has been a star performer year-over-year volume gains of more than 45 percent. We monitors have doubled over the past year alone - and there' desktop displays sold in 2002 were LCD. And, LCD TVs are next big opportunities, as the number of LCD more than doubled in 2002. Our EAGLE 2000™ glass substrates turers to produce lighter, larger, thinner and higher displays more af\n\nF LAT P ANEL D ISPLAY G LASS : LCD TELEVISIONS\n\nDESKTOP MONITORS AND LAPTOPS\n\n\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "As we look to the future, we know that change will be a constant and that the Nordstrom strategy must evolve with customers' expectations, as must the means by which we enhance shareholder value. However, most importantly, the core principles upon which Nordstrom was built will not change. Your Board of Directors and your management team are committed to maintaining the company's unmatched competitive spirit and unyielding commitment to serve and value our customers, employees and shareholders. Be assured that Nordstrom and its wonderful employees are well positioned to deliver the best customer experience possible in ever-innovative ways, creating value for our shareholders in the years to come.\n\nOn behalf of the entire Board of Directors, thank you for your continued support of Nordstrom.\n\n\n\nEnrique Hernandez, Jr.\n\nChairman", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "At First Financial Bankshares, we are not a complicated company. Our value is easy to calculate because our numbers are easy to follow. The same holds true for our values. We believe in doing business the right way - from our boardrooms to our mailrooms. Maybe it's our West Texas roots, but we still appreciate the days when a handshake was binding. The relationships we have developed with our customers bear this out. More and more, in communities across Texas, we're the banks people turn to for financial services. The result has been strong, consistent, above-sector performance for our shareholders. How do values drive value? Let us explain.", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "As a Corning's investor, how can I get a summary of the annual meeting of shareholders ?", - "target_page": 11, - "target_passage": "A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## INVESTOR INFORMATION :\n\n## A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on Thursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n## A DDITIONAL INFORMATION\n\n'Safe Harbor' Statement under the Private Securities Litigation Reform Act of 1995 facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n - -global economic and political conditions,\n - -currency fluctuations,\n - -product demand and industry capacity,\n - -competitive products and pricing,\n\n-\n\nsufficiency of manufacturing capacity and efficiencies,\n\n - -cost reductions,\n - -availability and costs of critical materials,\n - -new product development and commercialization,\n - -attracting and retaining key personnel,\n - -order activity and demand from major customers,\n - -fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n - -financial condition of customers,\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\nINVESTOR INFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n## C OMMON S TOCK\n\n - -changes in the mix of sales between premium and non-premium products,\n - -facility expansions and new plant start-up costs,\n - -adverse litigation or regulatory developments, including future or pending tax legislation,\n - -adequacy and availability of insurance,\n - -capital resource and cash flow activities,\n - -capital spending,\n - -equity company activities,\n - -interest costs,\n - -acquisition and divestiture activity,\n - -the rate of technology change,\n - -the ability to enforce patents,\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is 'GLW.'\n\nTRANSFER A GENT AND R EGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nC HANGE OF A DDRESS\n\nReport change of address to Computershare Investor Services at the above address.\n\nINDEPENDENT A CCOUNTANTS PricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\nCorning Incorporated\n\nwww.corning.com\n\n - -product performance issues,\n - -stock price fluctuations, and\n - -other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any of\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "SHAREHOLDER INFORMATION", - "page_start": 90, - "page_end": 90, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "\n\nW ENDELL P. WEEKS\n\n\n\nJ AMES B. FLAWS\n\n## PRESIDENT\n\n## AND CHIEF OPERATING OFFICER\n\nVICE CHAIRMAN\n\nAND CHIEF FINANCIAL OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring - following restructuring efforts we launched in 2001-we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched - and don't plan to. We also continue to pay down debt each quarter. This, combined a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses - especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003- and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals…but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## Corporate Information\n\nCorporate Headquarters\n\nThe Hartford Financial Services Group, Inc. 690 Asylum Avenue Hartford, Connecticut 06115 860-547-5000\n\nInternet Address\n\nhttp://www.thehartford.com\n\nAnnual Meeting\n\nShareholders are cordially invited to attend The Hartford's Annual Meeting of Shareholders, which will be held on Thursday, April 18, 2002 at 9:00a.m. in the Wallace Stevens Theater at The Hartford Financial Services Group, Inc.'s home office at 690 Asylum Avenue, Hartford, Connecticut. Shareholders of record as of February 28, 2002 are entitled to notice of, and to vote at, the Annual Meeting.\n\n## Form 10-K and Other Information\n\nShareholders may receive, without charge, a copy of The Hartford's Form 10-K (without exhibits) filed with the Securities and Exchange Commission for the year ended December 31, 2001 by contacting 1-888-FACT-HIG. Forms 10-Q, press releases, and other shareholder communications are also available through this toll-free number.\n\n## Transfer Agent/Shareholder Records\n\nFor information or assistance regarding stock records, dividend checks or stock certificates, please contact The Hartford's transfer agent:\n\nThe Bank of New York Shareholder Relations Department-11E P.O. Box 11258 Church Street Station New York, NY 10286 800-254-2823\n\nTo send certificates for transfer and address changes:\n\nThe Bank of New York Receive and Deliver Department-11W P.O. Box 11002 Church Street Station New York, NY 10286\n\nAddress inquiries about The Hartford's Dividend Reinvestment and Cash Payment Plan to:\n\nThe Bank of New York Dividend Reinvestment Department P.O. Box 1958 Newark, NJ 07101-9774\n\nE-mail: shareowner-svcs@bankofny.com\n\nInternet address: www.stockbny.com\n\nInvestor Relations\n\nThe Hartford Financial Services Group, Inc. Hartford Plaza, HO-1-01 Hartford, Connecticut 06115 Attn: Investor Relations\n\n860-547-2537\n\nMedia Inquiries\n\nThe Hartford Financial Services Group, Inc. Media Relations Hartford Plaza, T-12-56 Hartford, CT 06115 860-547-5200\n\n## Common Stock and Dividend Information\n\nThe Hartford's common stock is traded on the New York Stock Exchange (NYSE) under the trading symbol 'HIG.' The following table presents the high and low closing prices for the common stock of The Hartford on the NYSE for the periods indicated, and the quarterly dividends declared per share.\n\n| | Common Stock Price | Common Stock Price | Dividends |\n|----------------|----------------------|----------------------|-------------|\n| | High | Low | Declared |\n| 2001 | | | |\n| First quarter | $ 67.75 | $ 55.15 | $0.25 |\n| Second quarter | 70.46 | 56.88 | 0.25 |\n| Third quarter | 69.28 | 50.10 | 0.25 |\n| Fourth quarter | 62.83 | 53.91 | 0.26 |\n| 2000 | | | |\n| First quarter | $ 52.75 | $ 29.38 | $0.24 |\n| Second quarter | 64.00 | 44.25 | 0.24 |\n| Third quarter | 73.75 | 56.38 | 0.24 |\n| Fourth quarter | 79.31 | 65.44 | 0.25 |\n\nAs of February 28, 2002 there were approximately 120,000 shareholders of The Hartford.", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "\n\n\n\nB A L A N C E\n\nCorning Annual Report 2002\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## INVESTOR INFORMATION\n\nThe following table represents the high and low trading prices of the Company's common stock:\n\n| For the years ended December 31, | 2004 | 2004 | 2003 | 2003 |\n|-----------------------------------------------------------------------------|---------|---------|---------|---------|\n| | High | Low | High | Low |\n| First Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | $ 46.18 | $ 36.71 | $ 34.45 | $ 24.09 |\n| Second Quarter. . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 49.79 | 40.99 | 35.50 | 26.40 |\n| Third Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 50.14 | 39.61 | 38.59 | 32.03 |\n| Fourth Quarter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 73.50 | 49.15 | 38.20 | 34.05 |\n\nThe Company's common stock is listed on the New York Stock Exchange. The symbol is MGG.\n\n## Forward-Looking Statements\n\nThis Annual Report contains some forward-looking statements which are subject to change. Actual results may differ materially from those described in any forwardlooking statement. Additional information concerning potential factors that could affect our future results is included under the caption 'Factors that May Affect Our Future Results' in Item 1 of our Annual Report on Form 10-K for the year ended December 31, 2004. This statement is provided as permitted by the Private Securities Litigation Reform Act of 1995.\n\n| Transfer Agent and | Independent Public |\n|------------------------------|----------------------------|\n| Registrar For Common Stock | Accountants |\n| Mellon Investor Services LLC | Deloitte & Touche LLP |\n| 85 Challenger Road | 3773 Howard Hughes Parkway |\n| Ridgefield Park, NJ 07660 | Suite 490, North Tower |\n| www.melloninvestor.com | Las Vegas, NV 89109 |\n| 1-800-358-2066 | |\n\n## Form 10-K\n\nA copy of the Company's annual report on Form 10-K, as filed with the Securities and Exchange Commission, will be furnished without charge to any stockholder upon written request to:\n\n## Mr. Bryan L. Wright\n\nSenior Vice President, Assistant General Counsel and Assistant Secretary\n\nMGM MIRAGE 3600 Las Vegas Blvd. South Las Vegas, NV 89109", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Item 11. EXECUTIVE COMPENSATION\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of Directors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and information under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 14. PRINCIPAL ACCOUNTING FEES AND SERVICES\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors-Audit Fees\" through \"-Audit Committee Preapproval Policies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## PART IV\n\n## Item 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\n\n - (a) (1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report.\n - (3) List of Exhibits-The response to this portion of Item 15 is submitted as a separate section of this report.\n - (b) The following reports on Form 8-K were filed during the fourth quarter:\n - Form 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and member of the Board of Directors.\n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003.\n\n - Form 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year labor contract.\n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of $150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001.\n\n - (c) The response to this portion of Item 15 is submitted as a separate section of this report.\n - (d) The response to this portion of Item 15 is submitted as a separate section of this report.\n\n## SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n## HORMEL FOODS CORPORATION\n\nBy: /s/ JOEL W. JOHNSON\n\nJOEL W. JOHNSON Chairman of the Board,\n\nPresident and Chief Executive Officer\n\nDate: January 23, 2004", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## CORPORATE AND SHAREHOLDER INFORMATION\n\n## CORPORATE OFFICES\n\nRogers Communications Inc. 333 Bloor Street East, 10th Floor Toronto, ON M4W 1G9 416-935-7777\n\n## CUSTOMER SERVICE AND PRODUCT INFORMATION\n\n888-764-3771 or rogers.com\n\n## SHAREHOLDER SERVICES\n\nIf you are a registered shareholder and have inquiries regarding your account, wish to change your name or address, or have questions about lost stock certificates, share transfers, estate settlements or dividends, please contact our transfer agent and registrar:\n\n## CST Trust Company\n\nP.O. Box 700, Postal Station B Montreal, QC H3B 3K3, Canada 416-682-3860 or 800-387-0825 inquiries@canstockta.com\n\n## Duplicate Mailings\n\nIf you receive duplicate shareholder mailings from Rogers Communications, please contact CST Trust Company as detailed above to consolidate your accounts.\n\n## INVESTOR RELATIONS\n\nInstitutional investors, securities analysts and others requiring additional financial information can visit rogers.com/investors or contact us at:\n\n## 1-855-300-7922 or\n\n416-935-3551 (outside North America) or investor.relations@rci.rogers.com\n\nMedia inquiries: 416-935-7777\n\n## CORPORATE PHILANTHROPY\n\nFor information relating to Rogers various philanthropic endeavours, refer to the 'About Rogers' section of rogers.com\n\n## SUSTAINABILITY\n\nRogers is committed to continuing to grow responsibly and we focus our social and environmental sustainability efforts where we can make the most meaningful impacts on both. To learn more, please visit rogers.com/csr\n\n\n\n## COMMON STOCK TRADING AND DIVIDEND INFORMATION\n\n| | Closing Price RCI.b on TSX | Closing Price RCI.b on TSX | Closing Price RCI.b on TSX |\n|----------------------------------------|------------------------------|------------------------------|------------------------------|\n| 2013 | High | Low Close | per Share |\n| First Quarter | $51.89 $44.37 | $51.89 | $0.435 |\n| Second Quarter $52.35 $40.35 $41.20 | | | $0.435 |\n| Third Quarter | | $45.36 $40.35 $44.29 | $0.435 |\n| Fourth Quarter $48.59 $43.66 $48.07 | | | $0.435 |\n\n## Shares Outstanding at December 31, 2013\n\nClass A\n\n112,462,000\n\nClass B\n\n402,281,178\n\n## 2014 Expected Dividend Dates\n\n| Record Date*: | Payment Date*: |\n|--------------------|------------------|\n| March 14, 2014 | April 4, 2014 |\n| June 13, 2014 | July 4, 2014 |\n| September 12, 2014 | October 3, 2014 |\n| December 11, 2014 | January 2, 2015 |\n\n* Subject to Board approval\n\nUnless indicated otherwise, all dividends paid by Rogers Communications are designated as 'eligible' dividends for the purposes of the Income Tax Act (Canada) and any similar provincial legislation.\n\n## DIRECT DEPOSIT SERVICE\n\nShareholders may have dividends deposited directly into accounts held at financial institutions. To arrange direct deposit service, please contact CST Trust Company as detailed earlier on this page.\n\n## DIVIDEND REINVESTMENT PLAN (DRIP)\n\nRogers offers a convenient dividend reinvestment program for eligible shareholders to purchase additional Rogers Communications shares by reinvesting their cash dividends without incurring brokerage fees or administration fees. For plan information and enrolment materials or to learn more about Rogers DRIP, please visit www. canstockta.com/en/InvestorServices/Dividend\\_ Reinvestment\\_Plans or contact CST Trust Company as detailed earlier on this page.\n\n## ELECTRONIC DELIVERY OF SHAREHOLDER MATERIALS", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Shareholder Information\n\n## Independent Registered Public\n\n## Form 10-K\n\nAccounting Firm\n\nDeloitte & Touche LLP\n\nSeattle, Washington\n\n## Counsel\n\nLane Powell PC Seattle, Washington\n\n## Transfer Agent and Registrar\n\nComputershare PO Box 30170 College Station, Texas 77842 Telephone (800) 318-7045 TDD for Hearing Impaired (800) 952-9245 Foreign Shareholders (201) 680-6578 TDD Foreign Shareholders (781) 575-4592 computershare.com/investor\n\n## General Offices\n\n1617 Sixth Avenue\n\nSeattle, Washington 98101\n\nTelephone (206) 628-2111\n\n## Annual Meeting\n\nMay 5, 2015 at 11:00 a.m. Pacific Standard Time Nordstrom Downtown Seattle Store John W. Nordstrom Room, fifth floor 1617 Sixth Avenue Seattle, Washington 98101\n\nThe Company's Annual Report on Form 10-K for the year ended January 31, 2015 will be provided to shareholders upon request to:\n\nNordstrom Investor Relations PO Box 2737 Seattle, Washington 98111 (206) 303-3200 invrelations@nordstrom.com\n\n## Shareholder Information\n\nAdditional shareholder information, including Nordstrom's Corporate Governance Guidelines and Code of Business Conduct and Ethics, is available online at investor.nordstrom.com (Investor Relations, Corporate Governance). The Company intends to provide disclosure of any amendments or waivers to its Code of Business Conduct and Ethics online within four business days following the date of amendment or waiver. In addition, the Company is always willing to discuss matters of concern to shareholders. Shareholders may contact the Company at: (206) 303-3200 invrelations@nordstrom.com\n\n## Certifications\n\nWe have filed the required certifications under Section 302 of the Sarbanes-Oxley Act of 2002 regarding the quality of our public disclosures as Exhibits 31.1 and 31.2 to our annual report on Form 10-K for the year ended January 31, 2015. After our 2015 Annual Meeting of Shareholders, we intend to file with the New York Stock Exchange the CEO certification regarding our compliance with the NYSE's corporate governance listing standards as required by NYSE Rule 303A.12(a).\n\n© 2015 Nordstrom, Inc.", - "page_start": 93, - "page_end": 93, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## Item 9B. Other Information.\n\nNone.\n\n## PART III\n\n## Item 10. Directors, Executive Officers and Corporate Governance.\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nExecutive Officers Director Elections Board Committees and Charters Director Nominating Process Website Access to Corporate Governance Documents\n\nSection 16(a) Beneficial Ownership Reporting Compliance\n\nCorporate Governance\n\nThe certifications of our President and Chief Financial Officer required pursuant to Sections 302 and 906 of the Sarbanes-Oxley Act of 2002 are included as exhibits to this Annual Report on Form 10-K and were included as exhibits to each of our quarterly reports on Form 10-Q. Our President certified to the New York Stock Exchange ('NYSE') on May 15, 2014 pursuant to Section 303A.12(a) of the NYSE's listing standards, that he was not aware of any violation by the Company of the NYSE's corporate governance listing standards as of that date.\n\n## Item 11. Executive Compensation.\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nCompensation of Executive Officers\n\nCompensation Discussion and Analysis\n\nDirector Compensation\n\nCompensation Committee Interlocks and Insider Participation\n\n## Item 12. Security Ownership of Certain Beneficial Owners and Management and Related Shareholder Matters.\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nSecurity Ownership of Certain Beneficial Owners and Management Equity Compensation Plans\n\n## Item 13. Certain Relationships and Related Transactions, and Director Independence.\n\nThe information required under this item is included in the following sections of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the sections of which are incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nElection of Directors\n\nCertain Relationships and Related Transactions\n\n## Item 14. Principal Accounting Fees and Services.\n\nThe information required under this item is included in the following section of our Proxy Statement for our 2015 Annual Meeting of Shareholders, the section of which is incorporated by reference herein and will be filed within 120 days after the end of our fiscal year:\n\nRatification of the Appointment of Independent Registered Public Accounting Firm", - "page_start": 79, - "page_end": 79, - "source_file": "NYSE_JWN_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_GLW_2002.pdf", - "query": "How many employees did Corning company count at the end of 2002 ?", - "target_page": 5, - "target_passage": "We are continuing to invest in our people — all 23,200 of them", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\nB A L A N C E\n\nCorning Annual Report 2002\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\nW ENDELL P. WEEKS\n\n\n\nJ AMES B. FLAWS\n\n## PRESIDENT\n\n## AND CHIEF OPERATING OFFICER\n\nVICE CHAIRMAN\n\nAND CHIEF FINANCIAL OFFICER\n\nIn our business operations during 2002 we invested a great deal of energy aligning our cost structure and business plans with our priority of restoring profitability. After massive restructuring - following restructuring efforts we launched in 2001-we feel we now have our cost structure and growth strategies in place to accomplish this goal.\n\nWe have re-balanced the company to take advantage of our broad and diverse set of businesses. And in charting our strategies, we have focused on ensuring that both our segments have solid business plans in place, enabling them to grow. Our people are rigorously committed to executing against these plans.\n\nWe take great pride in saying that Corning continues to be a financially sound company, thanks to the aggressive strategies we executed throughout 2002. Although it has been a very painful process, we have dramatically slowed the rate at which we are spending cash. We ended the year with a balance of cash and short-term investments of $2.1 billion. And we have access to $2 billion in credit that we haven't touched - and don't plan to. We also continue to pay down debt each quarter. This, combined a high degree of confidence in our ability to meet any future financial obligations. So, we feel very good about our liquidity position right now.\n\nAs you saw earlier in this report, our Corning Technologies businesses are in markets with solid growth potential. We have leading market positions in attractive businesses … we are ready to capitalize on that position of strength. Meanwhile, we are making these businesses even more cost-effective through significant manufacturing efficiency gains.\n\nIn telecommunications, we are not planning on a market recovery in 2003. We have aligned our cost structure to meet current demand levels after two very tough years of ongoing restructuring.\n\nThe ongoing economic weakness and uncertainty in world events continue to make the overall business environment to forecast revenues and expenses quarter-to-quarter, and we are encouraged by the near-term growth potential of our non-telecommunications businesses - especially our liquid-crystal display, environmental and semiconductor businesses. If these markets continue to grow as we expect, we are confident that we will be able to meet our goals.\n\nWe know that our shareholders are most eager to see a greater return on their investment with Corning, and of Wall Street's confidence. We are 100 percent committed to reaching that goal of profitability in 2003- and doing so within the rigorous compliance rules by which we have always been guided. Integrity characterizes all our relationships, both inside and outside of Corning, and we will never compromise that foundation of our reputation.\n\nWithin the context of our financial realities, however, we have not lost our sense of self. We will meet our goals…but the path we are taking to get there has been, and will continue to be, consistent with our Values. Integrity … quality … treating individuals with dignity and respect … these are the guiding principles of the decisions we make. We know that in adhering to our Values, solid business performance will follow.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "Corning' vative technology company The businesses we classify as Corning T ductor optics operations with aggressive plans for significant growth during 2003.\n\n\n\nOur LCD glass business has been a star performer year-over-year volume gains of more than 45 percent. We monitors have doubled over the past year alone - and there' desktop displays sold in 2002 were LCD. And, LCD TVs are next big opportunities, as the number of LCD more than doubled in 2002. Our EAGLE 2000™ glass substrates turers to produce lighter, larger, thinner and higher displays more af\n\nF LAT P ANEL D ISPLAY G LASS : LCD TELEVISIONS\n\nDESKTOP MONITORS AND LAPTOPS\n\n\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## INVESTOR INFORMATION :\n\n## A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on Thursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n## A DDITIONAL INFORMATION\n\n'Safe Harbor' Statement under the Private Securities Litigation Reform Act of 1995 facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n - -global economic and political conditions,\n - -currency fluctuations,\n - -product demand and industry capacity,\n - -competitive products and pricing,\n\n-\n\nsufficiency of manufacturing capacity and efficiencies,\n\n - -cost reductions,\n - -availability and costs of critical materials,\n - -new product development and commercialization,\n - -attracting and retaining key personnel,\n - -order activity and demand from major customers,\n - -fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n - -financial condition of customers,\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\nINVESTOR INFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n## C OMMON S TOCK\n\n - -changes in the mix of sales between premium and non-premium products,\n - -facility expansions and new plant start-up costs,\n - -adverse litigation or regulatory developments, including future or pending tax legislation,\n - -adequacy and availability of insurance,\n - -capital resource and cash flow activities,\n - -capital spending,\n - -equity company activities,\n - -interest costs,\n - -acquisition and divestiture activity,\n - -the rate of technology change,\n - -the ability to enforce patents,\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is 'GLW.'\n\nTRANSFER A GENT AND R EGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nC HANGE OF A DDRESS\n\nReport change of address to Computershare Investor Services at the above address.\n\nINDEPENDENT A CCOUNTANTS PricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\nCorning Incorporated\n\nwww.corning.com\n\n - -product performance issues,\n - -stock price fluctuations, and\n - -other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any of\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## S CIENCE & TECHNOLOGY\n\n\n\nCorning' the context of managing the sensitive balance between the near alignment of R&D and business objectives, and longer discovery research and new opportunity creation.\n\nOver the past year with business conditions. markets and create life-changing innovations.\n\nWe opportunities more quickly and efficiently. We critical intellectual assets of our scientific organization.\n\nOur R&D or new product development, but also new process development. lowered cost and increased quality performance.\n\nInnovation is one of Corning's core V language and mindset of the company. Even in the face of dif commitment to research and development.\n\nC RITICAL T ECHNOLOGIES : CHEMICAL VAPOR DEPOSITIONM ATERIALS R ESEARCH : OPTICAL PROPERTIES\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "During 2002, the Company recorded a pretax charge of approximately $5.4 million due to the shutdown of an office furniture facility in Jackson, Tennessee. A total of 125 members were terminated and received severance due to this shutdown. During the second quarter of 2003, a restructuring credit of approximately $0.6 million was taken back into income relating to this charge. This was due to the fact that the Company was able to exit a lease with the lessor at more favorable terms than previously estimated.\n\nDuring the second quarter of 2001, the Company recorded a pretax charge of $24.0 million or $0.26 per diluted share for a restructuring plan that involved consolidating physical facilities, discontinuing low-volume product lines, and reductions of workforce. Included in the charge was the closedown of three of its office furniture facilities located in Williamsport, Pennsylvania; Tupelo, Mississippi; and Santa Ana, California. Approximately 500 members were terminated and received severance due to the closedown of these facilities. During the second quarter of 2002, a restructuring credit of approximately $2.4 million was taken back into income relating to this charge. This was mainly due to the fact that the Company was able to exit a lease with a lessor at more favorable terms than originally estimated and the Company's ability to minimize the number of members terminated as compared to the original plan.\n\nThe following table details the change in restructuring reserve for the last three years:", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## Years Ended December 31, 2003, 2002 and 2001\n\nin thousands\n\n| | 2003 | 2002 | 2001 |\n|-------------------------------------------------------------------------------------|---------------------|-----------|-------------|\n| Cash Flows From Financing Activities | | | |\n| Proceeds from issuance of long-term debt | $ | $ - | $ 24,641 |\n| Principal payments on long-term debt | (8,697) | (4,393) | (23,692) |\n| Net proceeds from (payments of) lines of credit | (3,503) | (2,697) | 6,200 |\n| Debt issuance costs | - | - | (175) |\n| Dividends paid | (2,960) | (2,794) | (2,635) |\n| Proceeds from exercise of incentive stock options | 487 | 296 | 133 |\n| Net cash provided by (used in) financing activities | $(14,673) $(14,673) | $ (9,588) | $ 4,472 |\n| | $ 3,477 | $ (7,573) | $ (6,952) |\n| Net cash used in continuing operations Net cash provided by discontinued operations | 23,010 | 7,745 | 6,444 |\n| Net increase (decrease) in cash and cash equivalents | $ 26,487 | $ 172 | $ (508) |\n| Cash and cash equivalents: | | | |\n| Beginning | 2,209 | 2,037 | 2,545 |\n| Ending | $ 28,696 | $ 2,209 | $ 2,037 |\n| Supplemental Disclosures of Cash Flow Information | | | |\n| Cash payments for: | | | |\n| Interest, net of capitalized interest of $26 in 2003; $93 in 2002, and $134 in 2001 | $ 3,577 | $ 4,274 | $ 4,217 |\n| Income taxes | $ 15,569 | $ 1,045 | $ 506 |\n\n## Non-cash transactions:\n\nDuring 2002, the Company issued 4,654 shares of Company stock to employees valued at $0.1 million in recognition of the Company's 100 th year anniversary.\n\nIn December 2001, the Company received 310,158 shares of VeriSign Inc. common stock in exchange for 333,504 shares of Illuminet Holdings, Inc. stock as a result of the merger of the two entities.\n\nThe Company completed the sale of its GSM network equipment in January 2001, for approximately $6.5 million of which approximately $4.9 million was escrowed as part of a like-kind exchange transaction. The escrowed funds were disbursed as new equipment was received during the first six months of 2001.\n\n■", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "\n\nhave more than 1,000 scientists and researchers in our laboratories. and they're going to stay that way!\n\noperations throughout the world. These actions are key to reaching this goal of profitability. The optical fiber and cable business remains challenging for the short term, but there is still a great deal of long-term value to be realized in this business. We believe our cost structure is coming in line with our current reduced revenue expectations.\n\nThe optical components market remains very weak and as a result our photonic technologies business will need to take further action to reduce costs. In this challenging environment, we have narrowed our product focus and continue to explore several strategic options.\n\nLastly, we are continuing to drive down costs in our administrative and staff functions by standardizing processes and centralizing activities wherever possible.\n\njust our scientific labs. We people-all 23,200 of them, in plants and offices throughout the world - who are continuing to move us forward toward our goals. They have been through a lot during this downturn, and we have done our best to set a tone of open, honest communication, even when the news hasn't been good. In the year ahead, I've told our managers to place special emphasis on our Value of The Individual … knowing that, in the end, the commitment and contribution of all our employees will determine our success.\n\n## L OOKING AHEAD\n\nAs a company, we have been through an extraordinarily difficult time. We continue to face some formidable challenges. But we are facing them with some equally formidable strengths.\n\nAnd as we reach that goal of profitability-as a smaller, more focused, yet highly diverse and balanced company - we are confident that you, our shareholders, will experience greater returns on your investments.\n\n## INVESTING IN OUR FUTURE\n\nI continue to be extremely excited about the future opportunities emerging from our 152-year legacy of scientific innovations. We are concentrating our efforts on high-impact, near-term growth initiatives with emphasis on our liquid-crystal display, diesel filter, and chemical processing projects.\n\nCorning Incorporated is more than the sum of its parts-much more than a commercial enterprise.\n\nWe are one company with a proud history of innovation spanning more than 150 years. That legacy has created a diverse business portfolio and strong market leadership.\n\nWe have a time-tested set of Values and we rely on them to guide our every action. We association that all who touch our corporation feel. Shareholders, customers and employees understand that your corporation has, for more than 150 years, produced useful and industry-creating products that have changed the lives of mankind.\n\nIn our long history, we've always come together in the face of a tough challenge - and you can count on us to continue and assure you that we will succeed!\n\nAnd we are certainly not giving up on optical communications. We have the biggest share of the optical fiber market, by far, and continue to be the low-cost producer for anyone needing to move information from place to place. So while we've scaled back on production of fiber and other optical products, we certainly believe that they will continue to be an important part of our product mix again in the future. The optical communications industry is still in its infancy and we will capitalize on our leadership position to grow both our earnings and return on shareholder equity.\n\nYes, we have trimmed our investment in research to a level appropriate with our lowered revenues. But we're committed to research today even more than we have been in the past. Sincerely,\n\nWe are applying more than 10 percent of our revenues toward research. Some may question this high level of commitment in these times … but we simply will not back away from it. We\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "## Years Ended December 31, 2003, 2002 and 2001\n\nin thousands, except per share amounts", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## Years Ended December 31, 2003, 2002 and 2001\n\nin thousands, except per share amounts", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "What is the shortcut to mute myself in MS teams ?", - "target_page": 3, - "target_passage": "Use [Ctrl]+[Shift]+[M] for a shortcut to mute and unmute during meetings.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "\n\n## Chat\n\n## Teams and channels\n\nBy default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\n\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.\n\nTeams\n\nGeneral\n\nMarketing\n\nShared Channel\n\nA\n\nteam\n\nis a broad group of people that work together to get something\n\ndone. You can choose who is part of the team, and people can only access\n\nshared content by invitation. All teams are created with an associated\n\nGeneral channel that includes all team members by default.\n\nChannels\n\nA\n\nchannel\n\nis a central hub for a specific topic, within the larger team, where\n\npeople can hold focused conversations and organize a library of files.\n\nChannels can be:\n\n· Standard (visible to everyone on the team)\n\n· Private (only visible to select team members)\n\n· Shared (visible to invited team members and external members of your\n\norganization who are not on the team)\n\nCreate a team for your organization with channels for your leadership team, each department, and one just for fun! Tip\n\nAN", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "\n\n\n\n## Connect through messages\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n## Compose\n\n - Format your messages, add bullet points, charts or hyperlinks.\n - Mark as important to call attention to specific messages.\n - Attach files to share with your teammates.\n - Include gifs , emojis, stickers to bring lightness to your conversations.\n\n## Respond\n\n - Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention. @\n - React to individual messages or quote them in a response.\n\nTip Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\nTip If you want to revisit an important message later, hover on that message, select the three d , then choose 'Save.' Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "\n\n## Getting around\n\nNavigate Teams using the menu along the left side and the top bar of your Teams desktop app.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "- /SM590000 Name of the actionable command", - "page_start": 747, - "page_end": 747, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n## Welcome to Microsoft Teams\n\nMicrosoft Teams is the app that brings your conversations, meetings, and files together in one place. This guide will help you get started with Teams, learn the basics, get tips to practice on your own, and discover ways to engage your team.\n\n## Set up\n\n## Explore\n\n## Practice\n\nDownload the app for desktop and mobile to access Teams with the best performance anywhere you go.\n\nOnce you sign in, connect with your team in chat, channels, calls, and meetings.\n\nTry out the different features as you learn about them in this guide. You'll get the basics in no time!\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "After the confirmation, click Turn LED Off (see Figure 5-32).\n\nFigure 5-32 Turning the Identify LED off\n\n\n\nAlternatively, you can use the command-line interface (CLI) to get the same results. Enter the following commands in this sequence:\n\n - 1. Enter svctask chenclosure -identify yes 1 (or enter chenclosure -identify yes 1 ).\n - 2. Enter svctask chenclosure -identify no 1 (or enter chenclosure -identify no 1 ).\n\nTo view internal components (components that cannot be seen from the outside), review the bottom of the GUI underneath where the list of external components is displayed. You can select any of these components and details show in the right pane, as with the external components.\n\nFigure 5-33 Viewing internal components\n\n", - "page_start": 171, - "page_end": 171, - "source_file": "sg247938.pdf" - }, - { - "text": "Use caution when you set the inactivity timeout. Choose the correct amount of time when you specify this setting. For example, assume that you set the inactivity timeout to 10. You log on to Content Manager OnDemand to add an application group. Creating the application group might take you 15 minutes to complete. After you enter all of the information about the application group, you click OK to create the application group. Content Manager OnDemand issues a message that a timeout occurred. You must log off the server, and you cannot save the information that you entered about the application group.\n\n## System Logging\n\nThis setting specifies the messages that Content Manager OnDemand saves in the system log. Content Manager OnDemand provides the system log to help you track activity and monitor the system. Content Manager OnDemand saves messages that are generated by the various programs, such as the ARSLOAD program. Content Manager OnDemand can save a message in the system log when the following events occur:\n\n - /SM590000 A user logs on to the system.\n - /SM590000 A user logs off the system.\n - /SM590000 A user logon fails.\n - /SM590000 Application group data is queried, retrieved, loaded, updated, deleted, or maintained.\n\n## System Log Comments\n\nThis setting specifies whether the Administrator Client displays the System Log Comments window when you perform an add, update, or delete operation.\n\nYou can enable comments and also specify whether the comments are required. If the comments are required, the user must enter one or more characters in the Comments field.\n\n## User Login Inactivity", - "page_start": 166, - "page_end": 166, - "source_file": "sg246915.pdf" - }, - { - "text": "- 1. Stop the arsjesd program.\n - 2. Add the -t parameter, for example:\n\narsjesd -d /tmp/1 -d /tmp/2 -p 6001 -t", - "page_start": 429, - "page_end": 429, - "source_file": "sg246915.pdf" - }, - { - "text": "- a. Pause I/O (briefly) on the source.", - "page_start": 481, - "page_end": 481, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n## Meeting essentials\n\n\n\n## Join meetings\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n\n\n\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n## Present in meetings\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n## Meeting controls\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I make a channel visible to an invited member ?", - "target_page": 4, - "target_passage": "Channels can be: • Shared (visible to invited team members and external members of your organization who are not on the team)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## Chat\n\n## Teams and channels\n\nBy default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\n\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.\n\nTeams\n\nGeneral\n\nMarketing\n\nShared Channel\n\nA\n\nteam\n\nis a broad group of people that work together to get something\n\ndone. You can choose who is part of the team, and people can only access\n\nshared content by invitation. All teams are created with an associated\n\nGeneral channel that includes all team members by default.\n\nChannels\n\nA\n\nchannel\n\nis a central hub for a specific topic, within the larger team, where\n\npeople can hold focused conversations and organize a library of files.\n\nChannels can be:\n\n· Standard (visible to everyone on the team)\n\n· Private (only visible to select team members)\n\n· Shared (visible to invited team members and external members of your\n\norganization who are not on the team)\n\nCreate a team for your organization with channels for your leadership team, each department, and one just for fun! Tip\n\nAN", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "\n\n## Meeting essentials\n\n\n\n## Join meetings\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n\n\n\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n## Present in meetings\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n## Meeting controls\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "## Creating Fibre Channel hosts\n\nTo create Fibre Channel hosts, complete the following steps:\n\n - 1. Select Fibre Channel . The Fibre Channel configuration window opens (see Figure 8-4).\n\nFigure 8-4 Fibre Channel host configuration\n\n", - "page_start": 350, - "page_end": 350, - "source_file": "sg247938.pdf" - }, - { - "text": "## Creating Fibre Channel hosts\n\nTo create a Fibre Channel host, complete the following steps:\n\n - 1. Rescan the SAN on Storwize V7000 by using the detectmdisk command (see Example 8-14).\n\nExample 8-14 Rescanning the SAN\n\nIBM\\_Storwize:ITSO-V7000:superuser> detectmdisk\n\nNote: The detectmdisk command does not return any response.\n\nIf the zoning was implemented correctly, any new WWPNs are discovered by the Storwize V7000 system after running the detectmdisk command.", - "page_start": 395, - "page_end": 395, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n\n\n## Connect through messages\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n## Compose\n\n - Format your messages, add bullet points, charts or hyperlinks.\n - Mark as important to call attention to specific messages.\n - Attach files to share with your teammates.\n - Include gifs , emojis, stickers to bring lightness to your conversations.\n\n## Respond\n\n - Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention. @\n - React to individual messages or quote them in a response.\n\nTip Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\nTip If you want to revisit an important message later, hover on that message, select the three d , then choose 'Save.' Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "- 2. A list of all the hosts is displayed. The function icons indicate whether the host is Fibre Channel, iSCSI, or SAS attached. The port details of the selected host are shown to the right. You can add a new host object by clicking Add Host . If you click Actions (see Figure 8-51), the tasks that are described in 'Modifying Volume Mappings' on page 346 can be selected.\n\nFigure 8-51 Ports by Host actions\n\n\n\n## Adding a Fibre Channel or iSCSI host port\n\nTo add a host port, complete the following steps:", - "page_start": 383, - "page_end": 383, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Select the partnership type ( Fibre Channel or IP ). If you choose IP partnership, you must provide the IP address of the partner system and the partner system's CHAP key.", - "page_start": 593, - "page_end": 593, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n## 3.1.4 How to subscribe to the EDP Newsletter\n\nOn the Portal Home Page:\n\n - -Either Click on the 'Newsletter' item in the page header:\n\nThen, on the 'Newsletter subscriptions' page:\n\n - · Enter your E-Mail address\n - · Click on the button 'Subscribe'\n\nThe system will display a notification message after successful subscription.\n\nOr\n\n\n\n - -Enter your email address directly in the footer and clic k on the 'Subscribe' button.\n\nThe system will display a notification message after successful subscription.\n\n\n\n", - "page_start": 18, - "page_end": 18, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "- 2. If your partnership is based on Fibre Channel protocol, select an available partner system from the menu. If no candidate is available, the This system does not have any candidates error message is displayed.", - "page_start": 593, - "page_end": 593, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure B-5 Open user section\n\n\n\n - 2. Right-click the user name for which you want to upload the key and click Properties (see Figure B-6).\n\nFigure B-6 User properties\n\n", - "page_start": 781, - "page_end": 781, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf", - "query": "How can I notify a collegue mentionned in a chat message in Teams ?", - "target_page": 5, - "target_passage": "Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "\n\n## Chat\n\n## Teams and channels\n\nBy default, your chats will be arranged along the left-hand side of the chat panel, with the most recent messages at the top. You can right-click on any chat and select \"Pin,\" which will keep it at the top of your list for quick access.\n\n\n\nWhen you create group chats you can edit the name of the group by selecting the pen symbol next to the group icon in the chat. This will help you give it context and make it easier to find.\n\nWhen you are invited to a new Team, it will automatically appear on the left panel along with all its associated channels. You can choose to \"show\" the most relevant chanels and \"hide\" the rest.\n\nTeams\n\nGeneral\n\nMarketing\n\nShared Channel\n\nA\n\nteam\n\nis a broad group of people that work together to get something\n\ndone. You can choose who is part of the team, and people can only access\n\nshared content by invitation. All teams are created with an associated\n\nGeneral channel that includes all team members by default.\n\nChannels\n\nA\n\nchannel\n\nis a central hub for a specific topic, within the larger team, where\n\npeople can hold focused conversations and organize a library of files.\n\nChannels can be:\n\n· Standard (visible to everyone on the team)\n\n· Private (only visible to select team members)\n\n· Shared (visible to invited team members and external members of your\n\norganization who are not on the team)\n\nCreate a team for your organization with channels for your leadership team, each department, and one just for fun! Tip\n\nAN", - "page_start": 3, - "page_end": 3, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "\n\n\n\n## Connect through messages\n\nWhether you're in a meeting, channel, or a chat, your messaging box will look the same.\n\n## Compose\n\n - Format your messages, add bullet points, charts or hyperlinks.\n - Mark as important to call attention to specific messages.\n - Attach files to share with your teammates.\n - Include gifs , emojis, stickers to bring lightness to your conversations.\n\n## Respond\n\n - Tag a teammate in a message by typing the @ symbol followed by their name. They will receive a special notification calling for their attention. @\n - React to individual messages or quote them in a response.\n\nTip Going into format mode will prevent your message from sending when you hit [Enter], so it's a great way to draft and preview messages before sending them.\n\nTip If you want to revisit an important message later, hover on that message, select the three d , then choose 'Save.' Saved messages will be found under your profile picture dropdown menu.", - "page_start": 4, - "page_end": 4, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "- - Contact information of the person in the organization responsible for the system", - "page_start": 201, - "page_end": 201, - "source_file": "sg247938.pdf" - }, - { - "text": "## HERE ARE A FEW GUIDELINES TO KEEP IN MIND WHEN SENDING E-MAILS TO YOUR COLLEAGUES:\n\n## · Always use a relevant and descriptive subject line.\n\nE-mails with blank subject lines may be marked as spam by the recipient's e-mail client, and e-mails with non-descriptive subject lines such as 'Hello' or 'Meeting' may be ignored.\n\n## · Write your e-mail in clear and simple language.\n\nDon't try to sound too formal, and don't use complicated words when simple ones would work just fine. As far as possible, write in the active voice.\n\n## · Structure your message clearly, and include only the necessary information.\n\nTake care not to confuse the message by including too many topics in one e-mail. Respect your colleagues' time, and try to keep your messages as short as possible.\n\n## · Don't type your e-mail in ALL CAPS.\n\nThis is regarded as the online equivalent of shouting.\n\n - · Always proofread your e-mail before you hit 'send'.\n\nGrammar and spelling errors come across as unprofessional.\n\n - · If you include a link in your e-mail, make sure that you provide some context.\n\nYour recipients are unlikely to click on a link if they don't have any idea as to what they are going to see when they open it.\n\n - · Only mark an e-mail as 'urgent' when it really does require immediate attention.\n\nWhat's urgent to you may not always be urgent to your recipients.\n\n## · Don't use the CC' or Reply All' functions unnecessarily.\n\nOnly send your e-mails to the people who really need to see them.", - "page_start": 52, - "page_end": 52, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Important: Browse to Recommended Actions to run the fix procedures on these notifications.\n\n - - Select Warning if you want the user to receive messages about problems and unexpected conditions. Investigate the cause immediately to determine whether any corrective action is necessary.\n\nImportant: Browse to Recommended Actions to run the fix procedures on these notifications.", - "page_start": 746, - "page_end": 746, - "source_file": "sg247938.pdf" - }, - { - "text": "An event notification can be sent to one or more email addresses. This mechanism notifies individuals of problems. Individuals can receive notifications wherever they have email access, including mobile devices.\n\n - /SM590000 Cloud Call Home\n\nCloud services for Call Home is the optimal transmission method for error data because it ensures notifications are delivered directly to the IBM support center.", - "page_start": 731, - "page_end": 731, - "source_file": "sg247938.pdf" - }, - { - "text": "Note: The 'Notify by e-mail' check box is available for use with Location values of Print, File, or None. The selection of the 'Notify by e-mail' check box sends an email to the recipient to notify them that the distribution is available.\n\n## Customer Variables\n\nThis field contains any information that you might need to pass to the customizable user exits. For example, if this distribution requires special spool file allocation options, you can enter the information in this field. The preallocation exit can then use the information to change the spool file allocation parameters. For our example, we leave this field blank.\n\n## Account\n\nThis field is optional. This field specifies the name to use on the JCL job card. For our example, we leave this field blank.\n\n## Distribution Method\n\nThe distribution method controls the scheduling and processing of the distribution. Because we want the distribution to be processed while the documents are loaded, we select the Loaded method.\n\nThe following distribution methods are available:", - "page_start": 347, - "page_end": 347, - "source_file": "sg246915.pdf" - }, - { - "text": "Consider the following points about event notifications:\n\n - - Select Error if you want the user to receive messages about problems, such as hardware failures, that must be resolved immediately.\n\nImportant: Browse to Recommended Actions to run the fix procedures on these notifications.\n\n - - Select Warning if you want the user to receive messages about problems and unexpected conditions. Investigate the cause immediately to determine any corrective action.\n\nImportant: Browse to Recommended Actions to run the fix procedures on these notifications.\n\n - - Select Info if you want the user to receive messages about expected events. No action is required for these events.\n\nTo remove an SNMP server, click the Minus sign ( -). To add another SNMP server, click the Plus sign ( + ).\n\n## Syslog notifications\n\nThe syslog protocol is a standard protocol for forwarding log messages from a sender to a receiver on an IP network. The IP network can be IPv4 or IPv6. The system can send syslog messages that notify personnel about an event. You can use the Syslog pane to view the Syslog messages that are sent by the IBM Storwize V7000. To view the Syslog configuration, use the System pane and point to Settings and click Notification → Syslog (see Figure 5-55).\n\nFigure 5-55 Setting Syslog messages\n\n", - "page_start": 185, - "page_end": 185, - "source_file": "sg247938.pdf" - }, - { - "text": "Consider the following points about event notifications:\n\n - - Select Error if you want the user to receive messages about problems, such as hardware failures, that require prompt action.\n\nImportant: Browse to Recommended Actions to run the fix procedures on these notifications.", - "page_start": 743, - "page_end": 743, - "source_file": "sg247938.pdf" - }, - { - "text": "Consider the following points about event notifications:\n\n - - Select Error if you want the user to receive messages about problems, such as hardware failures, that must be resolved immediately.\n\nImportant: Browse to Recommended Actions to run the fix procedures on these notifications.", - "page_start": 746, - "page_end": 746, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are the 3 prerequisites to be elligible as president of Botswana ?", - "target_page": 18, - "target_passage": "A person shall be qualified for election as President if, and shall not be qualified unless, he or she- (a) is a citizen of Botswana by birth or descent; (b) has attained the age of 30 years; and (c) is qualified to be elected as a Member of the National Assembly", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "- (1) W henever P arliam ent is dissolved an election shall be held to the office of President in such m anner as is prescribed by this section and, subject thereto, by or under an A ct of P arliam ent.\n - (2) N om inations in the election of a P resident shall be delivered to the returning officer on such day and at such tim e as m ay be prescribed by or under any law for the tim e being in force in B otsw ana; the nom ination of a candidate in an election of a President shall not be valid unless it is supported, in such m anner as m ay be prescribed by or under an A ct of P arliam ent, by not less than 1000 persons registered as voters for the purpose of elections to the A ssem bly.\n - (3) The follow ing provisions shall then apply-\n - ( a ) a person nom inated as a P arliam entary candidate m ay, at the tim e of his or her nom ination and subject to the provisions of paragraph ( b ), declare in such m anner as m ay be prescribed by or under an A ct of P arliam ent w hich of the candidates in the election of P resident he or she supports, but the nom ination of a P arliam entary candidate shall be valid notw ithstanding that the nom ination paper does not contain such a declaration;\n - ( b ) such a declaration shall not be m ade in relation to any P residential candidate unless that candidate has signified, in such m anner as m ay be prescribed by or under an A ct of P arliam ent, his or her consent to the m aking of a declaration in his or her favour by that P arliam entary candidate;\n - ( c ) w here the P arliam entary election is contested in any constituency a poll shall be taken in that constituency at w hich the votes shall be given by ballot, and for the purposes of that poll any P arliam entary candidate w ho declared support in accordance w ith paragraph ( a ) for a particular P residential candidate shall use the sam e voting colour and sym bol, if any, as m ay have been allocated under any law for the tim e being in force in B otsw ana to that P residential candidate for the purposes of the P residential election;\n - ( d ) the returning officer shall declare to be elected as P resident any candidate for w hom support has been declared in accordance w ith paragraph ( a ) above by not less than such num ber of persons elected as M em bers of the N ational Assem bly in the P arliam entary election as corresponds to m ore than half the total num ber of seats for E lected M em bers in the A ssem bly, and if there is no such person the returning officer shall declare that no candidate has been elected.", - "page_start": 16, - "page_end": 16, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- for local governm ent; and\n - ( c ) select a M em ber to the N tlo ya D ikgosi for that region by election or in such other m anner as the R egional E lectoral C ollege m ay agree.\n\n(5) N otw ithstanding the provisions of section 77(1)( a ) and subsections (2) and (4)( c ) of this section, the areas of G hanzi and K galagadi shall each have the option of either selecting one M em ber under subsection (2) of this section or of each selecting tw o regional M em bers under subsection (4)( c ) of this section, but m ay not select M em bers under both subsections.\n\n## 79. Q ualifications for m em bership of N tlo ya D ikgosi\n\n(1) A person shall be qualified to be appointed under section 77(1)( b ) as a M em ber of the N tlo ya D ikgosi if he or she GLYPH<151>\n\n - ( a ) is a citizen of B otsw ana; and\n - ( b ) has attained the age of 21 years.\n\n(2) N o person shall be qualified to be appointed, selected or designated as a M em ber of the N tlo ya D ikgosi if he or she GLYPH<151>", - "page_start": 35, - "page_end": 35, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- ( d ) if he or she is elected as S peaker;\n - ( e ) if he or she is rem oved from office by a resolution of the A ssem bly supported by the votes of not less than tw o-thirds of all the M em bers of the A ssem bly; or ( f ) w hen the A ssem bly first sits after any dissolution of P arliam ent.\n\n## 61. Q ualifications for election to N ational A ssem bly\n\nSubject to the provisions of section 62 of this C onstitution, a person shall be qualified to be elected as a M em ber of the N ational A ssem bly if, and shall not be qualified to be so elected unless-\n\n - ( a ) he or she is a citizen of B otsw ana;\n - ( b ) he or she has attained the age of 18 years;\n - ( c ) he or she is qualified for registration as a voter for the purposes of the election of the E lected M em bers of the N ational A ssem bly and is so registered; and\n - ( d ) he or she is able to speak, and, unless incapacitated by blindness or other physical cause, to read E nglish w ell enough to take an active part in the proceedings of the A ssem bly.\n\n## 62. D isqualifications for m em bership of N ational A ssem bly\n\n(1) N o person shall be qualified to be elected as a M em ber of the N ational Assem bly w ho-", - "page_start": 27, - "page_end": 27, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (3) A list of the candidates nom inated for election by the P resident and the E lected M em bers of the N ational A ssem bly under the foregoing provisions of this paragraph shall be prepared, and each E lected M em ber of the A ssem bly shall be entitled to vote-\n - ( a ) in the case of a general election, for four candidates; and\n - ( b ) in the case of a by-election, for one candidate,\n - on the list so constituted.", - "page_start": 55, - "page_end": 55, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 33. Q ualification for election as P resident\n\n(1) A person shall be qualified for election as P resident if, and shall not be qualified unless, he or she-\n\n - ( a ) is a citizen of B otsw ana by birth or descent;\n - ( b ) has attained the age of 30 years; and\n - ( c ) is qualified to be elected as a M em ber of the N ational A ssem bly.\n\n(2) N otw ithstanding any other law to the contrary, for the purposes of this section and section 39-\n\n - ( a ) the term \"citizen by birth\" shall be understood to include only those persons w ho becam e citizens of B otsw ana prior to the am endm ent of the law relating to citizenship by the C itizenship A ct;\n - ( b ) any person w ho, although his or her father w as a citizen of B otsw ana at the tim e of that person's birth, had, by virtue of his or her having been born outside Botsw ana, to be registered as a citizen of B otsw ana, under the law relating to", - "page_start": 17, - "page_end": 17, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- 3. E lections of S pecially E lected M em bers shall be conducted by the S peaker and, subject to the provisions of this S chedule and of any rules m ade under paragraph 2 thereof, shall be conducted in such m anner as he or she m ay direct.\n - 4. (1) T he P resident shall nom inate four candidates for election in the case of a general election and he or she shall nom inate one candidate for election in the case of a by-election.\n - (2) The nam es of the four candidates or, as the case m ay be, the nam e of the one candidate nom inated for election by the P resident under the foregoing subparagraph shall be presented to the N ational A ssem bly in such m anner as m ay be prescribed, and any E lected M em ber of the Assem bly (other than the P resident if he or she is an E lected M em ber) shall thereupon be entitled to nom inate four candidates for election in the case of a general election and one candidate for election in the case of a by-election.", - "page_start": 55, - "page_end": 55, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (1) There shall be a S peaker of the N ational A ssem bly w ho shall be elected by the M em bers of the A ssem bly from am ong persons w ho are M em bers of the A ssem bly or from am ong persons w ho are not M em bers of the A ssem bly.\n - (2) The P resident, the V ice-P resident, a M inister, an A ssistant M inister or a public officer shall not be qualified to be elected as S peaker.\n - (3) The S peaker shall vacate his or her office-\n - ( a ) if, having been elected from am ong the M em bers of the N ational A ssem bly, he or she ceases to be a M em ber of the A ssem bly otherw ise than by reason of a dissolution of P arliam ent or if he or she is required by virtue of section 68(2) to (3) of this C onstitution, to cease to perform his or her functions as a M em ber of the A ssem bly;\n - ( b ) if any circum stances arise that, if he or she w ere not S peaker, w ould disqualify him for election as such;\n - ( c ) w hen the A ssem bly first sits after any dissolution of P arliam ent; or\n - ( d ) if he or she is rem oved from office by a resolution of the A ssem bly supported by the votes of not less than tw o-thirds of all the M em bers thereof.", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (3) A ny person perform ing the functions of the office of P resident by virtue of subsection (1) or (2) of this section shall not exercise the pow er of the P resident to revoke the appointm ent of V ice-P resident or to dissolve P arliam ent.\n - (4) If the office of P resident becom es vacant, the N ational A ssem bly shall, unless Parliam ent is dissolved, and notw ithstanding that it m ay be prorogued, m eet on the seventh day after the office of P resident becom es vacant, or on such earlier day as m ay be appointed by the S peaker, and shall elect a person to the office in such m anner as is prescribed by the next follow ing subsection and, subject thereto, by or under an A ct of Parliam ent.\n - (5) In an election of a P resident under this section-\n - ( a ) the S peaker shall preside at the m eeting and conduct the election;\n - ( b ) a person m ay be a candidate if and shall not be a candidate unless he or she has been nom inated as a candidate w ith his or her consent prior to the sitting of the N ational A ssem bly at w hich the election takes place, by not less than 10 M em bers of the N ational A ssem bly entitled to vote in that election;\n - ( c ) at the election every M em ber of the A ssem bly except the S peaker shall be entitled to vote;\n - ( d ) the votes of the M em bers of the A ssem bly w ho are entitled to vote shall be given by ballot in such m anner as not to disclose how any particular M em ber voted, and any person w ho receives the votes of m ore than one half of the total num ber of persons entitled to vote shall be declared elected as P resident;\n - ( e ) a person elected as P resident under this section shall assum e the office of President on the day upon w hich he or she is declared to be elected;\n - ( f ) not m ore than three ballots shall be taken unless in the opinion of the S peaker the holding of further ballots is likely to result in the election of a P resident, in", - "page_start": 18, - "page_end": 18, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 109. P ublic S ervice C om m ission\n\n - (1) There shall be a P ublic S ervice C om m ission for B otsw ana w hich shall consist of a C hairm an and not less than tw o nor m ore than four other m em bers.\n - (2) The m em bers of the P ublic S ervice C om m ission shall be appointed by the President.\n - (3) A person shall not be qualified for appointm ent as a m em ber of the P ublic Service C om m ission if he or she is a M em ber of the N ational A ssem bly or a public officer, or is or has w ithin the tw o years im m ediately preceding his or her appointm ent\n\n## 107. [ R epealed. ]", - "page_start": 45, - "page_end": 45, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 60. D eputy S peaker\n\n - (1) There shall be a D eputy S peaker of the N ational A ssem bly w ho shall be elected from am ong the persons w ho are M em bers of the A ssem bly other than the President, the V ice-P resident, M inisters or A ssistant M inisters.\n - (2) The M em bers of the N ational A ssem bly shall elect a person to the office of D eputy S peaker w hen the A ssem bly first sits after any dissolution and, if the office becom es vacant otherw ise than by reason of the dissolution of the A ssem bly, at the first sitting of the A ssem bly after the office becom es vacant.\n - (3) The D eputy S peaker shall vacate his or her office-\n - ( a ) if he or she ceases to be a M em ber of the N ational A ssem bly, otherw ise than by reason of a dissolution of P arliam ent;\n - ( b ) if any circum stances arise that, if he or she w ere not D eputy S peaker, w ould disqualify him or her for election as such;\n - ( c ) if he or she is required, by virtue of section 68(2) to (3) of this C onstitution, to cease to perform his or her functions as a M em ber of the A ssem bly;", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What is the condition to be allowing to access the position of Director of public prosecution in Botswana ?", - "target_page": 25, - "target_passage": "A person shall not be qualified to be appointed to the Office of Director of Public Prosecutions unless he or she is qualified to be appointed to the Office of a Judge of the High Court", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- (b) where the authorised person is a constable, remove P to the place where P is selfisolating;\n - (c) where the authorised person is a constable and it is not practicable or appropriate in the circumstances to take the action in sub-paragraph (a) or (b), remove P to accommodation facilitated by the Secretary of State for the purposes of P's self-isolation.\n - (2) Where an authorised person has reasonable grounds to believe that P is a Schedule 11 passenger, an authorised person may do any of the following for the purpose of ensuring that P complies with the requirements in Schedule 11-\n - (a) give a direction to P, including a direction-\n - (i) that P remain in a particular area of a port to await transportation to accommodation designated for the purposes of Schedule 11,\n - (ii) that P move to a particular place to board transportation designated for the purposes of Schedule 11,\n - (iii) that P board transportation designated for the purposes of Schedule 11 to travel to accommodation designated for the purposes of Schedule 11,\n - (iv) that P remain in the place where P is self-isolating;\n - (b) remove P to accommodation designated for the purposes of Schedule 11.\n - (3) Where an authorised person has reasonable grounds to believe that P is a Schedule 11 passenger and that P has committed an offence under regulation 19(1)(a) or (6), the authorised person may-\n - (a) require P to produce their passport or travel document for examination;\n - (b) detain P for up to three hours;\n - (c) search P and any baggage belonging to P or under P's control, or any vehicle in which P has travelled, for evidence, other than items subject to legal privilege, that relates to the possible commission of an offence under regulation 19(6); and\n - (d) seize and retain any document or article recovered by a search under sub-paragraph (c).\n - (4) Paragraph (3) does not confer a power-\n - (a) to detain or search an unaccompanied child; or\n - (b) to conduct an intimate search.\n - (5) Any search under paragraph (3) must be conducted by an authorised person of the same gender as P.", - "page_start": 17, - "page_end": 17, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- for local governm ent; and\n - ( c ) select a M em ber to the N tlo ya D ikgosi for that region by election or in such other m anner as the R egional E lectoral C ollege m ay agree.\n\n(5) N otw ithstanding the provisions of section 77(1)( a ) and subsections (2) and (4)( c ) of this section, the areas of G hanzi and K galagadi shall each have the option of either selecting one M em ber under subsection (2) of this section or of each selecting tw o regional M em bers under subsection (4)( c ) of this section, but m ay not select M em bers under both subsections.\n\n## 79. Q ualifications for m em bership of N tlo ya D ikgosi\n\n(1) A person shall be qualified to be appointed under section 77(1)( b ) as a M em ber of the N tlo ya D ikgosi if he or she GLYPH<151>\n\n - ( a ) is a citizen of B otsw ana; and\n - ( b ) has attained the age of 21 years.\n\n(2) N o person shall be qualified to be appointed, selected or designated as a M em ber of the N tlo ya D ikgosi if he or she GLYPH<151>", - "page_start": 35, - "page_end": 35, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (i) the conditions in sub-paragraph (2) are met in relation to the person to whom paragraph (b) applies,\n - (ii) the Foreign, Commonwealth and Development Office has been notified of P's arrival, and\n - (iii) the Foreign Commonwealth and Development Office has confirmed that P is not required to comply with this Schedule;\n - (d) a person described in paragraph 16(1)(b) or (c) of Schedule 4 where the relevant Department has certified that P meets that description and that P is not required to comply with this Schedule;\n - (e) a Crown servant or government contractor who is required to undertake essential policing or essential government work in the United Kingdom within the period during which, but for this paragraph, they would have had to self-isolate in accordance with this Schedule, or is returning from conducting such work outside of the United Kingdom, where the relevant Department has certified that P meets this description and that P is not required to comply with this Schedule;", - "page_start": 73, - "page_end": 73, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "ow n procedure.\n\n - (14) E xcept as m ay be otherw ise provided in its rules or procedure, the C om m ission m ay act notw ithstanding any vacancy in its m em bership or the absence of any m em ber and its proceedings shall not be invalidated by the presence or participation of any person not entitled to be present at or to participate in those proceedings.\n - (15) A ny decision of the C om m ission shall require the concurrence of a m ajority of all the m em bers thereof.\n - (16) A m em ber of the C om m ission shall not, during the tenure of his or her office or during the three years im m ediately follow ing such tenure, be eligible for appointm ent to any public office other than that of A m bassador, H igh C om m issioner or other principal representative of B otsw ana in any other country or accredited to any international organization.\n\n## 110. A ppointm ent, etc., of public officers", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "respect to a proposed appointee to the Board and the workings of the Board and its Committees are conveyed in interviews with the Chairman and induction procedures include access to appropriate executives in relation to details of the business of the Company.\n\nThe Chairman of the Board is the Chairman of the Nomination Committee. The current members of the Nomination Committee, all of whom are independent non-executive Directors, are Mr S Gerlach (Chairman), Mr P C Barnett and Mr G W McGregor.\n\n## 3. REVIEW OF BOARD AND EXECUTIVE PERFORMANCE\n\nThe Board Guidelines provide that:\n\n - · non-executive Directors are to be appointed on the basis that their nomination for re-election as a Director is subject to review and support by the Board;\n - · there should be appropriate circumstances justifying reelection after a specified period of service as a Director; and\n - · the contribution of the Board and of individual Directors is the subject of formal review and discussion on a biennial and annual basis, respectively.\n\nAs the biennial review of the Board and of its Committees was conducted by an independent consultant in 2003, no formal performance appraisal of the Board was conducted in 2004.\n\nPerformance evaluation of key executives is undertaken on a quarterly and annual basis by the CEO and summarised in presentation to the\n\nRemuneration Committee of the\n\nBoard, both specifically for determination of remuneration and generally in relation to management succession planning for review by the Board.\n\n## 4. INDEMNITY, ACCESS TO INFORMATION AND INDEPENDENT PROFESSIONAL ADVICE\n\nInformation in respect to indemnity and insurance arrangements for Directors and senior executives appears in the Directors' Statutory Report on page 49 of this Annual Report.\n\nThe Board Guidelines set out the circumstances and procedures pursuant to which a Director, in furtherance of his or her duties, may seek independent professional advice at the Company's expense. Those procedures require prior consultation with, and approval by, the Chairman and assurances as to the qualifications and reasonableness of the fees of the relevant expert and, under normal circumstances, the provision of the expert's advice to the Board.\n\nPursuant to a deed executed by the Company and each Director, a Director also has the right to have access to all documents which have been presented to meetings of the Board or to any Committee of the Board or otherwise made available to the Director whilst in office. This right continues for a term of seven years after ceasing to be a Director or such longer period as is necessary to determine relevant legal proceedings that commenced during that term.\n\n## 5. REMUNERATION\n\nThe role, responsibilities and composition of the Remuneration Committee and details of\n\nthe Company's remuneration objectives and principles, nonexecutive Director remuneration and executive remuneration are set out on pages 37 to 40 of this Annual Report in the Directors' and Executives' Remuneration section, as well as in the Directors' Statutory Report and in Notes 18 and 26 of the Financial Statements.\n\nDetails of the nature and amount of the remuneration of:\n\n - · the Directors; and\n - · the Specified Executives;\n\nare set out on pages 37 to 40 of this Annual Report.\n\n## 6. AUDIT COMMITTEE", - "page_start": 32, - "page_end": 32, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | Pow er to specify qualifications for certain offices |\n| 108. | |\n| 110. | Public S ervice C om m ission Appointm ent, etc., of public officers |\n| 111. | |", - "page_start": 2, - "page_end": 2, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "reasonable grounds for know ing that he or she is not entitled to do so shall be liable to a penalty not exceeding P 50 or such other sum as m ay be prescribed by P arliam ent for each day on w hich he or she so sits or votes in the A ssem bly, w hich shall be recoverable by action in the H igh C ourt at the suit of the A ttorney-G eneral.\n\n## 76. R egulation of procedure in A ssem bly\n\n(1) S ubject to the provisions of this C onstitution, the N ational A ssem bly m ay regulate its ow n procedure.\n\n - (2) The N ational A ssem bly m ay act notw ithstanding any vacancy in its m em bership (including any vacancy not filled w hen the A ssem bly first m eets after any dissolution) and the presence or participation of any person not entitled to be present or to participate in the proceedings of the A ssem bly shall not invalidate those proceedings.\n\n## P A R T III\n\n## N tlo ya D ikgosi (ss 77-85)\n\n## 77. Establishm ent and com position of N tlo ya D ikgosi\n\n(1) There shall be a N tlo ya D ikgosi for B otsw ana w hich shall consist of not less than 33 nor m ore than 35 M em bers w hich shall be constituted as follow s GLYPH<151>", - "page_start": 34, - "page_end": 34, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (d) the Secretary of State has confirmed in writing that this paragraph applies in relation to P and has not withdrawn that confirmation.\n - (4) P is also a relevant person if-\n - (a) P is vulnerable as a result of a severe medical or health condition;\n - (b) P would not receive appropriate support in designated accommodation and that condition would be severely detrimentally impacted if P were required to self-isolate in such accommodation;\n - (c) P has provided evidence from a suitably qualified or registered medical practitioner of the matters specified in paragraphs (a) and (b); and", - "page_start": 78, - "page_end": 78, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "(1) The H igh C ourt shall have jurisdiction to hear and determ ine any question w hether-\n\n - ( a ) any person has been validly elected as an E lected M em ber of the N ational Assem bly or the seat of any such M em ber has becom e vacant;\n - ( b ) any person has been validly elected as S peaker of the A ssem bly or, having been so elected, has vacated the office of S peaker.\n\n(2) A ny question w hether any person has been validly elected as a S pecially Elected M em ber of the N ational A ssem bly or w hether the seat of any such M em ber has becom e vacant shall be determ ined by the S peaker.\n\n - (3) P arliam ent m ay m ake provision w ith respect to-\n - ( a ) the persons w ho m ay apply to the H igh C ourt for the determ ination of any question under this section;\n - ( b ) the circum stances and m anner in w hich the conditions upon w hich any such application m ay be m ade; and\n - ( c ) the pow ers, practice and procedure of the H igh C ourt in relation to any such application.\n\n## 70. C lerk of the A ssem bly\n\n(1) There shall be a C lerk of the N ational A ssem bly and an A ssistant C lerk of the N ational A ssem bly and their offices shall be offices in the public service.", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 51. A ttorney-G eneral\n\n - (1) There shall be an A ttorney-G eneral appointed by the P resident w hose office shall be a public office.\n - (2) A person shall not be qualified to be appointed to the O ffice of A ttorney-", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "Botswana-constitution.pdf", - "query": "What are considered \"disciplined force\" according to Botswana constitution ?", - "target_page": 16, - "target_passage": "\"disciplined force\" means- (a) a naval, military or air force; (b) a police force; or (c) a prison service", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "\"legal representative\" m eans a person entitled to practise in B otsw ana as an advocate or attorney;\n\n - \"m em ber\" , in relation to a disciplined force, includes any person w ho, under the law regulating the discipline of that force, is subject to that discipline.\n - (2) In relation to any person w ho is a m em ber of a disciplined force raised under an A ct of P arliam ent, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent w ith or in contravention of any of the provisions of this C hapter other than sections 4, 6 and 7.\n - (3) In relation to any person w ho is a m em ber of a disciplined force raised otherw ise than as aforesaid and law fully present in B otsw ana, nothing contained in or done under the authority of the disciplinary law of that force shall be held to be inconsistent w ith or in contravention of any of the provisions of this C hapter.\n\nC H A P TE R III\n\nC itizenship (ss 20-29: repealed)\n\n20 to 29 inclusive.\n\n[ R epealed. ]\n\nC H A P TE R IV\n\nThe Executive (ss 30-56)\n\nP A R T I\n\nThe President and the V ice-P resident (ss 30-41)\n\n## 30. O ffice of P resident\n\nThere shall be a P resident of the R epublic of B otsw ana w ho shall be the H ead of\n\nState.\n\n## 31. First P resident\n\n - (1) The first P resident shall be the person w ho im m ediately before 30th Septem ber, 1966 holds the office of P rim e M inister under the C onstitution.\n - (2) The first P resident shall be deem ed to have assum ed office at the com ing into operation of this C onstitution.", - "page_start": 15, - "page_end": 15, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- court to try a m em ber of a disciplined force for a crim inal offence notw ithstanding any trial and conviction or acquittal of that m em ber under the disciplinary law of that force, so, how ever, that any court so trying such a m em ber and convicting him or her shall in sentencing him or her to any punishm ent take into account any punishm ent aw arded him or her under that disciplinary law ;\n - ( e ) subsection (8) of this section to the extent that the law in question authorizes a court to convict a person of a crim inal offence under any custom ary law to w hich, by virtue of that law , such person is subject.\n - (13) In the case of any person w ho is held in law ful detention, the provisions of subsection (1), subsection (2)( d ) and ( e ) and subsection (3) of this section shall not apply in relation to his or her trial for a crim inal offence under the law regulating the discipline of persons held in such detention.\n - (14) In this section \"crim inal offence\" m eans a crim inal offence under the law in force in B otsw ana.\n\n## 11. Protection of freedom of conscience", - "page_start": 10, - "page_end": 10, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(2) N otw ithstanding the provisions of subsection (1)( a ), the num ber of persons referred to in that subsection m ay, by virtue of section 78 (5), be less than 12, but not less than 10.\n\n - 78. D esignation and selection of M em bers to N tlo ya D ikgosi (1) E xcept for the areas of G hanzi, C hobe, K galagadi and N orth E ast, the M em bers for the areas referred to in section 77(1)( a ) shall be designated to the N tlo ya D ikgosi according to the established norm s and practices of those areas.\n\n(2)The M em bers for the G hanzi, C hobe, K galagadi and N orth-E ast areas referred to in section 77(1)( a ) shall be selected, from their ow n num ber, to the N tlo ya D ikgosi by persons for the tim e being perform ing the functions of the office of K gosi w ithin each of those areas.\n\n - (3) For the purpose of selecting the M em bers under section 77(1)( c ), there shall be 20 regions, as listed in the S econd S chedule to this C onstitution, the boundaries of w hich shall be defined by an A ct of P arliam ent.\n - (4) There shall be a R egional E lectoral C ollege for each region com posed of paid D ikgosana from that region up to and including a K gosi, w hich shall GLYPH<151>\n - ( a ) w hen necessary, m eet at a K gotla or other suitable venue;\n - ( b ) be chaired by a senior governm ent official appointed by the M inister responsible", - "page_start": 34, - "page_end": 34, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- ( a ) is, by virtue of his or her ow n act, under any acknow ledgem ent of allegiance, obedience or adherence to a foreign pow er or state;\n - ( b ) has been declared insolvent or adjudged or otherw ise declared bankrupt under any law for the tim e being in force in B otsw ana and has not been discharged, or has m ade a com position w ith his or her creditors and has not paid his or her debts in full;\n - ( c ) is certified to be insane or otherw ise adjudged or declared to be of unsound m ind under any law for the tim e being in force in B otsw ana;\n - ( d ) is a M em ber of the N tlo ya D ikgosi ;\n - ( e ) subject to such exceptions as m ay be prescribed by P arliam ent, holds any public office, or is acting in any public office by virtue of a contract of service expressed to continue for a period exceeding six m onths;\n - ( f ) is under sentence of death im posed on him or her by a court in any part of the C om m onw ealth, or is under a sentence of im prisonm ent (by w hatever nam e called) exceeding six m onths im posed on him or her by such a court or substituted by com petent authority for som e other sentence im posed on him or her by such a court;\n - ( g ) holds, or is acting in, any office the functions of w hich involve any responsibility for, or in connection w ith, the conduct of any elections to the A ssem bly or the com pilation or revision of any electoral register for the purposes of such elections.", - "page_start": 27, - "page_end": 27, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 41. Protection of P resident in respect of legal proceedings\n\n - (1) W hilst any person holds or perform s the functions of the office of P resident no crim inal proceedings shall be instituted or continued against him or her in respect of anything done or om itted to be done by him or her either in his or her official capacity or in his or her private capacity and no civil proceedings shall be instituted or continued in respect of w hich relief is claim ed against him or her in respect of anything done or om itted to be done in his or her private capacity.\n - (2) W here provision is m ade by law lim iting the tim e w ithin w hich proceedings of any description m ay be brought against any person, the term of any person in the office of P resident shall not be taken into account in calculating any period of tim e prescribed by that law w hich determ ines w hether any such proceedings as are m entioned in subsection (1) of this section m ay be brought against that person.\n\n## P A R T II\n\n## The C abinet (ss 42-46)\n\n## 42. M inisters and A ssistant M inisters\n\n - (1) There shall be such offices of M inister of the G overnm ent (not exceeding six or such other num ber as P arliam ent m ay from tim e to tim e provide) as m ay be established by P arliam ent or, subject to the provisions of any A ct of P arliam ent, by the President.\n - (2) There shall be such offices of A ssistant M inister (not exceeding three or such num ber as P arliam ent m ay from tim e to tim e provide) as m ay be established by Parliam ent or, subject to the provisions of any A ct of P arliam ent, by the P resident.\n - (3) A ppointm ents to the office of M inister or A ssistant M inister shall be m ade by the P resident from am ong M em bers of the N ational A ssem bly:\n\n## Provided that-\n\n - (i) not m ore than four persons m ay be appointed as M inister or A ssistant M inister from am ongst persons w ho are not M em bers of the A ssem bly but are qualified for election as such; and\n - (ii) if occasion arises for m aking an appointm ent to the office of a M inister or an Assistant M inister w hile P arliam ent is dissolved a person w ho w as a M em ber of the A ssem bly before the dissolution m ay be appointed as a M inister or an", - "page_start": 21, - "page_end": 21, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (vii) Kgalagadi D istrict,\n - (viii) Kgatleng D istrict,\n - (ix) Kw eneng D istrict,\n - (x) N gw aketse in the S outhern D istrict,\n - (xi) N orth E ast D istrict, and\n - (xii) Tlokw eng in the S outh E ast D istrict;\n - ( b ) five persons w ho shall be appointed by the P resident; and", - "page_start": 34, - "page_end": 34, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (1) P ow er to appoint persons to hold or act in offices to w hich this section applies, to exercise disciplinary control over persons holding or acting in such offices and to rem ove such persons from office shall vest in the P resident acting in accordance w ith the advice of the Judicial S ervice C om m ission.\n - (2) The offices to w hich this section applies are-\n - ( a ) the office of R egistrar of the C ourt of A ppeal and H igh C ourt;\n - ( b ) all offices of m agistrate;\n - ( c ) such other offices of P resident or m em ber of any court or connected w ith any court as m ay be prescribed by or under an A ct of P arliam ent.", - "page_start": 45, - "page_end": 45, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- ( d ) for the application in the case of m em bers of a particular race, com m unity or tribe of custom ary law w ith respect to any m atter w hether to the exclusion of any law in respect to that m atter w hich is applicable in the case of other persons or not; or\n - ( e ) w hereby persons of any such description as is m entioned in subsection (3) of this section m ay be subjected to any disability or restriction or m ay be accorded any privilege or advantage w hich, having regard to its nature and to special circum stances pertaining to those persons or to persons of any other such description, is reasonably justifiable in a dem ocratic society.\n - (5) N othing contained in any law shall be held to be inconsistent w ith or in contravention of subsection (1) of this section to the extent that it m akes reasonable provision w ith respect to qualifications for service as a public officer or as a m em ber of a disciplined force or for the service of a local governm ent authority or a body corporate established directly by any law .\n - (6) S ubsection (2) of this section shall not apply to anything w hich is expressly or by necessary im plication authorized to be done by any such provision of law as is referred to in subsection (4) or (5) of this section.\n - (7) N othing contained in or done under the authority of any law shall be held to be inconsistent w ith or in contravention of this section to the extent that the law in question m akes provision w hereby persons of any such description as is m entioned in subsection (3) of this section m ay be subjected to any restriction on the rights and freedom s guaranteed by sections 9, 11, 12, 13 and 14 of this C onstitution, being such a restriction as is authorized by section 9(2), 11(5), 12(2) 13(2), or 14(3), as the case m ay be.\n - (8) N othing in subsection (2) of this section shall affect any discretion relating to the institution, conduct or discontinuance of civil or crim inal proceedings in any court that is vested in any person by or under this C onstitution or any other law .\n - (9) N othing contained in or done under the authority of any law shall be held to be inconsistent w ith the provisions of this section-\n - ( a ) if that law w as in force im m ediately before the com ing into operation of this C onstitution and has continued in force at all tim es since the com ing into operation of this C onstitution; or\n - ( b ) to the extent that the law repeals and re-enacts any provision w hich has been contained in any w ritten law at all tim es since im m ediately before the com ing into operation of this C onstitution.\n\n## 16. D erogation from fundam ental rights and freedom s", - "page_start": 13, - "page_end": 13, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 57. Parliam ent\n\n - There shall be a P arliam ent of B otsw ana w hich shall consist of the P resident and a N ational A ssem bly.\n\n## 58. C om position of N ational A ssem bly\n\n - (1) The P resident shall be ex-officio a m em ber of the N ational A ssem bly, and shall be entitled to speak and to vote in all proceedings of the N ational A ssem bly.\n - (2) In addition to the P resident the N ational A ssem bly shall consist of-\n - ( a ) 57 E lected M em bers w ho shall be elected in accordance w ith the provisions of this C onstitution and subject thereto in accordance w ith the provisions of any Act of P arliam ent; and\n - ( b ) four S pecially E lected M em bers w ho shall be elected in accordance w ith the First S chedule to this C onstitution and subject thereto in accordance w ith the provisions of any A ct of P arliam ent.\n - (3) If a person w ho is not a m em ber of the N ational A ssem bly is elected to the office of S peaker of the N ational A ssem bly, that person shall, by virtue of holding that office, be a m em ber of the A ssem bly in addition to the m em bers referred to in subsections (1) and (2) of this section.\n\n## 59. Speaker", - "page_start": 26, - "page_end": 26, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## P A R T III\n\n## Executive Functions (ss 47-56)\n\n## 47. Functions of P resident\n\n - (1) The executive pow er of B otsw ana shall vest in the P resident and, subject to the provisions of this C onstitution, shall be exercised by him or her either directly or through officers subordinate to him or her.\n - (2) In the exercise of any function conferred upon him or her by this C onstitution or any other law the P resident shall, unless it is otherw ise provided, act in his or her ow n deliberate judgm ent and shall not be obliged to follow the advice tendered by any other", - "page_start": 22, - "page_end": 22, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "How much does AWS lambda charge when the function is not running ?", - "target_page": 52, - "target_passage": "there is no charge when your code is not running", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "'No Server Is Easier To Manage Than No Server' - Werner Vogels, VP and CTO\n\nThe Lambda service runs instances of your function only when needed and scales automatically from zero requests per day to thousands per second. You pay only for the compute time that's actually used - there is no charge when your code is not running.\n\n## Fundamentals\n\nServerless solutions are based on event-driven architecture, or EDA, where services send and receive events , which represent an update or change in state. The primary activity of Lambda functions is to process events.\n\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a container image. All interaction with the code occurs through the Lambda API. There is no direct invocation of functions from outside of the Lambda service.\n\n\n\nWhat you will learn on your journey to building applications with Lambda:\n\n - · How the event-driven programming model invokes Lambda functions\n - · How to create, invoke, test, update, package, and secure functions\n - · How the execution and runtime environment runs your functions\n - · How to view logs and monitor your functions\n - · Where to find hands-on opportunities to learn how to invoke functions", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "After the handler finishes processing the first event, the runtime sends it another, and another. Each instance of your function could process thousands of requests.\n\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by an event, this is called an invocation . Lambda functions are limited to 15 minutes in duration, but on average, across all AWS customers, most invocations last for less than a second.\n\nThere are many types of invocation events. Some examples:\n\n - · HTTP request from API Gateway\n - · Schedule managed by an EventBridge rule\n - · Message from an IOT device\n - · Notification that a file was uploaded to an S3 bucket\n\nEven the smallest Lambda-based application uses at least one event that invokes your function.\n\n## How Lambda invokes your function (runtime environment)\n\nLambda invokes your function in an execution environment , which contains a secure and isolated runtime environment .\n\n - · A runtime provides a language-specific environment which relays invocation events, context information, and responses between the Lambda and your functions.\n - · An execution environment manages the processes and resources that are required to run the function.\n\n", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "could be listening. The handler function might create and send another event to an SNS queue so that alerts for high temperature are sent to users through SMS messages.\n\nThe function finally wraps up the JSON weather data into a new event and sends it back to API gateway. Afterward, the function continues to handle hundreds of additional requests. Request from users slow down after 2AM, so after some time the Lambda service will tear down the function execution environment to conserve resources. As a Customer, you will only be charged for function usage.\n\n\n\n", - "page_start": 38, - "page_end": 38, - "source_file": "serverless-core.pdf" - }, - { - "text": "## Related resources:\n\n - · Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n - · Lambda Extensions - official documentation\n\n## Launch functions faster with SnapStart\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\n\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n## Related resources:\n\n - · Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "initialization duration, and other details. If your function throws an error, the runtime returns that error to the invoker.\n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has a command called sam logs which will show you CloudWatch Logs generated by your Lambda function.\n\nFor example, the following terminal command would show the live tail of logs generated by the YourLambdaFunctionName Lambda function:\n\n```\nsam logs -n YourLambdaFunctionName --tail\n```\n\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for debugging.\n\n## Securing functions\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. Lambda is fully integrated with IAM, allowing you to control precisely what each Lambda function can do within the AWS Cloud. There are two important things that define the scope of permissions in Lambda functions:\n\n - · resource policy : Defines which events are authorized to invoke the function.\n - · execution role policy : Limits what the Lambda function is authorized to do.\n\n\n\nUsing IAM roles to describe a Lambda function's permissions, decouples security configuration from the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\n\nA Lambda function's resource and execution policy should be granted the minimum required permissions for the function to perform it's task effectively. This is sometimes referred to as the rule of least privilege. As you develop a Lambda function, you expand the scope of this policy to allow access to other resources as required.", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "\n\nMany traditional systems are designed to run periodically and process batches of transactions that have built up over time. For example, a banking application may run every hour to process ATM transactions into central ledgers. In Lambda-based applications, the custom processing should be triggered by every event, allowing the service to scale up concurrency as needed, to provide nearreal time processing of transactions.\n\nWhile you can run cron tasks in serverless applications by using Amazon EventBridge Scheduler, consider the size of each batch of data that your event sends to Lambda. In this scenario, there is potential for the volume of transactions to grow beyond what can be processed within the 15minute Lambda timeout. If the limitations of external systems force you to use a scheduler, you should generally schedule for the shortest reasonable recurring time period.\n\nFor example, it's not best practice to use a batch process that triggers a Lambda function to fetch a list of new Amazon S3 objects. This is because the service might receive more new objects in between batches than can be processed within a 15-minute Lambda function.", - "page_start": 24, - "page_end": 24, - "source_file": "serverless-core.pdf" - }, - { - "text": "- · Policies that grant least privilege to your functions\n\nWorkshop - Intro to Serverless - Before diving too deep, you can choose to try out serverless in a workshop or tutorial. Connect to a data source and create a REST API with your first Lambda function.'\n\n - · Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\n\n## Programming Model\n\nThe Lambda service provides the same event-based programming model for all languages. The Lambda runtime passes an invocation event and context to your Lambda function handler which does some work and produces a resulting event:\n\n\n\nThe invocation event contains data, as a JSON packet, which varies from service to service. For example, API gateway events include path, HTTP method, query string parameters, headers, cookies, and more. DynamoDB events could contain updated or delete record data. S3 events include the bucket name and object key, among other things.\n\nThe context contains information about the environment the function is running inside. Additional contextual information can be set in familiar environment variables (ENV).\n\nThe function handler is a method in your function code that processes the inbound event. The handler, which is a standard function in your language of choice, does some work and emits a result event .", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "```\n{ public string FunctionHandler(string input, ILambdaContext context) { context.Logger.LogLine($\"Transforming {input} to upper case\"); return input.ToUpper(); } }\n```\n\nHandlers in interpreted languages can be deployed directly through the web-based AWS Management Console. Compiled languages, such as Java and C#, or functions that use external libraries are deployed using .zip file archives or container images. Because of that additional process, this guide will focus on Python for examples.\n\nRegardless of language, Lambda functions will generally return a response event on successful completion. The following program listing is an example response event to send back to API Gateway so that it can handle a request:\n\n```\n{ \"statusCode\": 200, \"headers\": { \"Content-Type\": \"application/json\" }, \"isBase64Encoded\": false, \"multiValueHeaders\": { \"X-Custom-Header\": [\"My value\", \"My other value\"], }, \"body\": \" \\n{ TotalCodeSize\\\": 104330022,\\n FunctionCount\\\": 26\\n}\" }\n```\n\n## How to write logs with serverless applications\n\nYou might have noticed the logging statements in the preceding handler code. Where do those log messages go?\n\nDuring invocation, the Lambda runtime automatically captures function output to Amazon CloudWatch.\n\nIn addition to logging your function's output, the runtime also logs entries when function invocation starts and ends. This includes a report log with the request ID, billed duration,", - "page_start": 58, - "page_end": 58, - "source_file": "serverless-core.pdf" - }, - { - "text": "You can use runtimes that Lambda provides for JavaScript (Node.js), TypeScript, Python, Java, Python, Go, C#, and PowerShell, or you can build your own custom runtime environment inside of a container.\n\nIf you package your code as a .zip file archive, you must configure your function to use a runtime that matches your programming language. For a container image, you include the runtime when you build the image.\n\n## How to process events with a Lambda handler\n\nConceptually, there are only three steps to processing events with Lambda:\n\n - 1. Configure the entry point to your function, known as the handler , and deploy the function.\n - 2. Lambda service initializes the function, then it invokes the handler with an invocation event and context.\n - 3. Your handler function processes the event and returns a response event.\n\nSubsequent events will invoke the handler again, without the initialization delay. During this cycle, the function stays in memory, so clients and variables declared outside of the handler method can be reused.\n\nAfter a period of time, Lambda will eventually tear down the runtime. This can happen for a variety of reasons; some examples: scaling down to conserve resources, updating the function, updating the runtime.\n\nThe function handler is the essential component of your function code. As noted previously, the handler is the entry point, but it may not be the only function in your code. In fact, a best practice is keeping the handler sparse and doing the actual processing in other functions in your code.\n\nHere are some example handlers :\n\n## Python\n\n```\n# Example handler method in Python def lambda\\_handler(event, context): message = 'Hello {} {}!'.format(event['first\\_name'], event['last\\_name']) return { 'message' : message }\n```", - "page_start": 56, - "page_end": 56, - "source_file": "serverless-core.pdf" - }, - { - "text": "## Examples:\n\n - · Websites - Suppose you are creating a website and you want to host the back-end logic on Lambda. You can invoke your Lambda function over HTTP using Amazon API Gateway as the HTTP endpoint. Now, your web client can invoke the API, and then API Gateway can route the request to Lambda. You can also implement route authentication and authorization by integrating Amazon Cognito with API Gateway\n - · Mobile applications - Suppose you have a custom mobile application that produces events. You can create a Lambda function to process events published by your custom application. For example, you can configure a Lambda function to process the clicks within your custom mobile application.\n\nTo implement synchronous processing in similar scenarios, you can use the following AWS services together.\n\n - · AWS Lambda - For compute processing tasks.\n - · Amazon API Gateway - For connecting and scaling inbound requests.\n - · AWS Step Functions - For managing and orchestrating microservice workflows.\n - · Amazon DynamoDB & S3 - For storing and retrieving data and files.\n - · Amazon Cognito for authentication and authorization of users.\n\n## Streaming\n\nStreaming data lets you to gather analytical insights from your application and process them in real-time. Streaming typically presents a unique set of design and architectural challenges.\n\nLambda and Amazon Kinesis can process real-time streaming data for application activity tracking, transaction order processing, click-stream analysis, data cleansing, log filtering, indexing, social media analysis, Internet of Things (IoT) device data telemetry, and metering.\n\n - · Data and analytics - Suppose you are building an analytics application and storing raw data in a DynamoDB table. When you write, update, or delete items in a table, DynamoDB streams can publish item update events to a stream associated with the table. In this case, the event data provides the item key, event name (such as insert, update, and delete), and other relevant details. You can write a Lambda function to generate custom metrics by aggregating raw data.\n - · Monitoring metrics - Amazon Prime Video monitors metrics from devices worldwide to ensure quality-of-service. The team chose Amazon Kinesis Data Streams to deliver video stream", - "page_start": 9, - "page_end": 9, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "What is the role of resource policies of lambda functions ?", - "target_page": 60, - "target_passage": "resource policy: Defines which events are authorized to invoke the function.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## Related resources:\n\n - · Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n - · Lambda Extensions - official documentation\n\n## Launch functions faster with SnapStart\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\n\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n## Related resources:\n\n - · Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "'No Server Is Easier To Manage Than No Server' - Werner Vogels, VP and CTO\n\nThe Lambda service runs instances of your function only when needed and scales automatically from zero requests per day to thousands per second. You pay only for the compute time that's actually used - there is no charge when your code is not running.\n\n## Fundamentals\n\nServerless solutions are based on event-driven architecture, or EDA, where services send and receive events , which represent an update or change in state. The primary activity of Lambda functions is to process events.\n\nWithin the Lambda service, your function code is stored in a code package, deployed as a .zip or a container image. All interaction with the code occurs through the Lambda API. There is no direct invocation of functions from outside of the Lambda service.\n\n\n\nWhat you will learn on your journey to building applications with Lambda:\n\n - · How the event-driven programming model invokes Lambda functions\n - · How to create, invoke, test, update, package, and secure functions\n - · How the execution and runtime environment runs your functions\n - · How to view logs and monitor your functions\n - · Where to find hands-on opportunities to learn how to invoke functions", - "page_start": 51, - "page_end": 51, - "source_file": "serverless-core.pdf" - }, - { - "text": "- · Resizing images\n - · Generating dynamic PDFs from customer data\n\nIn traditional applications, you write code to do these tasks. You organize that code into functions . You put the function code inside an application framework. Whichever framework you picked will run inside a language dependent runtime environment. Finally, that runtime environment will be hosted on a virtual or physical server.\n\nSetting up, configuring and maintaining the frameworks, runtime environments, and virtual or physical infrastructure slows down your delivery of features, bug fixes, and improvements.\n\n## What is Lambda?\n\nIn Lambda, you write function code. Lambda runs the functions. That's it. There are no servers.\n\n", - "page_start": 50, - "page_end": 50, - "source_file": "serverless-core.pdf" - }, - { - "text": "- · Policies that grant least privilege to your functions\n\nWorkshop - Intro to Serverless - Before diving too deep, you can choose to try out serverless in a workshop or tutorial. Connect to a data source and create a REST API with your first Lambda function.'\n\n - · Services used: AWS Management Console, Lambda, DynamoDB, API Gateway\n\n## Programming Model\n\nThe Lambda service provides the same event-based programming model for all languages. The Lambda runtime passes an invocation event and context to your Lambda function handler which does some work and produces a resulting event:\n\n\n\nThe invocation event contains data, as a JSON packet, which varies from service to service. For example, API gateway events include path, HTTP method, query string parameters, headers, cookies, and more. DynamoDB events could contain updated or delete record data. S3 events include the bucket name and object key, among other things.\n\nThe context contains information about the environment the function is running inside. Additional contextual information can be set in familiar environment variables (ENV).\n\nThe function handler is a method in your function code that processes the inbound event. The handler, which is a standard function in your language of choice, does some work and emits a result event .", - "page_start": 54, - "page_end": 54, - "source_file": "serverless-core.pdf" - }, - { - "text": "After the handler finishes processing the first event, the runtime sends it another, and another. Each instance of your function could process thousands of requests.\n\nUnlike traditional servers, Lambda functions do not run constantly. When a function is triggered by an event, this is called an invocation . Lambda functions are limited to 15 minutes in duration, but on average, across all AWS customers, most invocations last for less than a second.\n\nThere are many types of invocation events. Some examples:\n\n - · HTTP request from API Gateway\n - · Schedule managed by an EventBridge rule\n - · Message from an IOT device\n - · Notification that a file was uploaded to an S3 bucket\n\nEven the smallest Lambda-based application uses at least one event that invokes your function.\n\n## How Lambda invokes your function (runtime environment)\n\nLambda invokes your function in an execution environment , which contains a secure and isolated runtime environment .\n\n - · A runtime provides a language-specific environment which relays invocation events, context information, and responses between the Lambda and your functions.\n - · An execution environment manages the processes and resources that are required to run the function.\n\n", - "page_start": 55, - "page_end": 55, - "source_file": "serverless-core.pdf" - }, - { - "text": "initialization duration, and other details. If your function throws an error, the runtime returns that error to the invoker.\n\nTo help simplify troubleshooting, the AWS Serverless Application Model CLI (AWS SAM CLI) has a command called sam logs which will show you CloudWatch Logs generated by your Lambda function.\n\nFor example, the following terminal command would show the live tail of logs generated by the YourLambdaFunctionName Lambda function:\n\n```\nsam logs -n YourLambdaFunctionName --tail\n```\n\nLogging and debugging go hand in hand. Traces of events are available with Amazon X-Ray for debugging.\n\n## Securing functions\n\nAWS Identity and Access Management (IAM) is the service used to manage access to AWS services. Lambda is fully integrated with IAM, allowing you to control precisely what each Lambda function can do within the AWS Cloud. There are two important things that define the scope of permissions in Lambda functions:\n\n - · resource policy : Defines which events are authorized to invoke the function.\n - · execution role policy : Limits what the Lambda function is authorized to do.\n\n\n\nUsing IAM roles to describe a Lambda function's permissions, decouples security configuration from the code. This helps reduce the complexity of a lambda function, making it easier to maintain.\n\nA Lambda function's resource and execution policy should be granted the minimum required permissions for the function to perform it's task effectively. This is sometimes referred to as the rule of least privilege. As you develop a Lambda function, you expand the scope of this policy to allow access to other resources as required.", - "page_start": 59, - "page_end": 59, - "source_file": "serverless-core.pdf" - }, - { - "text": "## Connect to functions with Function URLs\n\nA function URL is a dedicated HTTP(S) endpoint for your Lambda function. You can create and configure a function URL through the Lambda console or the Lambda API. When you create a function URL, Lambda automatically generates a unique URL endpoint for you. Once you create a function URL, its URL endpoint never changes. Function URL endpoints have the following format:\n\n```\nhttps://.lambda-url..on.aws\n```\n\nAfter you configure a function URL for your function, you can invoke your function through its HTTP(S) endpoint with a web browser, curl, Postman, or any HTTP client.\n\nRelated resources:\n\n - · Function URLs - official documentation\n\n## Additional resources\n\nOfficial AWS documentation:\n\n - · AWS Lambda Developer Guide - extensive and complete documentation for Lambda\n\n## Next steps\n\n## Learn serverless techniques in an online workshop\n\nLearn by doing in the Serverless Patterns Workshop . The first module introduces a serverless microservice to retrieve data from DynamoDB with Lambda and API Gateway. Additional modules provide practical examples of unit and integration testing, using infrastructure as code to deploy resources, and how to build common architectural patterns used in serverless solutions.", - "page_start": 63, - "page_end": 63, - "source_file": "serverless-core.pdf" - }, - { - "text": "\n\nNext, API Gateway integrates with Lambda, a compute service, to handle the new event. Lambda function code parses the parameters in the inbound event, connects to the data store, and retrieves the cart. The function queries the database API through an SDK library. Because the DynamoDB database is also serverless and built to respond with low latency, there is no need for a connection pool.\n\nAfter converting currency to USD and removing unavailable items, the function sends the result as a new event to API Gateway.\n\nFinally, API Gateway converts the event into a response to send to the waiting client.\n\nThe method with which a function is invoked should be informed by your application archecture and needs. For example, batch-processing patterns have different applications to on-demand data processing. Understanding these paradigm differences can also help customers decide between AWS services.\n\nDeploying a microservice as a containerized application on Fargate could be more appropriate if the microservice is primarily used for batch data processing. Whereas a Lambda function would be much more straight-forward to deploy and maintain in applications that require on-demand data processing.", - "page_start": 29, - "page_end": 29, - "source_file": "serverless-core.pdf" - }, - { - "text": "## Examples:\n\n - · Websites - Suppose you are creating a website and you want to host the back-end logic on Lambda. You can invoke your Lambda function over HTTP using Amazon API Gateway as the HTTP endpoint. Now, your web client can invoke the API, and then API Gateway can route the request to Lambda. You can also implement route authentication and authorization by integrating Amazon Cognito with API Gateway\n - · Mobile applications - Suppose you have a custom mobile application that produces events. You can create a Lambda function to process events published by your custom application. For example, you can configure a Lambda function to process the clicks within your custom mobile application.\n\nTo implement synchronous processing in similar scenarios, you can use the following AWS services together.\n\n - · AWS Lambda - For compute processing tasks.\n - · Amazon API Gateway - For connecting and scaling inbound requests.\n - · AWS Step Functions - For managing and orchestrating microservice workflows.\n - · Amazon DynamoDB & S3 - For storing and retrieving data and files.\n - · Amazon Cognito for authentication and authorization of users.\n\n## Streaming\n\nStreaming data lets you to gather analytical insights from your application and process them in real-time. Streaming typically presents a unique set of design and architectural challenges.\n\nLambda and Amazon Kinesis can process real-time streaming data for application activity tracking, transaction order processing, click-stream analysis, data cleansing, log filtering, indexing, social media analysis, Internet of Things (IoT) device data telemetry, and metering.\n\n - · Data and analytics - Suppose you are building an analytics application and storing raw data in a DynamoDB table. When you write, update, or delete items in a table, DynamoDB streams can publish item update events to a stream associated with the table. In this case, the event data provides the item key, event name (such as insert, update, and delete), and other relevant details. You can write a Lambda function to generate custom metrics by aggregating raw data.\n - · Monitoring metrics - Amazon Prime Video monitors metrics from devices worldwide to ensure quality-of-service. The team chose Amazon Kinesis Data Streams to deliver video stream", - "page_start": 9, - "page_end": 9, - "source_file": "serverless-core.pdf" - }, - { - "text": "## Deploy with containers\n\nIf you need a custom runtime that is not provided by AWS, you can create and deploy a custom container image. AWS provides base images preloaded with a language runtime and other components that are required to run the image on Lambda. AWS provides a Dockerfile for each of the base images to help with building your container image.\n\nCustom containers are one way you might experiment with lift and shift of existing code to Lambda runtimes. If you do this, consider the architectural differences between always running containers, versus on demand nature of Lambda functions.\n\n## Related resource:\n\n - · Deploy container images\n\n## Add code with Layers\n\nA Lambda layer is a .zip file archive that can contain additional code or other content. A layer can contain libraries, a custom runtime, data, or configuration files. Layers are also necessary if your function .zip archive exceeds the size limit.\n\nLayers provide a convenient way to package libraries and other dependencies that you can use with your Lambda functions. Using layers reduces the size of uploaded deployment archives and makes it faster to deploy your code. Layers also promote code sharing and separation of responsibilities so that you can iterate faster on writing business logic.\n\n## Related resource:\n\n - · Creating and sharing Lambda layers\n\n## Extensions\n\nYou can use Lambda extensions to augment your Lambda functions. For example, use Lambda Extensions to integrate with your preferred monitoring, observability, security, and governance tools.\n\nLambda supports internal or external extensions. An internal extension runs as part of the runtime process. An external extension runs as an independent process in the execution environment and continues to run after the function invocation is fully processed.", - "page_start": 61, - "page_end": 61, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "serverless-core.pdf", - "query": "Why can't I use SnapStart on my function tagged with $LATEST ?", - "target_page": 63, - "target_passage": " You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Related resources:\n\n - · Datadog Lambda Extension - an extension that supports submitting custom metrics, traces, and logs asynchronously while your Lambda function executes.\n - · Lambda Extensions - official documentation\n\n## Launch functions faster with SnapStart\n\nLambda SnapStart for Java can improve startup performance by up to 10x at no extra cost, typically with no changes to your function code. The largest contributor to startup latency (often referred to as cold start time) is the time that Lambda spends initializing the function, which includes loading the function's code, starting the runtime, and initializing the function code.\n\n\n\nWith SnapStart, Lambda initializes your function when you publish a function version. Lambda takes a Firecracker microVM snapshot of the memory and disk state of the initialized execution environment, encrypts the snapshot, and caches it for low-latency access.\n\nNote: You can use SnapStart only on published function versions and aliases that point to versions. You can't use SnapStart on a function's unpublished version ($LATEST).\n\n## Related resources:\n\n - · Accelerate Your Lambda Functions with Lambda SnapStart - an AWS Compute blog article by Jeff Barr from Nov 2022 that shows the configuration change and vast difference from roughly six seconds init time to 142 milliseconds of restore time with SnapStart", - "page_start": 62, - "page_end": 62, - "source_file": "serverless-core.pdf" - }, - { - "text": "- /SM590000 The date and time that the last snapshot was created", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Creating a consistent snapshot of dynamically changing data", - "page_start": 520, - "page_end": 520, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The snapshot status", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "To create and start a snapshot, complete the following steps:", - "page_start": 501, - "page_end": 501, - "source_file": "sg247938.pdf" - }, - { - "text": "Where OnDemand is installed\n\n - -pollDelay < seconds >\n\nNumber of seconds between polling (optional)\n\n - -ftiToken < FTI authentication token >\n\nOptional", - "page_start": 367, - "page_end": 367, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 The snapshot size", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "svc\\_livedump -nodes all -yes svc\\_snap upload pmr=ppppp,bbb,ccc gui3", - "page_start": 751, - "page_end": 751, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Log in to the CLI and issue the svc\\_snap command that matches the type of snap requested by IBM Support:", - "page_start": 751, - "page_end": 751, - "source_file": "sg247938.pdf" - }, - { - "text": "## Node.js\n\n```\n# Example handler method for Node.js exports.handler = async function(event, context) { console.log(\"EVENT: \\n\" + JSON.stringify(event, null, 2)) return context.logStreamName }\n```\n\n## Java\n\n## C#\n\n```\n// Example handler method in C# using Amazon.Lambda.Core; // Assembly attribute to enable the Lambda function's JSON input to be converted into a .NET class. [assembly: namespace HelloWorld; public class Function\n```\n\n```\n# Example handler method in Java package example; import com.amazonaws.services.lambda.runtime.Context import com.amazonaws.services.lambda.runtime.RequestHandler import com.amazonaws.services.lambda.runtime.LambdaLogger // Handler value: example.Handler public class Handler implements RequestHandler, String>{ Gson gson = new GsonBuilder().setPrettyPrinting().create(); @Override public String handleRequest(Map event, Context context) { LambdaLogger logger = context.getLogger(); String response = new String(\"200 OK\"); logger.log(\"EVENT: \" + gson.toJson(event)); return response; } }\n```", - "page_start": 57, - "page_end": 57, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At Shentel company, what determines an employees pension ?", - "target_page": 22, - "target_passage": "Pension benefits are based primarily on the employee's compensation and years of service", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans ('WPFP'), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | Millions of yen | Millions of yen | Thousands of U.S. dollars |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------|--------------------|-----------------------------|\n| As of | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2004 Mar. 31, 2005 |\n| Retirement benefit obligation ....................................................................................................................................... | ¥(1,217,260) | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value .................................................................................................................................................... | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation ............................................................................................................... | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition ........................................................... | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss ........................................................................................................................ | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost ................................................................................................................................. | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation .............................................................................................................................. | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost ........................................................................................................................................................... | 445 | 652 | 4,159 |\n| Accrued retirement benefits .......................................................................................................................................... | ¥ (508,203) | ¥ (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n## Note 9. Retirement Plans (Continued)\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 thousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively.\n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named executives. The plan was established to provide retirement benefits in addition to those provided under the Retirement Plan that covers all employees. The following table presents the actuarial information for the plan.\n\n| | 2003 2003 |\n|------------------------------------------------------|-------------------------------|\n| Change in benefit obligation: | (in thousands) (in thousands) |\n| Benefit obligation, beginning | $ - $ |\n| Service cost | 22 |\n| Interest cost | 23 |\n| Actuarial loss Plan adoption | 278 546 |\n| Benefit obligation, ending | $ 869 |\n| Funded status Unrecognized net loss | (869) 278 $ |\n| Additional minimum liability | (380) |\n| Intangible asset | 380 |\n| Unrecognized prior service cost Accrued benefit cost | 521 |\n| | $ (70) |\n| Components of net periodic benefit costs: | |\n| Service cost | $ 22 |\n| Interest cost | 23 |\n| Amortization of prior service costs | 25 |\n| Net periodic benefit cost | $ 70 |\n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted of the following at December 31, 2003:\n\n| | 2003 |\n|-----------------------------------------|--------|\n| Discount rate | 6.00% |\n| Rate of increase in compensation levels | 4.50% |\n\n## Note 10. Stock Incentive Plan\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the 'Plan'), providing for the grant of incentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options to purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all grants has been at the current market price at the time of the grant. The grants have generally provided that one-half of the options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five years after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period beginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant after each anniversary date through the eighth year, with the options expiring after ten years.\n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the following weighted average assumptions:\n\n\n\n■", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## NOTE 22: PENSIONS\n\nWe have contributory and non-contributory defined benefit pension plans that are made available to most of our employees. The plans provide pensions based on years of service, years of contributions and earnings. We do not provide any non-pension post-retirement benefits. We also provide unfunded supplemental pension benefits to certain executives.\n\nThe assets of the defined benefit pension plans are held in segregated accounts isolated from our assets. We administer the defined benefit pension plans pursuant to applicable regulations, the Statement of Investment Policies and Procedures and to the mandate of the Pension Committee of the Board of Directors. The Pension Committee of the Board of Directors oversees our administration of the defined benefits pension plans, which includes the following principal areas:", - "page_start": 121, - "page_end": 121, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Retirement Benefits\n\nThe Company has defined contribution profit-sharing plans covering substantially all employees who are not participants in certain defined benefit plans. The Company's annual contribution to the defined contribution plans is based on employee eligible earnings and results of operations and amounted to $26,489,000, $23,524,000, and $24,826,000 in 2003, 2002, and 2001, respectively.\n\nThe Company sponsors defined benefit plans which include a limited number of salaried and hourly employees at certain subsidiaries. The Company's funding policy is generally to contribute annually the minimum actuarially computed amount. Net pension costs relating to these plans were $176,000; $0; and $0 for 2003, 2002, and 2001, respectively. The actuarial present value of obligations, less related plan assets at fair value, is not significant.\n\nThe Company also participates in a multiemployer plan, which provides defined benefits to certain of the Company's union\n\nemployees. Pension expense for this plan amounted to $309,000, $309,000, and $310,000 in 2003, 2002, and 2001, respectively.\n\n## Postretirement Health Care\n\nIn accordance with the guidelines of revised SFAS No. 132, 'Employers' Disclosures about Pensions and other Postretirement Benefits,' the following table sets forth the funded status of the plan, reconciled to the accrued postretirement benefits cost recognized in the Company's balance sheet at:", - "page_start": 50, - "page_end": 50, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "in a position to affect shareholder returns. It is intended that participants will generally comprise the senior executives and a small number of high potential middle managers of the Company.\n\nOptions and rights to shares issued under these Plans to senior executives are linked to the longer term performance of the Company and are only exercisable following the satisfaction of performance hurdles that are designed to maximise shareholder wealth.\n\nThe amount of the award, and correspondingly the proportion of remuneration at risk, varies between executives according to their respective levels of seniority and responsibility.\n\nThe rules of the SESPP and SESOP were both approved by shareholders in 1997 and again in 2000.\n\nHaving regard to contemporary best practice, the LTI program is designed to drive superior executive performance and to reward only superior Company performance, linked to an appropriate performance benchmark. The benchmark assesses actual Company performance in terms of long-term comparative growth of the Company and resulting shareholder value.\n\nCompany performance is measured over a three year period based on the Company's Total Shareholder Return (TSR) relative to one or more comparator groups as determined by the Board at the commencement of the performance period including, without limitation, any combination of the ASX 100, energy companies in ASX 100, the ASX Energy Index and international E&P companies. If performance is below the 50th\n\npercentile, no award is made. A proportionate award is made for performance between the 50th to 75th percentile and the maximum award is made for performance at or above the 75th percentile.\n\nIn relation to the current financial year, awards may be taken only in the form of shares pursuant to SESPP or, at the election of an executive, options pursuant to SESOP, details of which are described in Notes 18(c) and 18(d) of the financial statements. In future periods, awards may be taken in the form of rights over shares pursuant to SESPP or options granted under SESOP, at the election of executives.\n\nRights to shares and options are granted at no cost to the executives with the number of shares awarded being determined by dividing the amount of the award by the volume weighted average price of the Company's shares over the five business days up to and including the award date. The number of options awarded is of equivalent value calculated by an independent expert based on an acceptable valuation method. The exercise price of the options is the volume weighted average price of the Company's shares over the five business days up to and including the award date.\n\nThe Board intends that LTI awards be made on an annual basis using a three year measurement period for the applicable performance hurdles. However, the Board reserves the right to suspend or modify the LTI program in light of circumstances appropriate to the Company from time to time.\n\nThe maximum number of shares that may be issued under all of the Company's executive and employee share and option plans cannot exceed the limit of 5% of\n\nthe issued capital, as approved by shareholders at the 2000 AGM.\n\n## (c) Specified Executives of the Santos Group\n\nThe following persons were the six executives with the greatest authority for the strategic direction and management of the Santos Group ('Specified Executives') during the financial year receiving the highest remuneration:", - "page_start": 39, - "page_end": 39, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## (27) Employee Benefit Plans\n\nE u ronet has established a Profit Sharing and 401(k) plan for all employees who have completed six months of service and are not otherw i s e c o v e red by a re t i rement benefit plan (national or private) outside of the US. Each plan participant can contribute up to the maximum amount allowed by the Internal Revenue Service to the Plan through payroll deductions. Euro n e t 's matching contribution to the plan is d i s c re t i o n a ry and is determined each year by the Board of Directors. The employee's vested percentage re g a rding the employer's contribution varies according to years of service. Euro n e t 's contribution accrual to the Plan for the years ended December 31, 2000, 1999 and 1998 was $213,000, $159,000 and $26,000 re s p e c t i v e l y.\n\nE u ronet maintains both a fully funded and self-funded health insurance programs, which cover all full-time employees and their families at no charge to the employees. In order to administer the self-funded program, Euronet has entered into a contractual agreement with a third p a rty administrator by which Euronet pays a monthly service fee to the administrator based upon employee enrollment participating in the self-funded plan. Euronet has also purchased a stop/loss insurance policy to limit Euro n e t 's self-funded liability to $25,000 per employee per year and a total loss on all claims to approximately $31,000 per month.", - "page_start": 45, - "page_end": 45, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The Company maintains a nonqualified deferred retirement plan for certain key employees. The plan allows participants to defer, on a pre-tax basis, a portion of their salary and bonus and accumulate tax deferred earnings, plus investment earnings on the deferred balances, as a retirement fund. Participants receive a Company match of up to 4% of salary, net of any Company match received under the Company's 401(k) plan. All employee deferrals vest immediately. The Company matching contributions vest ratably over a three-year period. The Company recorded charges for matching contributions of $1 million in 2004, $2 million in 2003 and $1 million in 2002.", - "page_start": 72, - "page_end": 72, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "\n\nF or over 100 years Shenandoah Telecommunications Company has been committed to providing outstanding service to our customers. Our employees take that same dedication after hours to make a difference in their community.\n\nWe take this opportunity to share with you, our shareholders, the stories of just a few of your dedicated employees.\n\nPatty Pomeroy\n\n\n\nVolunteerism is in Patty Pomeroy's blood. Her grandfather was a dispatcher for the rescue squad in Middletown, VA for 25 years and her grandmother was in the ladies auxiliary. Her father was a charter member of the Middletown Rescue Squad. In 1997, Patty, a customer service representative at Shentel for four years, continued the family tradition by earning her Emergency Medical Technician certification and going to 'work' for the Strasburg Rescue Squad. Patty is the administrator of membership recruitment and retention for the squad and is the liaison coordinator for junior squad members under 18. It is her job to make sure that new members are brought in to the squad and current members stay active.\n\n'There is a great satisfaction that comes from knowing that what you can do will help people.'\n\nJeff Beard has been an installer repairman with Shentel for almost five years. Two years ago, Jeff helped start Project Isaiah 58, a faith-based recovery ministry that reaches out to people who are struggling with addiction. Project Isaiah 58 has weekly group meetings in Winchester, Woodstock and Warrenton, VA. Jeff, who lives in Winchester, participates in the group meetings and also makes time to meet one-on-one with people who need personal attention.\n\n'I feel the need to reach out to people who are suffering.'\n\nJeff Beard\n\n\n\nJohn Gardner has been with Shentel for two years as a PCS technician in Central Pennsylvania, but for almost a year of that time he was on Naval Reserve duty in Sasebo, Japan. John joined the Reserves after serving 10 years of active duty. In October 2002, he was activated under Noble Eagle-Enduring Freedom as part of the increase in security at bases around the world. John worked on Motorola radios and repeater systems while stationed in Japan. It was tough for the serviceman to be away from his wife and children, but John believes very strongly in serving his country.\n\n'Being in the Reserves is a way for me to be a civilian and still serve my country.'\n\nJohn Gardner\n\nAt Shentel, George Brinkley, the store manager in Front Royal, VA, is known for being one of the biggest fund-raisers for the Shenandoah County American Cancer Society Relay for Life event. In his six years at the Company, George has raised nearly $20,000. In 2003, he raised $4,246 and was recognized as the top individual fund-raiser for the entire event.\n\nIn 2002, George was chairman of the parade committee for the Woodstock, VA 250th anniversary celebration. Under George's leadership, the 26-member committee worked for a year preparing for the parade, which was the largest in the town's history.\n\n'I just have a knack for volunteering. I want to make my community better any way I can.'\n\nGeorge Brinkley\n\n\n\n■", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "\n\n## EMPLOYEE RETIREMENT AND BENEFIT PLANS\n\nA noncontributory defined benefit retirement plan is maintained for all regular employees of the Company except those of Quest Medical. This plan was amended effective January 1, 1998 to become a cash balance pension plan. The Company's funding policy is to make the annual contributions required by applicable regulations and recommended by its actuary. The Company uses a December 31 measurement date for the plan.\n\nThe changes in the plan's projected benefit obligation ('PBO') as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | 2003 | 2002 |\n|---------------------------------|---------|---------|\n| CHANGE IN BENEFIT OBLIGATION: | | |\n| Benefit obligation, January 1 | $ 4,170 | $ 4,599 |\n| Service cost | 214 | 320 |\n| Interest cost | 298 | 307 |\n| Amendments | -- | (616) |\n| Actuarial (gain)/loss | 529 | (93) |\n| Benefits paid | (333) | (347) |\n| Benefit obligation, December 31 | $ 4,878 | $ 4,170 |\n\nIn December 2002, the plan was amended to reduce benefit accruals for future service by plan participants by approximately 50 percent. This amendment caused a reduction in the PBO of approximately $616,000, and is reflected as a reduction in pension expense over the estimated employee service lives.\n\nThe changes in the fair value of plan assets, funded status of the plan and the status of the prepaid pension benefit recognized, which is included in the Company's balance sheets as of December 31, 2003 and 2002 are as follows (in thousands):\n\n| | 2003 | 2002 |\n|----------------------------------------|---------|---------|\n| CHANGE IN PLAN ASSETS: | | |\n| Fair value of plan assets, January 1 | $ 4,383 | $ 4,550 |\n| Actual return on plan assets | 963 | (750) |\n| Employer contributions | 400 | 930 |\n| Benefits paid | (333) | (347) |\n| Fair value of plan assets, December 31 | $ 5,413 | $ 4,383 |\n| Funded status of plan | $ 535 | $ 213 |\n| Unrecognized actuarial loss | 1,941 | 2,154 |\n| Unrecognized prior service cost | (502) | (539) |\n| Unrecognized net transition obligation | (88) | (132) |\n| Net amount recognized as other assets | $ 1,886 | $ 1,696 |", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "\n\n## Remuneration Policy\n\nThe Remuneration Policy has been designed to align the interests of shareholders, Directors, and employees. This is achieved by setting a framework to:\n\n - 〉 help ensure an applicable balance of fixed and at-risk remuneration, with the at-risk component linking incentive and performance measures to both Group and individual performance;\n - 〉 provide an appropriate reward for Directors and Executive Management to manage and lead the business successfully and to drive strong, long-term growth in line with the Company's strategy and business objectives;\n - 〉 encourage executives to strive for superior performance;\n - 〉 facilitate transparency and fairness in executive remuneration policy and practices;\n - 〉 be competitive and cost effective in the current employment market; and\n - 〉 contribute to appropriate attraction and retention strategies for Directors and executives.\n\nIn consultation with external remuneration consultants, the Group has structured an executive remuneration framework that is market competitive and complimentary to the business strategy of the organisation.\n\nThe framework is intended to provide a mix of fixed and variable remuneration, with a blend of short and long-term incentives as appropriate. As executives gain seniority within the Group, the balance of this mix shifts to a higher proportion of 'at risk' rewards (refer to chart Remuneration Reward Mix on the following page).\n\n## Remuneration Governance\n\n## Role of the Remuneration Committee\n\nThe Remuneration Committee is a committee of the Board and has responsibility for setting policy for determining the nature and amount of emoluments of Board members and senior executives. The Committee makes recommendations to the Board concerning:\n\n - 〉 Non-Executive Director fees;\n - 〉 remuneration levels of Executive Directors and other Key Management Personnel;\n - 〉 the executive remuneration framework and operation of the incentive plan; and\n - 〉 key performance indicators and performance hurdles for the executive team.\n\nIn forming its recommendations the Committee takes into consideration the Group's stage of development, remuneration in the industry and performance. The Corporate Governance Statement provides further information on the role of this committee.\n\n## Remuneration Consultants", - "page_start": 51, - "page_end": 51, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "At the end of 2003, how many available-for-sales investments did Shenandoah company count in its portfolio ?", - "target_page": 53, - "target_passage": "The Company’s available-for-sale portfolio at December 31, 2003 is made up of two investments", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nis the intent of the Company to evaluate whether to hold or sell parts or all of each investment on an individual basis. At December 31, 2003, the Company had external investments totaling $7.5 million.\n\nIn 2004, the Company anticipates taking advantage of a conversion feature on its Rural Telephone Bank stock. The Company will convert a portion of its holdings into a different class of stock that will pay cash dividends each year. The bank declares a dividend rate that varies, each year. The range of the dividend has been between 4.2% and 5.65% over the last 5 years. The rate in the two most recent years was 4.2%. This transaction is estimated to provide the Company with approximately $0.3 million in dividend income each year, based on the 2003 dividend rate of 4.2% and assuming we had converted the stock at the beginning of 2003.\n\n## Financial Condition, Liquidity and Capital Resources\n\nThe Company has four principal sources of funds available to meet the financing needs of its operations, capital projects, debt service, investments and potential dividends. These sources include cash flows from operations, cash and cash equivalents, the liquidation of investments and borrowings. Management routinely considers the alternatives available to determine what mix of sources are best suited for the long-term benefit of the Company.\n\nDuring the 2003 year, with the closing of the sale of the Virginia 10 RSA Limited partnership interest, the Company evaluated its capital requirements, and as a result eliminated its $20.0 million revolving line of credit with CoBank in May 2003. The Company had paid off the outstanding balance in early 2003, and did not borrow on it during the remaining time the facility was in place. In light of the $27.9 million balance in cash equivalent investments, management determined additional debt capacity is not necessary for the near-term.\n\nThe term debt loan agreements with CoBank have three financial covenants. These are measured on a trailing 12-month basis and are calculated on continuing operations. The first of the covenants is the total leverage ratio, which is total debt to operating cash flow. This ratio must remain below 3.5, and as of December 31, 2003 it was 1.2. The second measure is equity to total assets, which must be 35% or higher. At December 31, 2003 the ratio was 57.3%. The third measure is the debt service coverage ratio, which is operating cash flow to scheduled debt service, which must exceed 2.0. At December 31, 2003 this measure was 4.3. Management believes the Company will meet these covenant measures for the coming year. The Company has pledged all of its affiliates capital stock as collateral for the CoBank loans.\n\nThe Company's covenants on the RUS/RTB debt require the pledge of all current and future assets of the Telephone subsidiary until the debt is retired.\n\nAnother external source of funding is a $0.5 million unsecured, variable rate revolving line of credit with SunTrust Bank. This facility is in place to allow the Company to better manage its daily cash balances. The facility expires May 31, 2004. Management anticipates renewing this facility with SunTrust Bank under similar terms and conditions. At December 31, 2003 there were no balances outstanding under this facility.\n\nDue to make-whole provisions in the Company's debt agreements it is currently uneconomical for the Company to prepay any debt.\n\nThe Company is obligated to make future payments under various contracts it has entered into, including amounts pursuant to its various long-term debt facilities, and non-cancelable operating lease agreements for retail space, tower space and cell sites. Expected future minimum contractual cash obligations for the next five years and in the aggregate at December 30, 2003, are as follows:", - "page_start": 53, - "page_end": 53, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nThe $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be released after February 28, 2005. There are no known claims that have been filed against the amount in escrow.\n\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the year. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of the second phase of renovations on the Shentel Center in Edinburg, Virginia.\n\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving unconsolidated, limited purpose entities or commodity contracts.\n\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for additional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and replacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers building renovations, vehicles, office equipment, and other miscellaneous capital needs.\n\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures and the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the tax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal tax payments will be due based on anticipated profits expected to be generated in the operation.\n\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of continuing operations in 2003, although there are events outside the control of the Company that could have an adverse impact on cash flows from operations. The events that could adversely impact operating cash flow results include, but are not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies, availability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon Sprint's ability to execute certain functions such as billing, customer care, and collections; their ability to develop and implement successful marketing programs and new products and services; and their ability to effectively and economically manage other operating activities under the Company's agreements with Sprint. Additionally, the Company's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from operations. These items individually and/or collectively could impact the Company's results.\n\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working capital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand, operating cash flow, and amounts expected to be available under the Company's existing financing facilities and its anticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to generate additional cash for its capital needs as market conditions allow.\n\n## Recently Issued Accounting Standards", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## Significant Transactions\n\nThe Company had several significant transactions during 2003. The largest was the sale of its 66% interest in the Virginia 10 RSA cellular operation, as described above. The Company originally entered into the agreement with Verizon Wireless in November 2002. The Company was the general partner of the limited partnership which operated an analog cellular network in the six-county area of Northwestern Virginia, including Clarke, Frederick, Page, Rappahannock, Shenandoah, and Warren counties, and the city of Winchester. The sales price was $37.0 million plus the Company's 66% share of the partnership's working capital, which was approximately $1.7 million. The Company was required to do a working capital true up following the closing, from which the Company recorded a charge for $23 thousand after taxes. In the fourth quarter the Company recorded an additional charge for taxes of $0.2 million to reflect the consolidated effective tax rate based on the final operating results for the year.\n\nThe sale of this business is reflected in the discontinued operations section of the income statement along with the results of operations for the two months of 2003 that the operation remained a part of the Company.\n\n\n\n■", - "page_start": 41, - "page_end": 41, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nsignificant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n## Note 9. Retirement Plans (Continued)\n\nThe Company's matching contributions to the defined contribution plan were approximately $228 thousand, $210 thousand and $182 thousand for the years ended December 31, 2003, 2002 and 2001, respectively.\n\nIn May 2003, the Company adopted an unfunded nonqualified supplemental executive retirement plan for named executives. The plan was established to provide retirement benefits in addition to those provided under the Retirement Plan that covers all employees. The following table presents the actuarial information for the plan.\n\n| | 2003 2003 |\n|------------------------------------------------------|-------------------------------|\n| Change in benefit obligation: | (in thousands) (in thousands) |\n| Benefit obligation, beginning | $ - $ |\n| Service cost | 22 |\n| Interest cost | 23 |\n| Actuarial loss Plan adoption | 278 546 |\n| Benefit obligation, ending | $ 869 |\n| Funded status Unrecognized net loss | (869) 278 $ |\n| Additional minimum liability | (380) |\n| Intangible asset | 380 |\n| Unrecognized prior service cost Accrued benefit cost | 521 |\n| | $ (70) |\n| Components of net periodic benefit costs: | |\n| Service cost | $ 22 |\n| Interest cost | 23 |\n| Amortization of prior service costs | 25 |\n| Net periodic benefit cost | $ 70 |\n\nAssumptions used by the Company in the determination of the Supplemental Retirement Plan information consisted of the following at December 31, 2003:\n\n| | 2003 |\n|-----------------------------------------|--------|\n| Discount rate | 6.00% |\n| Rate of increase in compensation levels | 4.50% |\n\n## Note 10. Stock Incentive Plan\n\nThe Company has a shareholder approved Company Stock Incentive Plan (the 'Plan'), providing for the grant of incentive compensation to essentially all employees in the form of stock options. The Plan authorizes grants of options to purchase up to 480,000 shares of common stock over a ten-year period beginning in 1996. The option price for all grants has been at the current market price at the time of the grant. The grants have generally provided that one-half of the options exercisable on each of the first and second anniversaries of the date of grant, with the options expiring five years after they are granted. In 2003, the Company issued grants where the options are vested over a five-year period beginning on the third anniversary date of the grant of the options. The participant may exercise 20% of the total grant after each anniversary date through the eighth year, with the options expiring after ten years.\n\nThe fair value of each grant is estimated at the grant date using the Black-Scholes option-pricing model with the following weighted average assumptions:\n\n\n\n■", - "page_start": 33, - "page_end": 33, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES\n\n## 2003 Financial Statements\n\n## INDEPENDENT AUDITOR'S REPORT\n\n\n\nThe Board of Directors and Shareholders Shenandoah Telecommunications Company:\n\nWe have audited the accompanying consolidated balance sheets of Shenandoah Telecommunications Company and subsidiaries (the Company), as of December 31, 2003, 2002, and 2001, and the related consolidated statements of income, shareholders' equity and comprehensive income, and cash flows for the years then ended. These consolidated financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these consolidated financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of Shenandoah Telecommunication s Company and subsidiaries as of December 31, 2003, 2002 and 2001, and the results of their operations and their cash flows for the years then ended, in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for goodwill in 2002. As further discussed in note 1 to the consolidated financial statements, the Company changed its method of accounting for asset retirement obligations in 2003.\n\n\n\n■", - "page_start": 12, - "page_end": 12, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "| | 2004 | 2003 | 2002 |\n|----------------------------------------------------------------|---------|---------|---------|\n| Cash provided by operating activities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 666.3 | $ 600.5 | $ 569.7 |\n| Purchases of property and equipmentÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (283.8) | (273.2) | (258.6) |\n| Proceeds from the sale of property and equipmentÏÏÏÏÏÏÏÏÏÏÏÏÏ | 5.7 | 9.1 | 14.6 |\n| Free cash Öow ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 388.2 | $ 336.4 | $ 325.7 |\n\nWe expect our free cash Öow during 2005 to be lower than 2004 and 2003 because of higher tax payments due to the reversal of bonus depreciation, higher purchases of property and equipment and several one-time items that beneÑted previous periods, including utilization of a tax receivable and the collection of a note receivable during 2004, and an increase in self-insurance reserves during 2003.\n\nWe believe that the presentation of free cash Öow provides useful information regarding our recurring cash provided by operating activities after expenditures for property and equipment, net of proceeds from the sale of property and equipment. It also demonstrates our ability to execute our Ñnancial strategy which includes reinvesting in existing capital assets to ensure a high level of customer service, investing in capital assets to facilitate growth in our customer base and services provided, pursuing strategic acquisitions that augment our existing business platform, repurchasing shares of common stock at prices that provide value to our shareholders, paying cash dividends, maintaining our investment grade rating and minimizing debt. In addition, free cash Öow is a key metric used to determine compensation. Free cash Öow does not represent our cash Öow available for discretionary expenditures because it excludes certain expenditures that are required or", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nFacility lease revenue contributed $5.5 million to wireline revenues, a decrease of $0.2 million or 3.5%. The decrease was primarily the result of the prolonged decline of lease rates associated with competitive pricing pressures and the economic downturn in the telecommunications industry. During 2002 the Company completed a second, diverse fiber route to its existing interconnection point in the Dulles airport area of Northern Virginia. This fiber route provides increased reliability for customers in the event of fiber cuts or breaks, and extends the availability of the Company's fiber network to additional market locations but to date has not added additional revenue to the Company's operation.\n\nBilling and collection services and other revenues contributed $0.4 million to wireline revenues, which was the same as 2002 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a greater proportion of their bills directly to their customers.\n\nWireline revenues from cable television services were $4.4 million, an increase of $0.1 million or 1.7%. The number of subscribers and service plan prices remained relatively constant during 2003.\n\nOther revenues, primarily consisting of Internet and 511Virginia service revenues were $5.8 million in 2003, an increase of $0.7 million or 13.5%. The Company had 17,420 dial-up Internet subscribers at December 31, 2003, compared to 18,050 at the end of the previous year. During 2003, the Company's DSL high-speed Internet access subscriber count increased to 1,298 from 646. Total Internet service revenue was $4.5 million, an increase of $0.3 million or 10.7%. The 511Virginia contract with the Virginia Department of Transportation contributed $1.3 million to other revenues, an increase of $0.4 million or 41.3%. Telecommunications equipment sales, services and lease revenues were $1.1 million, which reflects a $0.1 million decrease from 2002 results.\n\nTotal operating expenses were $87.2 million, an increase of $3.6 million or 4.3%. The primary driver in the increase in operating expenses is continued growth in the PCS operation somewhat offset by a significant decline in bad debt expense compared to 2002.\n\nLate in 2003, the Company made an employee benefits policy change, which eliminated the requirement for the Company to accrue a vacation liability in advance of the year in which the benefit was used. The result of this change was a reduction of benefit expense of $0.5 million for the year compared to 2002. Benefit expenses impact all operating departments based on the amount of direct labor charged to the department. The change has a one-time impact on the financial statements of the Company. The benefits policy now provides that employees earn and use their paid time off in the same period. In the future, under this policy, unused hours can be banked but only used for extended illness, not carried over for use as vacation.", - "page_start": 48, - "page_end": 48, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nincreased $0.5 million or 12.7%, due to new assets deployed in the operation. There was no amortization of goodwill in 2003 or 2002, compared to goodwill amortization of $360 thousand expensed in 2001, due to the required accounting change.\n\nSelling, general and administrative expenses were $26.0 million, down $0.1 million or 0.4%. Customer support costs were $8.7 million, an increase of $0.9 million or 11.4%. The growth in Sprint wireless subscribers is primarily responsible for this change. Advertising expense was $4.6 million, an increase of $0.3 million or 6.4%. The change is primarily due to increased marketing efforts in support of the PCS operations in both the Quad State and Central Penn markets. PCS sales staff expenses were $2.8 million, an increase of $0.1 million or 1.5% compared to 2002. Other sales staff expenses increased $0.3 million to $1.3 million as the Company worked to expand its other services in areas outside its historically defined service area. Bad debt expense decreased $2.6 million or 58.3%.\n\nAdministrative expenses increased $1.0 million or 17.1%. This increase is a result of increased professional fees, insurance and pension costs. During 2003, the Company added several positions to expand the management team to support the Company's growing operations.\n\nBad debt expense decreased $2.6 million to $1.8 million or 58.3%. This decrease was due to more restrictive credit terms for new PCS subscribers (limiting the high credit risk customers who obtained service), lower churn in the PCS operation and improvement in the interexchange carrier segment of the business. This expense is net of normal recoveries and includes a recovery of $0.2 million for an interexchange carrier settlement the Company received in 2003 which was written off in 2002.\n\nOperating income grew to $18.6 million, an increase of $9.3 million or 100%. Revenue growth, primarily in the PCS operation in addition to the reduced bad debt expenses, adjustments of management estimates, and the settlement of disputed items with Sprint, all contributed to the operating income improvements. The Company's operating margin was 17.6%, compared to 10.0% in 2002.\n\nOther income (expense) is comprised of non-operating income and expenses, interest expense and gain or loss on investments. Collectively, the net impact of these items to pre-tax income was an expense of $3.6 million for 2003, compared to expense of $14.3 million from 2002. The 2002 results were primarily the results of the previously disclosed $9.0 million loss recorded on the sale of the VeriSign stock.\n\nInterest expense was $3.5 million, a decrease of $0.7 million or 16.3%. The Company's average debt outstanding decreased approximately $4.8 million. Long-term debt (inclusive of current maturities), was $43.3 million at year-end 2003, versus $52.0 million at year-end 2002. The Company did not borrow any money on its revolving facilities in 2003.\n\nNet losses on investments were $0.4 million, compared to a loss of $10.1 million from 2002. Results in 2002 include the sale of the VeriSign, Inc. stock for a loss of $9.0 million. See Note 3 to the consolidated financial statements.\n\nNon-operating income was a gain of $0.4 million, an increase of $0.5 million, due to an increase in patronage equity earned from CoBank, the Company's primary lender, and due to interest income from the proceeds on the sale of the Virginia 10 RSA Limited partnership, offset by losses recorded for the Company's portfolio of investments.", - "page_start": 49, - "page_end": 49, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## OUR BUSINESS\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides various telecommunications services through its operating subsidiaries. These services include: wireline telephone service, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in Virginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; online information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of Virginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern Shenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; wireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, Virginia to the Harrisburg, York and Altoona, Pennsylvania markets.\n\n## ANNUAL MEETING\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The meeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company's offices at the Shentel Center, 500 Mill Road, Edinburg, Virginia.\n\n## FORMS 10-K, 10-Q, and 8-K\n\nThe Company files periodic reports with the Securities and Exchange Commission. The Company's Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any amendments to these reports, are available to shareholders through the Company's website, www.shentel.com. This website also has recent news releases and other information potentially of interest to shareholders.\n\nA copy of the Company's Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia 22824, Attention: Secretary.\n\n## MARKET AND DIVIDEND INFORMATION\n\nThe Company's stock is traded on the NASDAQ National Market under the symbol 'SHEN.' Information on the high and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below: The Company's stock is traded on the NASDAQ National Market under the symbol 'SHEN.' Information on the high and low closing prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below:", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_SHEN_2003.pdf", - "query": "What was the main reason of the decrease of customer base of the Shenandoah and Virginia 10 RSA partnership ?", - "target_page": 51, - "target_passage": "he decline was the result of competition with digital technologies and increased competition from national carriers in the area", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nThe $5.0 million placed in escrow, as part of the sales agreement on the Virginia 10 RSA limited partnership, should be released after February 28, 2005. There are no known claims that have been filed against the amount in escrow.\n\nThe Company spent $12.5 million on capital projects in 2003, or about $7.0 million below what was budgeted for the year. The variance was primarily due to postponing construction of an additional diverse fiber route and the delay of the second phase of renovations on the Shentel Center in Edinburg, Virginia.\n\nThe Company has no other off-balance sheet arrangements and has not entered into any transactions involving unconsolidated, limited purpose entities or commodity contracts.\n\nCapital expenditures budgeted for 2004 total approximately $30 million, including approximately $20 million for additional PCS base stations, additional towers, and switch upgrades to enhance the PCS network. Improvements and replacements of approximately $5 million are planned for the telephone operation. The remaining $5 million covers building renovations, vehicles, office equipment, and other miscellaneous capital needs.\n\nThe Company anticipates using funds from operations, to the extent they are available to fund the capital expenditures and the payment of debt and interest. Due to lower than expected tax expenses in 2003, the Company will apply the tax receivable to the 2004-year tax liability. It is anticipated by no later than second quarter of 2004, additional federal tax payments will be due based on anticipated profits expected to be generated in the operation.\n\nManagement anticipates its operations will generate similar operating cash flows in 2004, compared to those of continuing operations in 2003, although there are events outside the control of the Company that could have an adverse impact on cash flows from operations. The events that could adversely impact operating cash flow results include, but are not limited to; changes in overall economic conditions, regulatory requirements, changes in technologies, availability of labor resources and capital, and other conditions. The PCS subsidiary's operations are dependent upon Sprint's ability to execute certain functions such as billing, customer care, and collections; their ability to develop and implement successful marketing programs and new products and services; and their ability to effectively and economically manage other operating activities under the Company's agreements with Sprint. Additionally, the Company's ability to attract and maintain a sufficient customer base is critical to maintaining a positive cash flow from operations. These items individually and/or collectively could impact the Company's results.\n\nThe Company expects to generate adequate cash to meet its short-term and long-term cash needs, including working capital requirements, capital projects and debt payments, and to fund potential dividend payments from cash on hand, operating cash flow, and amounts expected to be available under the Company's existing financing facilities and its anticipated financing facilities discussed above. The Company may, at its election, liquidate some of its investments to generate additional cash for its capital needs as market conditions allow.\n\n## Recently Issued Accounting Standards", - "page_start": 54, - "page_end": 54, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nFacility lease revenue contributed $5.5 million to wireline revenues, a decrease of $0.2 million or 3.5%. The decrease was primarily the result of the prolonged decline of lease rates associated with competitive pricing pressures and the economic downturn in the telecommunications industry. During 2002 the Company completed a second, diverse fiber route to its existing interconnection point in the Dulles airport area of Northern Virginia. This fiber route provides increased reliability for customers in the event of fiber cuts or breaks, and extends the availability of the Company's fiber network to additional market locations but to date has not added additional revenue to the Company's operation.\n\nBilling and collection services and other revenues contributed $0.4 million to wireline revenues, which was the same as 2002 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a greater proportion of their bills directly to their customers.\n\nWireline revenues from cable television services were $4.4 million, an increase of $0.1 million or 1.7%. The number of subscribers and service plan prices remained relatively constant during 2003.\n\nOther revenues, primarily consisting of Internet and 511Virginia service revenues were $5.8 million in 2003, an increase of $0.7 million or 13.5%. The Company had 17,420 dial-up Internet subscribers at December 31, 2003, compared to 18,050 at the end of the previous year. During 2003, the Company's DSL high-speed Internet access subscriber count increased to 1,298 from 646. Total Internet service revenue was $4.5 million, an increase of $0.3 million or 10.7%. The 511Virginia contract with the Virginia Department of Transportation contributed $1.3 million to other revenues, an increase of $0.4 million or 41.3%. Telecommunications equipment sales, services and lease revenues were $1.1 million, which reflects a $0.1 million decrease from 2002 results.\n\nTotal operating expenses were $87.2 million, an increase of $3.6 million or 4.3%. The primary driver in the increase in operating expenses is continued growth in the PCS operation somewhat offset by a significant decline in bad debt expense compared to 2002.\n\nLate in 2003, the Company made an employee benefits policy change, which eliminated the requirement for the Company to accrue a vacation liability in advance of the year in which the benefit was used. The result of this change was a reduction of benefit expense of $0.5 million for the year compared to 2002. Benefit expenses impact all operating departments based on the amount of direct labor charged to the department. The change has a one-time impact on the financial statements of the Company. The benefits policy now provides that employees earn and use their paid time off in the same period. In the future, under this policy, unused hours can be banked but only used for extended illness, not carried over for use as vacation.", - "page_start": 48, - "page_end": 48, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## Significant Transactions\n\nThe Company had several significant transactions during 2003. The largest was the sale of its 66% interest in the Virginia 10 RSA cellular operation, as described above. The Company originally entered into the agreement with Verizon Wireless in November 2002. The Company was the general partner of the limited partnership which operated an analog cellular network in the six-county area of Northwestern Virginia, including Clarke, Frederick, Page, Rappahannock, Shenandoah, and Warren counties, and the city of Winchester. The sales price was $37.0 million plus the Company's 66% share of the partnership's working capital, which was approximately $1.7 million. The Company was required to do a working capital true up following the closing, from which the Company recorded a charge for $23 thousand after taxes. In the fourth quarter the Company recorded an additional charge for taxes of $0.2 million to reflect the consolidated effective tax rate based on the final operating results for the year.\n\nThe sale of this business is reflected in the discontinued operations section of the income statement along with the results of operations for the two months of 2003 that the operation remained a part of the Company.\n\n\n\n■", - "page_start": 41, - "page_end": 41, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nsignificant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nis the intent of the Company to evaluate whether to hold or sell parts or all of each investment on an individual basis. At December 31, 2003, the Company had external investments totaling $7.5 million.\n\nIn 2004, the Company anticipates taking advantage of a conversion feature on its Rural Telephone Bank stock. The Company will convert a portion of its holdings into a different class of stock that will pay cash dividends each year. The bank declares a dividend rate that varies, each year. The range of the dividend has been between 4.2% and 5.65% over the last 5 years. The rate in the two most recent years was 4.2%. This transaction is estimated to provide the Company with approximately $0.3 million in dividend income each year, based on the 2003 dividend rate of 4.2% and assuming we had converted the stock at the beginning of 2003.\n\n## Financial Condition, Liquidity and Capital Resources\n\nThe Company has four principal sources of funds available to meet the financing needs of its operations, capital projects, debt service, investments and potential dividends. These sources include cash flows from operations, cash and cash equivalents, the liquidation of investments and borrowings. Management routinely considers the alternatives available to determine what mix of sources are best suited for the long-term benefit of the Company.\n\nDuring the 2003 year, with the closing of the sale of the Virginia 10 RSA Limited partnership interest, the Company evaluated its capital requirements, and as a result eliminated its $20.0 million revolving line of credit with CoBank in May 2003. The Company had paid off the outstanding balance in early 2003, and did not borrow on it during the remaining time the facility was in place. In light of the $27.9 million balance in cash equivalent investments, management determined additional debt capacity is not necessary for the near-term.\n\nThe term debt loan agreements with CoBank have three financial covenants. These are measured on a trailing 12-month basis and are calculated on continuing operations. The first of the covenants is the total leverage ratio, which is total debt to operating cash flow. This ratio must remain below 3.5, and as of December 31, 2003 it was 1.2. The second measure is equity to total assets, which must be 35% or higher. At December 31, 2003 the ratio was 57.3%. The third measure is the debt service coverage ratio, which is operating cash flow to scheduled debt service, which must exceed 2.0. At December 31, 2003 this measure was 4.3. Management believes the Company will meet these covenant measures for the coming year. The Company has pledged all of its affiliates capital stock as collateral for the CoBank loans.\n\nThe Company's covenants on the RUS/RTB debt require the pledge of all current and future assets of the Telephone subsidiary until the debt is retired.\n\nAnother external source of funding is a $0.5 million unsecured, variable rate revolving line of credit with SunTrust Bank. This facility is in place to allow the Company to better manage its daily cash balances. The facility expires May 31, 2004. Management anticipates renewing this facility with SunTrust Bank under similar terms and conditions. At December 31, 2003 there were no balances outstanding under this facility.\n\nDue to make-whole provisions in the Company's debt agreements it is currently uneconomical for the Company to prepay any debt.\n\nThe Company is obligated to make future payments under various contracts it has entered into, including amounts pursuant to its various long-term debt facilities, and non-cancelable operating lease agreements for retail space, tower space and cell sites. Expected future minimum contractual cash obligations for the next five years and in the aggregate at December 30, 2003, are as follows:", - "page_start": 53, - "page_end": 53, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## OUR BUSINESS\n\nShenandoah Telecommunications Company is a diversified telecommunications holding company which provides various telecommunications services through its operating subsidiaries. These services include: wireline telephone service, primarily in Shenandoah County and small service areas in Rockingham, Frederick, and Warren counties, all in Virginia; cable television service in Shenandoah County; unregulated telecommunications equipment sales and services; online information and Internet access provided to the multi-state region surrounding the Northern Shenandoah Valley of Virginia; financing of purchases of telecommunications facilities and equipment; paging services in the Northern Shenandoah Valley; resale of long distance services; operation and maintenance of an interstate fiber optic network; wireless personal communications services (PCS) and a tower network in the four-state region from Harrisonburg, Virginia to the Harrisburg, York and Altoona, Pennsylvania markets.\n\n## ANNUAL MEETING\n\nThe Board of Directors extends an invitation to all shareholders to attend the Annual Meeting of Shareholders. The meeting will be held at 11:00 AM (EST) on April 20, 2004 in the Auditorium of the Company's offices at the Shentel Center, 500 Mill Road, Edinburg, Virginia.\n\n## FORMS 10-K, 10-Q, and 8-K\n\nThe Company files periodic reports with the Securities and Exchange Commission. The Company's Annual Report on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports on Form 8-K, along with any amendments to these reports, are available to shareholders through the Company's website, www.shentel.com. This website also has recent news releases and other information potentially of interest to shareholders.\n\nA copy of the Company's Annual Report on Form 10-K, without exhibits, may be obtained, without charge, by writing to Shenandoah Telecommunications Company, 124 South Main Street, P.O. Box 459, Edinburg, Virginia 22824, Attention: Secretary.\n\n## MARKET AND DIVIDEND INFORMATION\n\nThe Company's stock is traded on the NASDAQ National Market under the symbol 'SHEN.' Information on the high and low sales prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below: The Company's stock is traded on the NASDAQ National Market under the symbol 'SHEN.' Information on the high and low closing prices per share of common stock as reported by the NASDAQ National Market for the last two years is set forth below:", - "page_start": 58, - "page_end": 58, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nincreased again on July 1, 2002 to $6.50, and comparable rate increases also impacted business subscribers. Tied to the SLC rate increases were declines in rates charged to interexchange carriers for interstate minutes of use. The 2002 results reflect a significantly larger increase in network usage, which more than offset the decline in rates.\n\nFacility lease revenue contributed $5.7 million to wireline revenues, a decrease of $0.8 million or 12.6% from 2001. The decrease was primarily the result of declining lease rates associated with competitive pricing pressure, and the economic downturn in the telecommunications industry.\n\nBilling and collection services contributed $0.4 million to wireline revenues, which was the same as 2001 results. Revenues from this service had declined in recent years, with interexchange carriers now issuing a greater proportion of their bills directly to their customers.\n\nWireline revenues from cable television services were $4.3 million, an increase of $0.5 million or 14.5%. In December 2001, the Company increased its basic service charge by $6.00 per month, which produced $0.3 million of the increase in cable television revenue. The remaining $0.2 million was generated by an increased penetration of digital services and increased pay per view sales.\n\nWithin other revenues, Internet and 511Virginia contract revenues from the Virginia Department of Transportation, were $5.1 million in 2002, an increase of $1.2 million or 30.4%. The Company had 18,050 dial-up Internet subscribers at December 31, 2002, compared to 17,423 subscribers at the end of 2001. Total Internet service revenue was $4.2 million, an increase of $0.6 million or 15.7%. Services provided under the 511Virginia contract contributed $0.9 million to other revenues, an increase of $0.6 million. Telecommunications equipment sales, services and lease revenues were $1.2 million, a nominal increase over 2001 results.\n\nTotal operating expenses were $83.6 million, an increase of $21.3 million or 34.3%. The continued growth in the PCS operation was principally responsible for the change.\n\nCost of goods and services was $10.5 million, an increase of $3.1 million or 41.8%. The PCS cost of goods sold was $8.3 million, an increase of $2.8 million or 50.2%. This change is due primarily to higher volumes of handsets sold through Company owned stores and PCS handset subsidies paid to third-party retailers. The cable television programming (cost of service) expense was $1.4 million, an increase of $0.1 million or 4.6%. The other cost of goods sold increased $0.3 million, compared to the same period in 2001.\n\nNetwork operating costs were $32.5 million, an increase of $5.8 million or 21.5%. Line and switching costs were $9.7 million, an increase of $2.6 million or 37.4%, due principally to the impact of the expanded PCS network. Travel expense, generated by the Company's PCS subscribers' use of minutes on other providers' portions of the Sprint wireless network, was $10.7 million, an increase of $0.9 million or 8.4%. The increase in customer travel usage more than offset the travel rate explained above in travel revenue. Plant specific costs were $9.6 million, which include the operation, and maintenance of the networks increased $2.3 million or 30.7%. Tower, building, and land rentals, as well as PCS equipment maintenance, were major contributors to the increase in plant specific expenses. Other network costs such as power, network administration, and engineering, were $2.7 million, the same as in 2001.\n\nDepreciation and amortization expense was $14.5 million, an increase of $3.2 million or 28.6%. The PCS operation had depreciation expense of $8.6 million, an increase of $3.6 million or 72.7%. The PCS operation added 53 additional base stations during 2002.", - "page_start": 51, - "page_end": 51, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "T he Shenandoah Telephone Directory has undergone many changes since we published our first directory in 1906, as The Farmers' Mutual Telephone System of Shenandoah County. In 1906, the entire phone number listings were on 15 pages. The first Company directory to include yellow pages was distributed in 1946. That year local businesses invested in a new way to reach their potential customers.\n\nThe goal has always been to provide a useful tool for our customers. The pace of change has quickened in the last few years. In 2000, for the first time, Shenandoah Telephone's directory expanded from telephone listings for only Shenandoah County and Bergton, to include business and residential listings for Rockingham, Frederick, Clarke, and Warren counties. In 2001, Page County listings were added. The name of our directory was changed to ShentelPages in 2002 to reflect the expanded listing area. Although we included additional information in our directory, we continued to only furnish it to our local telephone customers.\n\nEarly in 2003, we conducted a customer survey to measure potential public acceptance of a regional phone directory for the six-county area. The findings of the survey indicated almost 60% would likely use an expanded six-county directory, with a fourth of all respondents saying they would use a regional directory more often than the directory they currently had in their home or business. Based on these positive results, Shentel launched an expanded directory to meet the demand.\n\n\n\nAn extensive public-awareness campaign was launched on television and radio, in a variety of daily and weekly newspapers and at regional county fairs. The campaign helped build anticipation for the directory and increase awareness of yellow page advertising opportunities. As a result of the added value of the expanded distribution area, ShentelPages' yellow page advertising revenues increased 21%, to $1.8 million for the 2004 book.\n\n\n\nIn December 2003, Shentel mailed out 120,000 ShentelPages directories to every home and business in Shenandoah, Rockingham, Frederick, Page, Clarke and Warren counties. ShentelPages now has a potential audience that exceeds 300,000 readers. The 2004 directory continues to be an important local resource. In addition to telephone listings, it contains both general and county-specific information - from ZIP codes to area codes, and from international dialing instructions to the listing of regional interstate exits.\n\nThrough ShentelPages, businesses have a new way of reaching thousands more potential customers within the sixcounty area to sell their products and services. ShentelPages is bundled with our electronic version, ShentelPages.com. This service allows area residents to use their computer and the Internet to let their fingers do the walking.\n\nJust like our first book in 1906, the 2004 ShentelPages provides area residents with a quick and easy way to stay in touch.\n\n\n\n■", - "page_start": 9, - "page_end": 9, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nincreased $0.5 million or 12.7%, due to new assets deployed in the operation. There was no amortization of goodwill in 2003 or 2002, compared to goodwill amortization of $360 thousand expensed in 2001, due to the required accounting change.\n\nSelling, general and administrative expenses were $26.0 million, down $0.1 million or 0.4%. Customer support costs were $8.7 million, an increase of $0.9 million or 11.4%. The growth in Sprint wireless subscribers is primarily responsible for this change. Advertising expense was $4.6 million, an increase of $0.3 million or 6.4%. The change is primarily due to increased marketing efforts in support of the PCS operations in both the Quad State and Central Penn markets. PCS sales staff expenses were $2.8 million, an increase of $0.1 million or 1.5% compared to 2002. Other sales staff expenses increased $0.3 million to $1.3 million as the Company worked to expand its other services in areas outside its historically defined service area. Bad debt expense decreased $2.6 million or 58.3%.\n\nAdministrative expenses increased $1.0 million or 17.1%. This increase is a result of increased professional fees, insurance and pension costs. During 2003, the Company added several positions to expand the management team to support the Company's growing operations.\n\nBad debt expense decreased $2.6 million to $1.8 million or 58.3%. This decrease was due to more restrictive credit terms for new PCS subscribers (limiting the high credit risk customers who obtained service), lower churn in the PCS operation and improvement in the interexchange carrier segment of the business. This expense is net of normal recoveries and includes a recovery of $0.2 million for an interexchange carrier settlement the Company received in 2003 which was written off in 2002.\n\nOperating income grew to $18.6 million, an increase of $9.3 million or 100%. Revenue growth, primarily in the PCS operation in addition to the reduced bad debt expenses, adjustments of management estimates, and the settlement of disputed items with Sprint, all contributed to the operating income improvements. The Company's operating margin was 17.6%, compared to 10.0% in 2002.\n\nOther income (expense) is comprised of non-operating income and expenses, interest expense and gain or loss on investments. Collectively, the net impact of these items to pre-tax income was an expense of $3.6 million for 2003, compared to expense of $14.3 million from 2002. The 2002 results were primarily the results of the previously disclosed $9.0 million loss recorded on the sale of the VeriSign stock.\n\nInterest expense was $3.5 million, a decrease of $0.7 million or 16.3%. The Company's average debt outstanding decreased approximately $4.8 million. Long-term debt (inclusive of current maturities), was $43.3 million at year-end 2003, versus $52.0 million at year-end 2002. The Company did not borrow any money on its revolving facilities in 2003.\n\nNet losses on investments were $0.4 million, compared to a loss of $10.1 million from 2002. Results in 2002 include the sale of the VeriSign, Inc. stock for a loss of $9.0 million. See Note 3 to the consolidated financial statements.\n\nNon-operating income was a gain of $0.4 million, an increase of $0.5 million, due to an increase in patronage equity earned from CoBank, the Company's primary lender, and due to interest income from the proceeds on the sale of the Virginia 10 RSA Limited partnership, offset by losses recorded for the Company's portfolio of investments.", - "page_start": 49, - "page_end": 49, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## Note 1. Summary of Significant Accounting Policies (Continued)\n\nReclassifications: Certain amounts reported in the 2002 and 2001 financial statements have been reclassified to conform with the 2003 presentation, with no effect on net income or shareholders' equity.\n\n## Note 2. Discontinued Operations\n\nIn November 2002, the Company entered into an agreement to sell its 66% General Partner interest in the Virginia 10 RSA Limited Partnership (cellular operation) to Verizon Wireless for $37.0 million. The closing of the sale took place at the close of business on February 28, 2003. The total proceeds received were $38.7 million, including $5.0 million held in escrow, and a $1.7 million adjustment for estimated working capital at the time of closing. There was a post closing adjustment based on the actual working capital balance as of the closing date, which resulted in a $39 thousand charge for the Company. The $5.0 million escrow was established for any contingencies and indemnification issues that may arise during the two-year post-closing period and is included in deferred charges and other assets in the 2003 consolidated balance sheet. The Company's gain on the transaction was approximately $35 million. Post closing, the Company provided transition services to Verizon for a period of approximately three months, with compensation for those services being approximately $40 thousand per month during the transition period.\n\nThe assets and liabilities attributable to the cellular operation have been classified as held for sale in the consolidated balance sheets and consist of the following at December 31, 2002 and 2001:\n\n| | 2001 2002 2002 | 2001 2001 |\n|-----------------------------------------|----------------------------------------------|----------------------------------------------|\n| Assets | (in thousands) (in thousands) (in thousands) | (in thousands) (in thousands) (in thousands) |\n| Accounts receivable | $ 2,759 2,608 $ 2,608 $ | $ 2,759 $ |\n| Other current assets | 214 309 309 | 214 |\n| Property, plant and equipment, (net) | 3,272 2,631 2,631 | 3,272 |\n| Total assets | $ 6,245 5,548 $ 5,548 $ | $ 6,245 $ |\n| Liabilities and minority interest | | |\n| Accounts payable and accrued expenses | $ 499 381 $ 381 $ | $ 499 $ |\n| Deferred revenue and deposits | 236 161 161 | 236 |\n| Minority interest | 1,838 1,666 1,666 | 1,838 |\n| Total liabilities and minority interest | $ 2,573 2,208 $ 2,208 $ | $ 2,573 $ |\n\nThe operations of the cellular partnership including the minority interest have been reclassified as discontinued operations, net of taxes in the consolidated statements of income for all periods presented. Operating results and the sale of the discontinued operations are summarized as follows:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "As a product manager, how can I reject an inventory in NAIIS ?", - "target_page": 38, - "target_passage": "Log in as PM. Click on “View Inventories Progress” under sub menu “Submission Management”. The “View Inventories Progress” screen appears. Select the appropriate inventory by clicking the Inventory name under column “Name” Press the “Reject” button ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## 10.5.2 Rejection of an inventory\n\n - 1. Log in as NFP.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the Inventory name under column 'Name' (figure 66).\n - 5. Press the 'Send for Rejection' button (figure 66, b).\n\nOnce the 'Send for Rejection' button was pressed, the status of the selected inventory changes to 'awaiting\\_rejection' (figure 67, a).\n\n - *** Note: A notification email will be sent to the PM that the inventory has been rejected. Therefore, the PM will be able to reject the submission. Proceed to section 10.4.2.\n\nFigure 66. Work on Inventories screen - Rejection of an inventory - Status = awaiting\\_approvalFigure 67. Work on Inventories screen - Rejection of an inventory - Status = rejected\\_approval\n\n\n\n", - "page_start": 40, - "page_end": 40, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 10.4 Send for approval/rejection of an Inventory (PM)\n\nThis section describes on how the PM approves or rejects an inventory after being checked by the PM.\n\n## 10.4.1 Send for approval of an Inventory\n\n - 1. Log in as PM.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the Inventory name under column 'Name' (figure 60, a).\n - 5. Press the 'Send for Approval' button to send it to NFP for his/her review and approval of the inventory (figure 60, b).\n\n*** Note: A notification email will be sent to the PM, once the 'Send for Approval' has been pressed. And the status changed to 'Awaiting\\_approval' (figure 61).\n\nFigure 60. Work on Inventories screen - Send for Approval - Status = checkFigure 61. Work on Inventories screen - Status = awaiting\\_approval\n\n\n\n\n\n## 10.4.2 Rejection of an Inventory\n\n - 1. Log in as PM.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the Inventory name under column 'Name' (figure 62, a).\n - 5. Press the 'Reject' button (figure 62, b).\n\n*** Note: A notification email will be sent to the PM, once the 'Reject' button has been pressed. And the status changed to 'Awaiting\\_rejection\\_check' (figure 63).", - "page_start": 37, - "page_end": 37, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Figure 62. Work on Inventories screen -Reject - Status = check\n\n", - "page_start": 38, - "page_end": 38, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 10.5 Approval or Rejection of an inventory (NFP)\n\nThis section describes how the NFP approves or rejects an inventory after being sent for approval by the PM (See section 10.4).\n\n## 10.5.1 Approval of an inventory\n\n - 1. Log in as NFP.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the Inventory name under column 'Name' (figure 64).\n - 5. Press the 'Approve' button (figure 64, b).\n\nOnce the 'Approve' button was pressed, the status of the selected inventory changes to 'approved' (figure 65, b).\n\n*** Note: A notification email will be sent to the PM that the inventory has been approved. Therefore, the PM may proceed to selecting the tables for preparing the official submission (See section 10.6).\n\nFigure 64. Work on Inventories screen - Approve an inventory - Status = awaiting\\_approval\n\n\n\nFigure 65. Work on Inventories screen - Approve an inventory - Status = approved\n\n", - "page_start": 39, - "page_end": 39, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Once the 'Generate Official Submission' button has been pressed the 'Submit Inventory' initial screen for selecting the tables appears (figure 70).\n\n - 8. Select or deselect by clicking the appropriate year(s) under 'Inventory Years' box (figure 70, c) or the sector grids under the 'Table' box (figure 70, d) to generate the official submission.\n - 9. Press the 'Submit' button (figure 70, e). An official submission will be generated in the NAIIS system.\n\nFigure 70. Submit - select tables and grids for the general submission\n\n\n\n", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 10.6 Submit inventory (PM)\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after being approved by the NFP (See section 10.5).\n\n## 10.6.1 Submit select tables for preparing the general submission\n\n - 1. Log in as PM.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the box under column 'Working inventory' (figure 68, a).\n - *** Note: The selected inventory year to be submitted should be in status 'approved' (figure 68, b).\n - 5. Click on 'Work on Inventories' under Submission Management (figure 68, c).\n - This opens the Submit Inventory initial screen (figure 69).\n - 6. Click the inventory year to be submitted (figure 69, a).\n - 7. Press the 'Generate Official Submission' button (figure 69, c).\n\nFigure 69. Submit select tables for the preparation for the general submission\n\n\n\nFigure 68. View Inventories Progress screen - select inventory for the preparation for the general submission\n\n", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 10 Submission management\n\n## 10.1 Workflow\n\nCreating and preparing an inventory, generating tables for checking by the NFP and approving and/or rejecting submission, follows a number of steps known collectively as a workflow. This chapter describes the workflow relating to the submission of the GHG inventory/(ies), which users should follow to create, prepare, and send GHG inventories for internal checking, and approval/rejection of the submission by the NFP, within the NAIIS web application (figure 52).\n\nFigure 52: Non-Annex I Inventory Software workflow\n\n\n\n## 10.2 Start of inventory/submission (NFP or PM)\n\nThis procedure allows the NFP or PM to start a new (created) inventory. The existing data for the inventory year identified will be made available in the new inventory/submission.\n\nThese are the steps to start a new inventory:\n\n - 1. Click on 'View Inventories Progress' under sub menu 'Submission Management' (figure 53).\n\nFigure 53. View Inventories Progress sub menu\n\n\n\n - 2. The 'View Inventories Progress' screen appears (figure 54).\n - 3. Select the appropriate inventory by clicking the box under column 'Working Inventory' (figure 54, a).\n\n*** Note: The selected appropriate inventory should be in status 'created' (figure 54, b)", - "page_start": 34, - "page_end": 34, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## Figure 54. View Inventories Progress screen\n\nFigure 56. Work on Inventories screen\n\n\n\n - 4. Click on 'Work on Inventories' under 'Submission' (figure 55).\n\n## Figure 55. Work on Inventories sub menu\n\n\n\n - 5. Click the appropriate Inventory year on 'Work on Inventories' under 'Submission' (figure 56, a).\n - 6. Press the 'Start Inventory' button to start the inventory (figure 56, b). Once pressed, the status changes to 'started' (figure 57).\n\n*** Once the 'Start Inventory' button has been pressed by the NFP or PM, a notification email will be sent to all SE's with the information that a new inventory was created. SE's and PM's can start entering their data into the NAIIS software. More details on how to do the data entry please see section 4.1 above.\n\n\n\nFigure 57. Work on Inventories screen - Status = Started\n\n\n\n", - "page_start": 35, - "page_end": 35, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 3.2.2.2 Add a new GHG inventory year or edit general properties/sectors (only NFP and PM's)\n\n -  Log in as NFP or PM.\n -  Click on 'Work on Inventories' under Submission Management (figure 10).\n\nFigure 11. Initial screen of 'Work on Inventories'\n\n\n\nOnce 'Work on Inventories' has been clicked, the initial screen will be displayed, which shows the following boxes (figure 11):\n\n - a. Existing Inventory (with all options)\n - b. General properties - include the name, submission year, creator, creation date, status, updater and submission date\n - c. Sectors\n - d. Inventory years\n\n\n\nFollow the steps to add/remove an inventory year:\n\n -  Click on the inventory year (figure 12a)\n -  Select the inventory year under General properties (figure 12b)\n -  Select or deselect the appropriate Sectors (figure 12c)\n -  To add or remove an inventory year, select or deselect the relevant year under Inventory Years box (figure 12d)", - "page_start": 9, - "page_end": 9, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "| 10.1 Workflow .......................................................................................................................... 35 |\n|-----------------------------------------------------------------------------------------------------------------------------------------------|\n| 10.2 Start of inventory/submission (NFP or PM) ..................................................................... 35 |\n| 10.3 Send for checking (PM) .................................................................................................... 37 |\n| 10.4 Send for approval/rejection of an Inventory (PM) ............................................................ 38 |\n| 10.4.1 Send for approval of an Inventory .............................................................................. 38 |\n| 10.4.2 Rejection of an Inventory ........................................................................................... 38 |\n| 10.5 Approval or Rejection of an inventory (NFP) ................................................................... 40 |\n| 10.5.1 Approval of an inventory ........................................................................................... 40 |\n| 10.5.2 Rejection of an inventory ........................................................................................... 41 |\n| 10.6 Submit inventory (PM) ...................................................................................................... 42 |\n| 10.6.1 Submit select tables for preparing the general submission ........................................ 42 |\n| Glossary of terms and abbreviations ............................................................................................. 44 |\n| Annex 1: Non-Annex I (NAI) Parties .......................................................................................... 45 |\n| Annex 2: Fuel categories .............................................................................................................. 47 |\n| Annex 3: Global Warming Potentials (GWPs) ............................................................................ 48 |\n| Annex 4: Default values ............................................................................................................... 49 |", - "page_start": 2, - "page_end": 2, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "What is the global warming potential of Perfluorohexane ?", - "target_page": 48, - "target_passage": "7,400", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Annex 3: Global Warming Potentials (GWPs)\n\n| Greenhouse gas | Chemical formula | 1995 IPCC GWP |\n|----------------------|--------------------|-----------------|\n| Carbon dioxide | CO2 | 1 |\n| Methane | CH4 | 21 |\n| Nitrous oxide | N2O | 310 |\n| HFC-23 | CHF3 | 11,700 |\n| HFC-32 | CH2F2 | 650 |\n| HFC-41 | CH3F | 150 |\n| HFC-43-10mee | C5H2F10 | 1,300 |\n| HFC-125 | C2HF5 | 2,800 |\n| HFC-134 | C2H2F4 | 1,000 |\n| HFC-134a | CH2FCF3 | 1,300 |\n| HFC-152a | C2H4F2 | 140 |\n| HFC-143 | C2H3F3 | 300 |\n| HFC-143a | CF3CH3 | 3,800 |\n| HFC-227ea | C3HF7 | 2,900 |\n| HFC-236fa | C3H2F6 | 6,300 |\n| HFC-254ca | C3H3F5 | 560 |\n| Perfluoromethane | CF4 | 6,500 |\n| Perfluroethane | C2F6 | 9,200 |\n| Perfluoropropape | C3F8 | 7,000 |\n| Perfluorobutane | C2F10 | 7,000 |\n| Perfluorocyclobutane | c-c4F8 | 8,700 |\n| Perfluoropentane | C5F12 | 7,500 |\n| Perfluorohexane | C6F14 | 7,400 |\n| Sulphur hexafluoride | SF6 | 23,900 |\n\nSource: Climate Change 1995, The Science of Climate Change: Summary for Policymakers and Technical Summary of the Working Group I Report, page 22.", - "page_start": 47, - "page_end": 47, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0Figure 14. Di/fference in annual maximum daily maximum temperature between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\nensemble mean\n\n\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\nFigure 15. Di/fference between 2 ° Cand1.5 ° C global warming for percentage of days with maximum temperature above 90th percentile of baseline, for individual ensemble members and ensemble mean.\n\n\n\npossible outcomes projected here, the differences between 2°C and 1.5°C are not always clear. The differences between 2°C and 1.5°C are not always in the same direction as the changes at 2°C; in the Amazon, for example, the difference in flow between 2°C and 1.5°C varies from positive to negative between ensemble members.\n\n\n\n\n\n", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 10. Distributions of changes in run-o/ff for mean /flows simulated by the JULES ecosystem-hydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nall members (figure 12). This is not the case for the precipitation and run-off results; for those quantities, there is substantial overlap in the ranges of changes at 2°C and 1.5°C, so there is not a consistent picture of how much wetter or drier the world is projected to be in this ensemble, even though it involves a single atmosphere model.\n\nFor TXx, the difference between 2°C and 1.5°C global warming is larger than the 0.5°C difference in global mean temperature across most of the land surface in all ensemble members (figure 14). Although some ensemble members simulate local temperatures to be higher at 1.5°C global warming than 2°C in some small regions, these are relatively localized and most regions are cooler at 1.5°C global warming than 2°C. In many regions, the difference is between 0.5°C and 1.0°C, but many other regions see larger differences. In several ensemble members, the difference is 1.5°C, 2°C or larger in large parts of North America, South America, Europe and China. For example, over parts of Europe, where annual maximum daily temperature was projected to increase by over 5°C for a 2°C global warming, the local increase is limited to 3-4°C for 1.5°C global warming. Limiting global warming by half a degree Celsius would, therefore, limit maximum temperatures by three or four times as much in those areas (figure 14).\n\nAt 1.5°C global warming, although the increases in TXx are smaller than at 2°C, these increases show similar geographical patterns as for 2°C in all ensemble members, with larger changes in continental interiors especially in the mid-latitudes (not shown).\n\nThe percentage of days exceeding the 90th percentile of daily temperature (Tx90p) also increases less at 1.5°C global warming than at 2°C (figure 15). The largest reductions are in the tropics, where the largest increase was seen at 2°C; whereas at 2°C global warming, 50% or more", - "page_start": 15, - "page_end": 15, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 16. Di/fference in consecutive dry days between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\nensemble meanIPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0Figure 17. Di/fference in annual maximum 5 day rainfall between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\n\n\n\n\n\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed11.pdf" - }, - { - "text": "For future (2020-2099), the original climate scenario data (Table 1) were extracted from output archives of /five ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSL-CM5A-LR, MIROC-ESM-CHEM and NorESM1-M) under four RCPs (RCP2.6, RCP4.5, RCP6.0, RCP8.5) retrieved from the CMIP website. /T\\_he climate scenario data was interpolated into 0.5° × 0.5° horizontal resolution and bias-corrected with respect to historical observations to remove systematic errors 46 . /T\\_he data of maize-planting regions are from the gridded global dataset in 2000 by combining two data products 47,48 .\n\nSimulation of climate scenarios with global warming by ͷ.ͻ °C and ͸.Ͷ °C. In this study, climate data of global warming by 1.5 °C and 2.0 °C are determined according to the results of global climate models driven by typical concentration paths (RCPs) of greenhouse gas emissions. Eligible data are selected from a total of 20 sets of data under four RCP scenarios of /five ESMs (including GFDL-ESM2M, HadGEM2-ES, IPSLCM5A-LR, MIROC-ESM-CHEM and NorESM1-M), which estimate the temperature, precipitation and sunshine hours (Fig. 1).\n\nVol:.(1234567890)", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed9.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 2. Simulated changes in annual daily maximum temperature relative to 1981-2010 at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\nTable 4. Time of reaching GWLs of 1.5 ° Cand2 ° C in each bias-corrected output from the HadGEM3 climate simulations, driven by di/fferent sets of CMIP5 sea-surface temperatures. The dates are the centre year of a 20 year period for which the climate data is applied to the HCVI calculation and JULES simulations.\n\n| driving SSTs | 1.5 ° C | 2.0 ° C |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------|-----------|\n| IPSL-CM5A-LR .......................................................................................................................................................................................................... | 2024 | 2035 |\n| GFDL-ESM2M .......................................................................................................................................................................................................... | 2036 | 2051 |\n| HadGEM2-ES .......................................................................................................................................................................................................... | 2019 | 2033 |\n| IPSL-CM5A-MR .......................................................................................................................................................................................................... | 2023 | 2036 |\n| MIROC-ESM-CHEM .......................................................................................................................................................................................................... | 2020 | 2032 |\n| ACCESS1-0 | 2026 | 2040 |\n\n..........................................................................................................................................................................................................\n\nland surface sees an increase in annual daily maximum temperature which is similar to the global annual mean temperature increase. In the IPSL-driven simulations, increases in TXx substantially larger than the GWL are confined to the eastern USA, Europe and part of northeast Asia. By contrast, the GFDL-driven simulation shows much of the global land surface seeing increases in annual daily maximum temperature larger than the global mean warming. Much of the midlatitudes experience an increase in TXx of over 4°C. The very largest increases of 5°C or more are seen in central North America, Europe and northwestern Asia. Similar results are seen in the MIROC and ACCESS models.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 13. Global mean percentage changes relative to 1981-2010 in ( a ) precipitation over land, ( b )meanrun-o/ff/flows,( c )low run-o/ff lows (10th percentile), at 2 ° Cand1.5 ° C global warming.\n\n\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows-increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "rsta.royalsocietypublishing.org\n\n## Research\n\n\n\n\n\nCite this article: Betts RA et al . 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° Cand2 ° C global warming with a higher-resolution global climate model. Phil. Trans. R. Soc. A 376 : 20160452.\n\nhttp://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted:13February2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5 ° C above pre-industrial levels'.\n\n## Subject Areas:\n\nclimatology, hydrology\n\n## Keywords:\n\n1.5 ° C, Paris Agreement, 2 ° C, global climate impacts, water resources, terrestrial ecosystems\n\n## Author for correspondence:\n\nRichard A. Betts\n\ne-mail: richard.betts@meto/ffice.gov.uk\n\n\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° C and 2 ° C global warming with a higher-resolution global climate model\n\nRichard A. Betts 1,2 , Lorenzo Al/fieri 3 , Catherine Bradshaw 2 ,JohnCaesar 2 ,LucFeyen 3 ,Pierre Friedlingstein 4 , Laila Gohar 2 , Aristeidis Koutroulis 5 , Kirsty Lewis 2 , Catherine Morfopoulos 1 , Lamprini Papadimitriou 5,6 ,KatyJ.Richardson 2 , Ioannis Tsanis 5 and Klaus Wyser 7\n\n7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\n\n\n- RAB, 0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "The SSTs and SICs were taken from a subset of the CMIP5 transient projections performed with the RCP8.5 scenario from 1979 to 2100-the CMIP5 members were selected as representative of a range of outcomes for future climate change, including high and low climate sensitivity, different biases in baseline precipitation climatology, and different global patterns of precipitation change. Specific levels of global warming such as 1.5°C or 2°C were defined on the basis of the global mean temperature in the original CMIP5 projections. The time of reaching a specific level of global warming, therefore, varied between ensemble members. The CMIP5 SSTs were not bias-corrected, which means that the results here may be sensitive to systematic errors arising from biases in the present-day SST patterns.\n\nAtmospheric greenhouse gas concentrations were prescribed from the standard RCP8.5 concentration scenario. Aerosol concentrations were calculated within the model, with aerosol emissions prescribed again from the standard RCP8.5 scenario. This means that the greenhouse gas and aerosol concentrations, and hence radiative forcing, were the same in all ensemble", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed11.pdf" - }, - { - "text": "Table 1. Cont.\n\n| No. | #Climatechange | #Climatechange | #Globalwarming | #Globalwarming |\n|-------|------------------|------------------|------------------|------------------|\n| No. | Hashtag | Centrality | Hashtag | Centrality |\n| 23 | co2 | 0.174 | snow | 0.161 |\n| 24 | weather | 0.169 | world | 0.157 |\n| 25 | solar | 0.165 | gop * | 0.156 |\n| 26 | economy | 0.164 | arctic | 0.150 |\n| 27 | auspol | 0.163 * | winter | 0.145 |\n| 28 | education | 0.155 | p2 * | 0.144 |\n| 29 | news | 0.152 | drought | 0.142 |\n| 30 | drought | 0.150 | epa * | 0.141 |\n| 31 | coal | 0.147 | global | 0.137 |\n| 32 | sustainable | 0.147 | eco | 0.137 |\n| 33 | cdnpoli | 0.144 * | actonclimate | 0.136 |\n| 34 | sdgs | 0.143 * | health | 0.134 |\n| 35 | china | 0.143 | un * | 0.133 |\n| 36 | gop | 0.143 * | solar | 0.132 |\n| 37 | food | 0.141 | economy | 0.131 |\n| 38 | un | 0.141 * | hoax | 0.131 |\n| 39 | cop24 * | 0.140 | california | 0.130 |\n| 40 | agriculture | 0.138 | politics | 0.129 |\n| 41 | environmental | 0.136 | india | 0.128 |\n| 42 | fossilfuels | 0.134 | china | 0.127 |\n| 43 | arctic | 0.134 | planet | 0.127 |\n| 44 | epa * | 0.133 | parisagreement * | 0.126 |\n| 45 | biodiversity | 0.132 | heatwave | 0.125 |\n| 46 | future | 0.131 | summer | 0.121 |\n| 47 | canada | 0.128 | nyc * | 0.118 |\n| 48 | emissions | 0.128 | nasa | 0.118 |\n| 49 | obama | 0.127 | future | 0.118 |\n| 50 | politics | 0.125 | oil | 0.117 |\n\n## 4.2. Association Network Analysis\n\nThe association networks of #climatechange and #globalwarming are shown in Figure 2. Nodes are labelled with the hashtags and the undirected edges are weighted to reflect the frequency of co-occurrence. The modularity analysis identified four clusters in the #climatechange network and five in the #globalwarming network, where clusters are di GLYPH<11> erentiated by color (resolution is 0.75 for climate change and 0.85 for global warming). The theme, top hashtags, and the proportion of each cluster are also summarized and represented in the network depicted in Figure 2.\n\nThe largest cluster (green nodes) of both #climatechange and #globalwarming network refer to general facts about global climate issues, sharing words about the causes or e GLYPH<11> ects concerning sustainability. The di GLYPH<11> erence is that the largest cluster of #globalwarming (46% of the network) includes more slogan words, such as 'world', 'planet', 'global', and 'climatechangeisreal', whereas the largest cluster of #climatechange (40% of the network) tends to discuss some specific problems, such as agriculture, biodiversity, education, and politics.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed10.pdf" - } - ] - }, - { - "references": { - "source_file": "maiis-user-manual.pdf", - "query": "How can I request access to NAIIS ?", - "target_page": 5, - "target_passage": "Requests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address naiisapp@unfccc.int.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "\n\n## NAIIS Web Application\n\n(Release version 1.1.3)\n\n## User Manual\n\n(As of 10 February 2014)", - "page_start": 0, - "page_end": 0, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Press the 'Enter key' and the non-Annex I Greenhouse Gas Inventories web page appears.\n\nTo access the NAIIS application, click on the image NAIIS Web Application, the right hand side of the screen. (figure 3, number 1) and the log-in page will be displayed. (figure 4)\n\n## Figure 3. UNFCCC non-Annex I Greenhouse Gas Inventories web page\n\nFigure 4. Log-in page of the NAIIS Web Application\n\n\n\n\n\nTo log-in , enter the username and password and click on the 'Sign in' button.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 2.2 Pending NAIIS features\n\n## List of pending functionalities in NAIIS:\n\n-----------------------------------------\n\n - 1. Web services integration for help desk\n - 2. Display of information in 5 remaining UN languages.\n\n## 2.3 Contact\n\nRequests for access to, inquiries on the use of the software, and comments on the design and functionalities of the application should be sent to the dedicated e-mail address naiisapp@unfccc.int .", - "page_start": 4, - "page_end": 4, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "http://www.redbooks.ibm.com/Redbooks.nsf/domains/san", - "page_start": 810, - "page_end": 810, - "source_file": "sg247938.pdf" - }, - { - "text": "## 3 Getting started\n\n## 3.1 User Access, Roles and Privileges\n\nThe users of the application are the members of the national team(s) of non-Annex I Parties involved in the preparation of their national GHG inventories, and each user is assigned a role.\n\nThe table below explains the different levels of the access rights and corresponding explanation for each role. It is important to note that the roles are not necessarily identical to a person's title (e.g. National Focal Point) and that a person can take on several roles (which may be necessary for some countries).\n\nThere are three types of access rights (roles) to the NAIIS application:\n\n| Type of access rights for specific roles | Process to gain access rights |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| National Focal Point (NFP): Will be responsible for identifying the members of the team and is the only one who has the right to approve the submission of any GHG inventory. | Parties that have not already requested and received access rights can obtain them by having their National Focal Point contact: naiisapp@unfccc.int |\n| NFPs will have the option to create, edit, update or delete all of their country's GHG data entries, and grant access rights to the 'Project Manager' and 'Sectoral Experts' for their country if they choose. | (Note: Some Parties may have more than one individual acting as the NFP; however the system can accommodate only one account per Party). |\n| Project Manager (PM) : Will have the right to enter/edit data in all sectors, as well as to generate an official submission to the UNFCCC, and grant access rights to the 'Sectoral Experts' for their country. | Entities will be provided these rights by their NFP. If a Party decides to grant access to a PM, their NFP will be able to create such user account on the NAIIS application. |\n| Sectoral Experts (SE) : Will have the right to enter/edit data in respective sector(s). | Experts will be provided these rights by their NFP and PM. If a Party decides to grant access to Sectoral Experts, the NFP will be able to create such user accounts and assign them in respective sector(s). |\n\nAccess for the NFP will be provided by the secretariat, upon request; however, the accounts of the other users within the country shall only be created by the NFP.\n\n## 3.2 How to access/ log out / create a GHG inventory\n\n## 3.2.1 How to access the NAIIS application\n\nOpen any internet browser (i.e. Internet Explorer, Firefox, etc.) and type in the following URL http://unfccc.int/7627 on the browser's address bar. (figure 1 and figure 2)\n\nFigure 1. Using Internet Explorer browser\n\n\n\nFigure 2. Using Firefox browser\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Once the 'Generate Official Submission' button has been pressed the 'Submit Inventory' initial screen for selecting the tables appears (figure 70).\n\n - 8. Select or deselect by clicking the appropriate year(s) under 'Inventory Years' box (figure 70, c) or the sector grids under the 'Table' box (figure 70, d) to generate the official submission.\n - 9. Press the 'Submit' button (figure 70, e). An official submission will be generated in the NAIIS system.\n\nFigure 70. Submit - select tables and grids for the general submission\n\n\n\n", - "page_start": 42, - "page_end": 42, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## NAVWEPS 00-8OT-80\n\n## INDEX\n\nPsge\n\n9", - "page_start": 432, - "page_end": 432, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## 3.3 User management\n\n## 3.3.1 Add User\n\n## Note : This function is ONLY available for NFP's and PM's!\n\n -  Log in as NFP or PM\n -  Hover the cursor on the 'Users Management' tab and click on the 'Users Administration' button. (see figure 18); this opens the Users Administration screen (figure 19).\n\n## Figure 18. Users Administration\n\nFigure 19. Initial screen of Users Administration\n\n\n\n\n\n -  Click the '+' sign (figure 19a) creates a new user (figure 20 new User).\n -  Double click on the cell of the newly created user name and enter a new user name (must be unique and contain at least 3 characters).\n\nOnce done, press the enter key and the new user name will be saved in the respective table of the NAIIS database.\n\nNote: New user name(s) will be generated by the system as default [Non-Annex I Party name] + 'newUser' (e.g. UgandanewUser, PhilippinesnewUser, ArgentinanewUser)", - "page_start": 13, - "page_end": 13, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## NAVWEPS OO-EOT-80 INDEX\n\nproprllcrs\n\nlmd", - "page_start": 433, - "page_end": 433, - "source_file": "00-80T-80.pdf" - }, - { - "text": "- /SM590000 http(s)://< service IP address of config node > click Service Assistant Tool", - "page_start": 756, - "page_end": 756, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What is the problem regarding the use of the Book3 dataset ?", - "target_page": 2, - "target_passage": "The Books3 dataset contains text from over 170,000 books,2 which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "## 5. Examining approaches to building a books data commons\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## 5a. Public domain and permissively licensed books\n\n## Existing Project Example : The Pile v2 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile - a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others. 28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29 Among other things, v2 would 'have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.' At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## What dataset management practices are necessary?\n\nNo matter how a books data commons gets built, it will be important to consider broader aspects of data governance. For example:\n\n - · Dataset documentation and transparency: Transparent documentation is important for any dataset used for AI training. A datasheet is a standardized form of documentation that includes information about provenance and composition of data, and includes information on management practices, recommended uses or collection process.\n - · Quality assurance: Above, we note the many features that make books useful for AI training, as compared with web data, for example. That said, the institution managing a books commons dataset may still want to collect and curate the collection to meet the particular purposes of its users. For instance, it may want to take steps to mitigate biases inherent in the dataset, by ensuring books are representative of a variety of languages and geographies.\n - · Understanding uses: The institution managing a books commons dataset could measure and study how the dataset is used, to inform future improvements. Such monitoring may also enable accountability measures with respect to uses of the dataset. Introducing community norms for disclosing datasets used in AI training and other forms of AI research would facilitate such monitoring.\n - · Governance mechanisms: In determining matters like acceptable and ethical use, the fundamental question is 'who decides.' While this might be settled simply by whoever sets up and operates the dataset and related infrastructure, participatory mechanisms - such as advisory bodies bringing together a broad range of users and stakeholders of a collection - could also be incorporated.", - "page_start": 19, - "page_end": 19, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 7. Conclusion\n\nThis paper is a snapshot of an idea that is as underexplored as it is rooted in decades of existing work. The concept of mass digitization of books, including to support text and data mining, of which AI is a subset, is not new. But AI training is newly of the zeitgeist, and its transformative use makes questions about how we digitize, preserve, and make accessible knowledge and cultural heritage salient in a distinct way.\n\nAs such, efforts to build a books data commons need not start from scratch; there is much to glean from studying and engaging existing and previous efforts. Those learnings might inform substantive decisions about how to build a books data commons for AI training. For instance, looking at the design decisions of HathiTrust may inform how the technical infrastructure and data management practices for AI training might be designed, as well as how to address challenges to building a comprehensive, diverse, and useful corpus. In addition, learnings might inform the process by which we get to a books data commons for example, illustrating ways to attend to the interests of those likely to be impacted by the dataset's development. 41\n\nWhile this paper does not prescribe a particular path forward, we do think finding a path (or paths) to extend access to books for AI training is critical. In the status quo, large swaths of knowledge contained in books are effectively locked up and inaccessible to most everyone. Google is an exception - it can reap the benefits of their 40 million books dataset for research, development, and deployment of AI models. Large, well-resourced entities could theoretically try to replicate Google's digitization efforts, although it would be incredibly expensive, impractical, and largely duplicative for each entity to individually pursue their own efforts. Even then, it isn't clear how everyone else - independent researchers, entrepreneurs, and smaller entities - will have access. The controversy around the Books3 dataset discussed at the outset should not, then, be an argument in favor of preserving the status quo. Instead, it should highlight the urgency of building a books data commons to support an AI ecosystem that provides broad benefits beyond the privileged few.", - "page_start": 20, - "page_end": 20, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "found on the web, and this additional information can help contextualize the provenance and veracity of information.\n\n - · Breadth, Diversity, and Mitigating Bias: Books can serve a critical role in ensuring AI models are inclusive of a broad range of topics and categories that may be underrepresented in other content. For all that the Internet has generated an explosion in human creativity and information sharing, it generally represents only a few decades of information and a small portion of the world's creative population. A books dataset, by comparison, is capable of representing centuries of human knowledge. As a result such a dataset can help ensure AI systems behavior is based on centuries of historical information from modern books. It can help ensure broad geographic and linguistic diversity. What's more, the greater breadth and diversity of high-quality content help mitigate challenges around bias and misinformation. Using a more diverse pool of training data can help support the production of a model and outputs of the model that are more representative of that diversity. Books can be useful in evaluation datasets to test existing models for memorization capabilities, which can help prevent unintended reproduction of existing works. Of course, this is all contingent on actual composition of the corpus; in order to have the benefits described, the books would need to be curated and included with characteristics like time, geographic and linguistic diversity.\n - · Other Modalities: Finally, books do not just contain text, they often contain images and captions of those images. As such, they can be an important training source for multi-modal LLMs, which can receive and generate data in media other than text.\n\n## Lowering Barriers to Entry & Facilitating Competition\n\nBroad access to books for AI training is critical to ensure powerful AI models are not concentrated in the hands of only a few companies. Access to training data, in general, has been cited as a potential competitive concern in the AI field because of the performance 11 benefits to be gained by training on larger and larger datasets. But this competitive wedge is even more acute when we look specifically at access to book datasets.\n\nThe largest technology companies building commercial AI models have the resources and capacity to mass digitize books for AI training. Google has scanned 40 million books, many of which came from digitization partnerships they formed with libraries. They may already use some or all of these books to train their AI systems. It's unclear to what extent other 12 companies already have acquired books for AI training (for instance, whether Amazon's existing licenses with publishers or self-published authors may permit such uses);", - "page_start": 6, - "page_end": 6, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 1. Introduction 1\n\nWhile the field of artificial intelligence research and technology has a long history, broad public attention grew over the last year in light of the wide availability of new generative AI systems, including large language models (LLMs) like GPT-4, Claude, and LLaMA-2. These tools are developed using machine learning and other techniques that analyze large datasets of written text, and they are capable of generating text in response to a user's prompts.\n\nWhile many large language models rely on website text for training, books have also played an important role in developing and improving AI systems. Despite the widespread use of ebooks and growth of sales in that market, books remain difficult for researchers and entrepreneurs to access at scale in digital form for the purposes of training AI.\n\nIn 2023, multiple news publications reported on the availability and use of a dataset of books called 'Books3' to train LLMs. The Books3 dataset contains text from over 170,000 books, 2 which are a mix of in-copyright and out-of-copyright works. It is believed to have been originally sourced from a website that was not authorized to distribute all of the works contained in the dataset. In lawsuits brought against OpenAI, Microsoft, Meta, and Bloomberg related to their LLMs, the use of Books3 as training data was specifically cited. 3\n\nThe Books3 controversy highlights a critical question at the heart of generative AI: what role do books play in training AI models, and how might digitized books be made widely accessible for the purposes of training AI? What dataset of books could be constructed and under what circumstances?\n\nIn February 2024, Creative Commons, Open Future and Proteus Strategies convened a series of workshops to investigate the concept of a responsibly designed, broadly accessible dataset of digitized books to be used in training AI models. Conducted under the Chatham House Rule, we set out to ask if there is a possible future in which a 'books data commons for AI training' might exist, and what such a commons might look like. The workshops brought together practitioners on the front lines of building next-generation AI models, as well as legal and policy scholars with expertise in the copyright and licensing challenges surrounding digitized books. Our goal was also to bridge the perspective of stewards of", - "page_start": 1, - "page_end": 1, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the specific design choices and technical constraints are not adequate to justify a finding of fair use.\n\nThis sort of books dataset could be built by expanding use of in-copyright books that have already been digitized from existing libraries and other sources. Specifically, workshop participants mentioned that the Internet Archive, HathiTrust, and Google as entities that have digitized books and could repurpose their use to build a books commons, although challenges with using these datasets were noted. The Internet Archive is in the midst of litigation brought by book publishers for its program for lending digital books; while not directly relevant to the issue of AI training using their corpus of books, this sort of litigation creates a chilling effect on organizations seeking to make new uses of these digitized books. Meanwhile, Google encumbered HathiTrust's digital copies with certain contractual restrictions, which would need to be addressed to develop a books dataset for AI training, and Google itself is unlikely to share its own copies while it provides them a competitive advantage.\n\nPerhaps as a matter of public policy, these existing copies could be made more freely available. For instance, to ensure robust competition around AI and advance other public interests, policymakers could remove legal obstacles to the sharing of digitized book files for use in AI training. Alternatively, policymakers could go further and affirmatively compel sharing access to these digital book files for AI training.\n\nIt's possible that there could be a new mass digitization initiative, turning physical books into new digital scans. At least in theory, one could try to replicate the existing corpora of HathiTrust, for example, without Google's contractual limitations. At the same time, such an effort would take many years, and it seems unlikely that many libraries would want to go to the trouble to have their collections digitized a second time. Moreover, while new scans may provide some incremental benefit over use of existing ones (e.g., by using the most modern digitization and OCR tools and thus improving accuracy), there is no inherent social value to making every entity that wants to do or allow AI training invest in their own redundant scanning.\n\nA new digitization effort could target works that have not been yet digitized. This may be particularly useful given that previous book digitization efforts, and the Google Books project in particular, have focused heavily (though not exclusively) on libraries in English-speaking countries. Additional digitization efforts might make more sense for books in those languages that have not yet been digitized at a meaningful scale. Any new digitization effort might therefore start with a mapping of the extent to which a books corpus in a given language has been digitized.", - "page_start": 16, - "page_end": 16, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Implications of the The Overall Approach\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and 'openly' licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material - a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works. 31\n\n## 5b. Limitations & Exceptions\n\n## Existing Project Example: HathiTrust Research Center (HTRC)\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## A Supplementary materials for datasets\n\n## A.1 All datasets\n\nTable 3 displays the size of each dataset along with the average number of tokens per sample and their references. The dataset's content was tokenized using cl100k\\_base encoding. For Retrieval, the two numbers refer to the queries and the documents. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant documents and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are obtained from the 90 documents extracted. For SummEvalFr , the three numbers refer to the texts, human and machine summaries, respectively.\n\nFigure 3 represents the semantic similarity between each dataset. The methodology was as follows: 90 random samples per dataset are embedded using the multilingual-e5-large model. The embeddings of each dataset's samples are averaged. The similarity between each dataset is then calculated using cosine similarity as in (Muennighoff et al., 2022).\n\nWe complement this analysis by observing the dataset's clouds of embedding in a 2D plane using PCA in Figure 4.\n\n## A.2 Created datasets\n\nSyntec Figure 5 shows an extract from the Syntec dataset with a document and a query relative to this document.\n\nHAL Figure 6 is an extract from the HAL dataset. Table 4 lists the distribution of classes ( domain field) for the HAL dataset on raw subset and mteb\\_eval subset, which is used for MTEB evaluation. Labels descriptions can be found at this URL: https://api.archivesouvertes.fr/ref/domain/?q=*:*&rows=393 or in Table 4. After pre-processing, mteb\\_eval covers titles from 10 domains as classes with less than 500 samples were removed. In the MTEB evaluation subset of the dataset, titles composed of 2 words or less have been removed (371 samples), resulting in an average word count of 13 . 4 . Figure 7 shows the word count distribution per title. Furthermore, the dataset has been cleaned up by manually removing all non-French titles. Additionally, it can be observed in Table 4 that in the original raw dataset, the shs and sdv classes represent by far the majority of the dataset samples with respectively 58706 samples (73%) and 11049 samples (13%). In order to\n\nmitigate the class imbalance while preserving the majority of those classes, they have been randomly subsampled to 6701 and 4803 samples. Furthermore, baseline models have been trained and tested to assess the usability of this dataset in other tasks, such as classification and topic modeling. Table 5 shows the results obtained.\n\nSummEvalFr Extracts of humans and machine summaries translated in French from SummEvalFr and the original ones in English from SummEval (Fabbri et al., 2021) are shown in Figure 9. As explained in section 3.1.3, we use a LLM to evaluate the quality of translations for human summaries, we provide the prompt used with GPT-4 for this evaluation in Figure 8.\n\nTable 6 shows the distribution of ratings given by the LLM. With the scale being 10, we manually verify random samples rated above 9. We verify all samples with ratings under 9 and those with no provided rating (N/A) due to the triggering of the OpenAI content management policy. The LLM suggests that 60 samples are not correctly translated. These were verified manually, and after checking, less than 10 samples only needed to be corrected.\n\n## B Supplementary materials for correlation analysis\n\nThis section presents various correlations computed based on the model results on the proposed benchmark.\n\nFigure 10 represents cross-correlations between models' performances and their studied characteristics as a heatmap.\n\nFigure 11 represents the Spearman correlations in terms of performance across models.\n\nFigure 12 represents the Spearman correlations in terms of performance across datasets.\n\n## C Supplementary materials for models\n\nWe present in this section the model characteristics we collected for the 46 evaluated models.", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## Who would get to use the books data commons? For what?\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n - · Defining and ensuring acceptable and ethical use: Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of 'gated access' are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside 'sticks' like legal penalties, this would be a 'carrot' that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, 'good behavior' would constitute a significant challenge.\n - · Charging for use to support sustainability of the training corpus itself: While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others). 40\n - · Ensuring benefits of AI are broadly shared, including with book authors or publishers: The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in 'winner takes all-or-most' markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "Just as environmental impact scales with model size, so does the difficulty of understanding what is in the training data. In §4, we discuss how large datasets based on texts from the Internet overrepresent hegemonic viewpoints and encode biases potentially damaging to marginalized populations. In collecting ever larger datasets we risk incurring documentation debt. We recommend mitigating these risks by budgeting for curation and documentation at the start of a project and only creating datasets as large as can be sufficiently documented.\n\nAs argued by Bender and Koller [14], it is important to understand the limitations of LMs and put their success in context. This not only helps reduce hype which can mislead the public and researchers themselves regarding the capabilities of these LMs, but might encourage new research directions that do not necessarily depend on having larger LMs. As we discuss in §5, LMs are not performing natural language understanding (NLU), and only have success in tasks that can be approached by manipulating linguistic form [14]. Focusing on state-of-the-art results on leaderboards without encouraging deeper understanding of the mechanism by which they are achieved can cause misleading results as shown", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv5_ccby4license.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "In the United States, before which date is book out of copyright for sure ?", - "target_page": 9, - "target_passage": "In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 4. Copyright, Licensing, & Access to Books for Training\n\nEven if books can be acquired, digitized, and made technically useful for AI training, the development of a books data commons would necessarily need to navigate and comply with copyright law.\n\nOut-of-Copyright Books: A minority of books are old enough to be in the public domain and out of copyright, and an AI developer could use them in training without securing any copyright permission. In the United States, all books published or released before 1929 are in the public domain. While use of these books provides maximal certainty for the AI developer to train on, it is worth noting that the status of whether a book is in the public domain can be difficult to determine. For instance, books released between 1929 and 1963 in the U.S. are 14 out of copyright if they were not subject to a copyright renewal; however, data on copyright renewals is not easily accessible.\n\nWhat's more, copyright definitions and term lengths vary among countries. Even if a work is in the public domain in the US, it may not be in other countries. Countries generally use the 15 life of the last living author + 'x' years to determine the term of copyright protection. For most countries, 'x' is either 50 years (the minimum required by the Berne Convention) or 70 years (this is the case for all member states of the European Union and for all works published in the U.S. after 1978). This approach makes it difficult to determine copyright terms with certainty because it requires information about the date of death of each author, which is often not readily available.\n\nIn-Copyright Books: The vast majority of books are in copyright, and, insofar as the training process requires making a copy of the book, the use in AI training may implicate copyright law. Our workshop covered three possible paths for incorporating such works.\n\n## Direct licensing\n\nOne could directly license books from rightsholders. There may be some publishers who are willing to license their works for this purpose, but it is hard to determine the scale of such access, and, in any event, there are significant limits on this approach. Along with the challenge (and expense) of reaching agreements with relevant rightsholders, there is also the practical difficulty of simply identifying and finding the rightsholder that one must negotiate", - "page_start": 8, - "page_end": 8, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most are not actively managed by their rightsholders. There is no official registry of copyrighted works and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially those that have or have had limited commercial value. Put differently, the barrier to using 17 most books is not simply to pay publishers; even if one had significant financial resources, licensing would not enable access to most works.\n\n## Permissively licensed works\n\nThere are books that have been permissively licensed in an easily identifiable way, such as works placed under Creative Commons (CC) licenses. Such works explicitly allow particular uses of works subject to various responsibilities (e.g., requiring attribution by the user in their follow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion depends on whether the license's terms can be complied with in the context of AI training. For instance, in the context of CC licensed works, there are requirements for proper attribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public Domain Mark (PDM) are not licenses and do not require attribution). 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Reliance on Copyright Limitations and Exceptions\n\nEven if a book is in copyright, it's possible that copying books for AI training may be covered by existing limitations and exceptions to copyright law in particular jurisdictions. For example:\n\n - · In the United States, many argue using existing works to train generative AI is 'fair use,' consistent with existing law and legal precedents. This is the subject of a 19 number of currently active court cases, and different actors and tools may yield different results, as fair use is applied case-by-case using a flexible balancing test.\n - · In the European Union, there are explicit exceptions in the law for 'text and data mining' uses of in-copyright works, both for non-commercial research and for commercial purposes. However, for commercial uses and for users outside of research and heritage institutions, they must respect the rights of rightsholders who choose to 'reserve their rights' (i.e., opt-out of allowing text and data mining) via machine readable mechanisms. The exception also requires that users have 'lawful 20 access' to the works.\n - · Finally, Japan provides a specific text and data mining exception, without any comparable opt-out requirement for commercial uses as is embedded in EU law. 21\n\nWhile exceptions that allow AI training exist in several other countries, such as Singapore and Israel, most countries do not provide exceptions that appear to permit AI training. Even where potentially available, as in the United States, legal uncertainty and risk create a hurdle for anyone building a books commons. 22", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Implications of the The Overall Approach\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and 'openly' licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material - a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works. 31\n\n## 5b. Limitations & Exceptions\n\n## Existing Project Example: HathiTrust Research Center (HTRC)\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "| (In thousands) | Net Book Value December 29, | SFAS 142 2001 Reclassification | Net Book Value as modified for SFAS 142 December 29, 2001 |\n|------------------------------------------------------|--------------------------------|------------------------------------|----------------------------------------------------------------|\n| Goodwill | $ 214,337 | $ (27,643) | $ 186,694 |\n| Customer lists and other (included in Other Assets) | 3,049 | 19,564 | 22,613 |\n| Trademarks (included in Other Assets) | - | 8,079 | 8,079 |\n| Patents (included in Other Assets) | 8,574 | - | 8,574 |\n| Total | $ 225,960 | $ - | $ 225,960 |", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "It is also important to note two other issues that can affect the application of limitations and exceptions, in particular, their application to e-books.\n\nThe first important limitation is that almost every digital book published today comes with a set of contractual terms that restrict what users can do with it. In many cases, those terms will explicitly restrict text data mining or AI uses of the content, meaning that even where copyright law allows for reuse (for example, under fair use), publishers by contract can impose restrictions anyway. In the United States, those contract terms are generally thought to override the applicability of fair use or other limitations and exceptions. Other 23 jurisdictions, such as those in the EU, provide that certain limitations and exceptions cannot be contractually overridden, though experience to date varies with how those anti-contractual override protections work in practice. 24\n\nThe second limitation is the widespread adoption of 'anti-circumvention' rules in copyright laws and the interplay of these with a choice to rely on copyright limitations and exceptions. Digital books sold by major publishers are generally encumbered with 'digital rights management' (DRM) that limits how someone can use the digital file. For instance, DRM can limit the ability to make a copy of the book, or even screenshot or excerpt from it, among other things. Anti-circumvention laws restrict someone's ability to evade these technical restrictions, even if it is for an ultimately lawful use.\n\nWhat this means for our purposes is that even if one acquires a digital book from, for example, Amazon, and it is lawful under copyright law to use that book in AI training, it can still generally be unlawful to circumvent the DRM to do so, outside narrow exceptions. 25 Thus, the ability to use in-copyright books encumbered by DRM - that is, most all books sold by major publishers - is generally limited. 26\n\nPractically, using in-copyright books to build a books commons for AI training - while relying on copyright's limitations and exceptions - requires turning a physical book into digital form, or otherwise engaging in the laborious process of manually re-creating a book's text (i.e., retyping the full text of the book) without circumventing the technical restrictions themselves.", - "page_start": 11, - "page_end": 11, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "\n\n| Arts and Entertainment | Food & Drink | Real\\_Estate | | Veterans Outdoors |\n|--------------------------|-------------------|-----------------------------|-----------------------------|----------------------|\n| Real Estate | Human Interest | Human Interest | Money & Finance | Fashion & Beauty |\n| Money and Finance | Money and Finance | Books & Entertainment Books | Books & Entertainment Books | Arts & Entertainment |\n\n\n\nContact Us\n\nWork From Home\n\nPrivacy Policy\n\nTerms of Use\n\n© Copyright NewsUSA 2025. All Rights Reserved.", - "page_start": 4, - "page_end": 4, - "source_file": "news3.pdf" - }, - { - "text": "It is also an example predicated on copyright's limitations and exceptions - in this case, on U.S. fair use. While the Authors Guild filed a copyright infringement suit against HathiTrust, federal courts in 2012 and 2014 ruled that HathiTrust's use of books was fair use. 32\n\nA nonprofit founded in 2008, HathiTrust grew out of a partnership among major US university libraries and today is 'an international community of research libraries committed to the long-term curation and availability of the cultural record.' It started in what it calls the 'early 33 days of mass digitization' - that is, at a time when it started to become economical to take existing physical artifacts in libraries and turn them into digital files at a large scale.\n\nThe founding members of HathiTrust were among the initial partners for Google's Book Search product, which allows people to search across and view small snippets of text from in-copyright books and read full copies of public domain books scanned from libraries' 34 collections. The libraries provided Google with books from their collections, Google would then scan the books for use in Book Search, and return to the libraries a digital copy for their own uses. These uses included setting up HathiTrust not only to ensure long-term preservation of the digital books and their metadata, but also to facilitate other uses, including full text search of books and accessibility for people with print disabilities. In separate court cases, both Google and HathiTrust's uses of the books were deemed consistent with copyright law.\n\nThe uses most relevant to this paper are those enabled by what HathiTrust refers to today as the Research Center. The Center grew in part out of a research discipline called 'digital humanities,' which, among other things, seeks to use computational resources or other digital technologies to analyze information and contribute to the study of literature, media, history, and other areas. For instance, imagine you want to understand how a given term (e.g., 'war on drugs') became used; one might seek to analyze when the term was first used and how often it was used over time by analyzing a vast quantity of sources, searching out the term's use. The insight here is that there is much to be learned not just from reading or otherwise consuming specific material, but also from 'non-consumptive research,' or \"research in which computational analysis is performed on one or more volumes (textual or image objects)\" to derive other sorts of insights. AI training is a type of non-consumptive use.\n\nToday, the Center '[s]upports large-scale computational analysis of the works in the HathiTrust Digital Library to facilitate non-profit and educational research.' It includes over 18 million books in over 400 languages from the HathiTrust Digital Library collection. Roughly 58% of the corpus is in copyright. HathiTrust notes that, while this corpus is large, it has limitations in terms of its representation across subject matter, language, geography, and other dimensions. In terms of subject matter, the corpus is skewed towards humanities (64.9%) and social sciences (14.3%). In terms of language, 51% of the books are in English,", - "page_start": 14, - "page_end": 14, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "engagement. And, at least in the U.S., it could generate billions of dollars in damages if the specific design choices and technical constraints are not adequate to justify a finding of fair use.\n\nThis sort of books dataset could be built by expanding use of in-copyright books that have already been digitized from existing libraries and other sources. Specifically, workshop participants mentioned that the Internet Archive, HathiTrust, and Google as entities that have digitized books and could repurpose their use to build a books commons, although challenges with using these datasets were noted. The Internet Archive is in the midst of litigation brought by book publishers for its program for lending digital books; while not directly relevant to the issue of AI training using their corpus of books, this sort of litigation creates a chilling effect on organizations seeking to make new uses of these digitized books. Meanwhile, Google encumbered HathiTrust's digital copies with certain contractual restrictions, which would need to be addressed to develop a books dataset for AI training, and Google itself is unlikely to share its own copies while it provides them a competitive advantage.\n\nPerhaps as a matter of public policy, these existing copies could be made more freely available. For instance, to ensure robust competition around AI and advance other public interests, policymakers could remove legal obstacles to the sharing of digitized book files for use in AI training. Alternatively, policymakers could go further and affirmatively compel sharing access to these digital book files for AI training.\n\nIt's possible that there could be a new mass digitization initiative, turning physical books into new digital scans. At least in theory, one could try to replicate the existing corpora of HathiTrust, for example, without Google's contractual limitations. At the same time, such an effort would take many years, and it seems unlikely that many libraries would want to go to the trouble to have their collections digitized a second time. Moreover, while new scans may provide some incremental benefit over use of existing ones (e.g., by using the most modern digitization and OCR tools and thus improving accuracy), there is no inherent social value to making every entity that wants to do or allow AI training invest in their own redundant scanning.\n\nA new digitization effort could target works that have not been yet digitized. This may be particularly useful given that previous book digitization efforts, and the Google Books project in particular, have focused heavily (though not exclusively) on libraries in English-speaking countries. Additional digitization efforts might make more sense for books in those languages that have not yet been digitized at a meaningful scale. Any new digitization effort might therefore start with a mapping of the extent to which a books corpus in a given language has been digitized.", - "page_start": 16, - "page_end": 16, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "creative_common_ai.pdf", - "query": "What of the main imporvement of the Pile v2 dataset in comparison to its first version ?", - "target_page": 13, - "target_passage": "Among other things, v2 would “have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.” At the same time, it would only seek to include public domain books and permissively licensed content", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "| Dataset x Task | Average # tokens | # samples | Reference | License |\n|-------------------------------|-------------------------|---------------------|----------------------------------------------------|-----------------|\n| AmazonReviewsClassification | 49.6 | 5000 | McAuley and Leskovec (2013) | N/A |\n| MasakhaNEWSClassification | 1398.2 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MassiveIntentClassification | 11.4 | 2974 | FitzGerald et al. (2023) | N/A |\n| MassiveScenarioClassification | 11.4 | 2974 | FitzGerald et al. (2023) | N/A |\n| MTOPDomainClassification | 12.5 | 3193 | Li et al. (2021) | N/A |\n| MTOPIntentClassification | 12.5 | 3193 | Li et al. (2021) | N/A |\n| AlloProfClusteringP2P | 1021.8 | 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| AlloProfClusteringS2S | 8.8 | 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| HALClusteringS2S | 25.6 | 26233 | Introduced by our paper | Apache-2.0 |\n| MasakhaNEWSClusteringP2P | 1398.1 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MasakhaNEWSClusteringS2S | 21.7 | 422 | Adelani et al. (2023) | AFL-3.0 |\n| MLSUMClusteringP2P | 1062.1 | 15828 | Scialom et al. (2020) | Other |\n| MLSUMClusteringS2S | 20.8 | 15828 | Scialom et al. (2020) | Other |\n| OpusparcusPC | 9.7 | 1007 | Creutz (2018) | CC-BY-NC-4.0 |\n| PawsX | 34.9 | 2000 | Yang et al. (2019) | Other |\n| STSBenchmarkMultilingualSTS | 18.4 | 1379 | May (2021) | N/A |\n| STS22 | 722.1 | 104 | Chen et al. (2022) | N/A |\n| SICKFr | 15.1 | 4906 | https://huggingface.co./datasets/Lajavaness/SICK-fr | Apache-2.0 |\n| DiaBLaBitextMining | 12.02 | 5748 | Bawden et al. (2021) | CC-BY-SA-4.0 |\n| FloresBitextMining | 33.42 | 1012 | Goyal et al. (2021) | CC-BY-SA-4.0 |\n| AlloprofReranking | 48.3 - 1179.4 - 1196.4 | 2316 - 2975 - 22064 | Lefebvre-Brossard et al. (2023) | MIT |\n| SyntecReranking | 19.2 - 402.2 - 467.2 | 100 - 100 - 917 | Introduced by our paper | Apache-2.0 |\n| AlloprofRetrieval | 48.31 - 1117.91 | 2316 - 2556 | Lefebvre-Brossard et al. (2023) | MIT |\n| BSARDRetrieval | 144.03 - 24530.8 | 222 - 22600 | Louis and Spanakis (2022) | CC-BY-NC-SA-4.0 |", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), VideoMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74 . 8% compared to 75 . 1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.Table 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA 512 and V-JEPA 384 which are evaluated respectively at resolution 512 and 384 . On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "Figure 4 SSv2 fine-tuning performance vs. Samples Seen. We report SSv2 fine-tuning for V-JEPA and pixel-reconstruction baselines using a ViT-L/16 or Hiera-L architecture. V-JEPA outperforms all pixel-reconstruction methods using a ViTL/16 and matches the Hiera-L performance while seeing significantly less samples during pretraining.\n\n\n\nageNet; hence, V-JEPA achieves comparable ImageNet performance despite only pretraining on video.\n\nUnder the fine-tuning protocol, V-JEPA also achieves the best performance of any model trained with a ViT-L/16, and matches the performance of the Hiera-L on SSv2, which benefits from a hierachical prior (Ryali et al., 2023). The V-JEPA models achieve this result while processing significantly fewer samples during pretraining (Figure 4), demonstrating the efficiency of feature prediction as a learning principle.\n\n## 5.2 Comparison with State-of-the-Art\n\nNext, in Table 6, we inspect how the V-JEPA models pretrained on video stack up next to the largest stateof-the-art self-supervised image and video models when freezing the backbone encoder and training an attentive probe on top. Our image pretrained baselines include OpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al., 2023), and I-JEPA (Assran et al., 2023). The OpenCLIP model is trained with a contrastive image-text alignment objective, DINOv2 and I-JEPA are trained with self-supervision. These models are known to excel in their frozen-evaluation performance (Oquab et al., 2023); i.e., their ability to produce visual features that can be applied to many downstream tasks simultaneously, without end-to-end fine-tuning, and thus provide highly competitive baselines. Our video pretrained baselines include VideoMAE (Tong et al., 2022), OmniMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023), VideoMAEv2 (Wang et al., 2023a), and MVD (Wang et al., 2023b). The OpenCLIP, DINOv2 and VideoMAEv2 models are parameterized as Giant/Gigantic vision transformer architectures containing over 1B parameters trained on large-scale image or video datasets.\n\nComparison with video models. Compared to large-scale video baselines, the V-JEPA models outperform all previous models on every downstream video\n\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining Time. Wallclock times for all methods are measured on a single GPU with a batch size of 10 clips, using the official codebases for VideoMAE and VideoMAEv2, and linearly extrapolated assuming a global batch size of 2400 samples. However, note that the SSv2 accuracies of video pixel prediction methods are actually obtained with small batch sizes and significantly longer training schedules. V-JEPA outperforms pixel-reconstruction methods while training significantly faster.\n\n\n\nand image task with notable margin (see Table 6). Our H/16 model outperforms the largest publicly available VideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera models by at least +5 points in motion understanding (Something-Something-v2), +2 points in action recognition (Kinetics-400), +5 points on action detection (AVA), +1 point on object recognition (ImageNet-1K), +2 points in scene recognition (Places205), and +0 . 2 points on finegrained recognition (iNaturalist). Moreover, when comparing pretraining wallclock time in Figure 5, we see that V-JEPA achieves this performance with a roughly 2 × speedup compared to the large pixel prediction models.\n\nComparison with image models. On tasks that require a fine-grained understanding of motion (SomethingSomething-v2), the V-JEPA models provide a major improvement (over +21 points) compared to large-scale image baselines, such as DINOv2, OpenCLIP, and IJEPA. Self-supervised pretraining from videos allows to model dynamic concepts that are not easily learned from static image datasets. Similarly, we observe that the V-JEPA models outperform image-based pretraining on action localization.", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "correlated (see Figure 12). We preferred to propose datasets even if they could introduce biases rather than not address the task in the benchmark. Note that each task type can be considered individually. We hope additional resources will be developed in the French-speaking community to enrich our comparison.\n\nBenchmark validity over time As with all benchmarks, their reliability over time can be discussed as the field evolves fast. The models selected for the analysis conducted in this paper are those available at this time, new outperforming models will be created and shall be evaluated. Our work extends MTEB and thus simplifies the addition of new datasets for evaluation and allows running new models. With this effort, we hope this will simplify the evaluation of new models proposed by the community to keep our work up to date.\n\nData contamination issues Bias may exist for models that use the training sets of the provided evaluation datasets for their training. It considerably improves their performance on the benchmark, favouring them over other models. This is particularly worrying for models that do not communicate about the datasets used during training, such as proprietary models. Generally speaking, it would be interesting to calculate the similarity between the datasets used to train the models and those used to test them to check that they are far enough apart to draw general conclusions.\n\nFocus on sentence embeddings Finally, like the original version of MTEB, the comparison focuses mainly on sentence embeddings. Other tasks could be added to cover word embeddings and, therefore, more NLP tasks.\n\n## Acknowledgements\n\nWe would like to thank Wikit 11 and Esker 12 for providing compute and funding this research.\n\n## References\n\nDavid Ifeoluwa Adelani, Marek Masiak, Israel Abebe Azime, Jesujoba Oluwadara Alabi, Atnafu Lambebo Tonja, Christine Mwase, Odunayo Ogundepo, Bonaventure F. P. Dossou, Akintunde Oladipo, Doreen Nixdorf, Chris C. Emezue,\n\nSana Al-Azzawi, Blessing K. Sibanda, Davis David, Lolwethu Ndolela, Jonathan Mukiibi, Tunde Oluwaseyi Ajayi, Tatiana Moteu Ngoli, Brian Odhiambo, Abraham Toluwase Owodunni, Nnaemeka Obiefuna, Shamsuddeen Hassan Muhammad, Saheed Salahudeen Abdullahi, Mesay Gemeda Yigezu, Tajuddeen Rabiu Gwadabe, Idris Abdulmumin, Mahlet Taye Bame, Oluwabusayo Olufunke Awoyomi, Iyanuoluwa Shode, Tolulope Anu Adelani, Habiba Abdulganiy Kailani, Abdul-Hakeem Omotayo, Adetola Adeeko, Afolabi Abeeb, Anuoluwapo Aremu, Olanrewaju Samuel, Clemencia Siro, Wangari Kimotho, Onyekachi Raphael Ogbu, Chinedu E. Mbonu, Chiamaka Ijeoma Chukwuneke, Samuel Fanijo, Jessica Ojo, Oyinkansola F. Awosan, Tadesse Kebede Guge, Sakayo Toadoum Sari, Pamela Nyatsine, Freedmore Sidume, Oreen Yousuf, Mardiyyah Oduwole, Ussen Kimanuka, Kanda Patrick Tshinu, Thina Diko, Siyanda Nxakama, Abdulmejid Tuni Johar, Sinodos Gebre, Muhidin A. Mohamed, Shafie Abdi Mohamed, Fuad Mire Hassan, Moges Ahmed Mehamed, Evrard Ngabire, and Pontus Stenetorp. 2023. Masakhanews: News topic classification for african languages. In International Joint Conference on Natural Language Processing .\n\nEneko Agirre, Carmen Banea, Daniel Cer, Mona Diab, Aitor Gonzalez-Agirre, Rada Mihalcea, German Rigau, and Janyce Wiebe. 2016. SemEval-2016 task 1: Semantic textual similarity, monolingual and cross-lingual evaluation. In Proceedings of the 10th International Workshop on Semantic Evaluation (SemEval-2016) , pages 497-511, San Diego, California. Association for Computational Linguistics.\n\nArthur Barbosa, Máverick Ferreira, Rafael Ferreira Mello, Rafael Dueire Lins, and Dragan Gasevic. 2021. The impact of automatic text translation on classification of online discussions for social and cognitive presences. In LAK21: 11th International Learning Analytics and Knowledge Conference , LAK21, page 77-87, New York, NY, USA. Association for Computing Machinery.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv4.pdf" - }, - { - "text": "## A Supplementary materials for datasets\n\n## A.1 All datasets\n\nTable 3 displays the size of each dataset along with the average number of tokens per sample and their references. The dataset's content was tokenized using cl100k\\_base encoding. For Retrieval, the two numbers refer to the queries and the documents. For Reranking, the three numbers refer to the queries, the pairs of queries with relevant documents and the pairs of queries with irrelevant ones, respectively. The pairs of queries and documents are obtained from the 90 documents extracted. For SummEvalFr , the three numbers refer to the texts, human and machine summaries, respectively.\n\nFigure 3 represents the semantic similarity between each dataset. The methodology was as follows: 90 random samples per dataset are embedded using the multilingual-e5-large model. The embeddings of each dataset's samples are averaged. The similarity between each dataset is then calculated using cosine similarity as in (Muennighoff et al., 2022).\n\nWe complement this analysis by observing the dataset's clouds of embedding in a 2D plane using PCA in Figure 4.\n\n## A.2 Created datasets\n\nSyntec Figure 5 shows an extract from the Syntec dataset with a document and a query relative to this document.\n\nHAL Figure 6 is an extract from the HAL dataset. Table 4 lists the distribution of classes ( domain field) for the HAL dataset on raw subset and mteb\\_eval subset, which is used for MTEB evaluation. Labels descriptions can be found at this URL: https://api.archivesouvertes.fr/ref/domain/?q=*:*&rows=393 or in Table 4. After pre-processing, mteb\\_eval covers titles from 10 domains as classes with less than 500 samples were removed. In the MTEB evaluation subset of the dataset, titles composed of 2 words or less have been removed (371 samples), resulting in an average word count of 13 . 4 . Figure 7 shows the word count distribution per title. Furthermore, the dataset has been cleaned up by manually removing all non-French titles. Additionally, it can be observed in Table 4 that in the original raw dataset, the shs and sdv classes represent by far the majority of the dataset samples with respectively 58706 samples (73%) and 11049 samples (13%). In order to\n\nmitigate the class imbalance while preserving the majority of those classes, they have been randomly subsampled to 6701 and 4803 samples. Furthermore, baseline models have been trained and tested to assess the usability of this dataset in other tasks, such as classification and topic modeling. Table 5 shows the results obtained.\n\nSummEvalFr Extracts of humans and machine summaries translated in French from SummEvalFr and the original ones in English from SummEval (Fabbri et al., 2021) are shown in Figure 9. As explained in section 3.1.3, we use a LLM to evaluate the quality of translations for human summaries, we provide the prompt used with GPT-4 for this evaluation in Figure 8.\n\nTable 6 shows the distribution of ratings given by the LLM. With the scale being 10, we manually verify random samples rated above 9. We verify all samples with ratings under 9 and those with no provided rating (N/A) due to the triggering of the OpenAI content management policy. The LLM suggests that 60 samples are not correctly translated. These were verified manually, and after checking, less than 10 samples only needed to be corrected.\n\n## B Supplementary materials for correlation analysis\n\nThis section presents various correlations computed based on the model results on the proposed benchmark.\n\nFigure 10 represents cross-correlations between models' performances and their studied characteristics as a heatmap.\n\nFigure 11 represents the Spearman correlations in terms of performance across models.\n\nFigure 12 represents the Spearman correlations in terms of performance across datasets.\n\n## C Supplementary materials for models\n\nWe present in this section the model characteristics we collected for the 46 evaluated models.", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.Table 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Fine-Tuning |\n|----------|----------|---------------------|---------------------|---------------------|----------------------|\n| Target | Arch. | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | K400-ft (16 × 5 × 3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\n| | | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | |\n|----------|------------|----------|---------------------|---------------------|---------------------|------|\n| Arch. | Data | #Samples | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| ViT-L/16 | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| ViT-L/16 | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| ViT-H/16 | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n## 4 WhatMatters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "Figure 3: Summary of our setup for routers, underlying LLMs, and benchmark datasets used in the experiments.\n\n| Routers | | Notation R SW R |\n|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|\n| Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | MF R CLS R LLM |\n| LLMpair | Strong ( M s ) | Weak ( M w ) |\n| 1 | Llama-3.1-8B | 4-bit Mixtral 8x7B |\n| 2 3 | Llama-3.1-8B Llama-3.1-8B | Mistral-7B-Instruct-v0.3 Llama-2-7B-chat-hf |\n| 4 | GPT-4-1106-preview | 4-bit Mixtral 8x7B |\n| Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions |\n| MMLU[35] | MMLU[35] | MMLU[35] |\n| GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems |\n\nIn all experiments, we assume that the adversary's goal is to reroute queries to the strong model. In Appendix E, we evaluate efficacy of the attack when the goal is to reroute to the weak model.\n\nTarget routers. We focus our evaluation on the four prescriptive routing algorithms proposed by Ong et al. [47], which provides open-source code and trained parameters, and does so for a representative variety of routing approaches: similarity-based classification [41, 59], an MLP constructed via matrix factorization [59], BERT-based classification [27, 53, 59], and a fine-tuned LLM.\n\nThe routers we evaluate were trained in a supervised fashion using a set of reference (training) queries whose performance score on each of the considered models is known. The scores were computed from a collection of human pairwise rankings of model answers for each of the queries. We note that while the routers we consider are all learned using this training set, there is no reason to believe a non-learning-based approach (e.g., rule based) to routing would be more adversarially robust.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - }, - { - "text": "## 5. Examining approaches to building a books data commons\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## 5a. Public domain and permissively licensed books\n\n## Existing Project Example : The Pile v2 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile - a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others. 28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29 Among other things, v2 would 'have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.' At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "- /SM590000 Introduction and Implementation of Data Reduction Pools and Deduplication , SG24-8430", - "page_start": 424, - "page_end": 424, - "source_file": "sg247938.pdf" - }, - { - "text": "Table 10: Benchmark-specific average scores of responses to the original and confounded queries with GPT-4-1106preview as the strong model (LLM pair 4), in the white-box setting. Results demonstrate a higher increase in performance with respect to the LLM pair 1 setting, due to the larger performance gap between the models.\n\n| | R SW | R SW | R MF | R MF | R CLS | R CLS | R LLM | R LLM |\n|----------|----------|---------------|----------|---------------|----------|---------------|----------|---------------|\n| | Original | Confounded | Original | Confounded | Original | Confounded | Original | Confounded |\n| MT-Bench | 9 . 2 | 9 . 2 ± 0 . 0 | 9 . 1 | 9 . 3 ± 0 . 0 | 9 . 2 | 9 . 1 ± 0 . 0 | 8 . 9 | 9 . 1 ± 0 . 1 |\n| MMLU | 76 | 84 ± 1 | 76 | 81 ± 0 | 76 | 84 ± 0 | 78 | 84 ± 1 |\n| GSM8K | 62 | 86 ± 0 | 65 | 88 ± 1 | 68 | 90 ± 2 | 66 | 85 ± 2 |\n\nconfounder gadgets, queries originally routed to GPT are still routed to GPT and no queries are ever routed to Claude. For queries originally routed to Llama, some gadgets result in all of them being rerouted to GPT, and some have no impact. Specifically, 4 out of the 10 gadgets we optimized using R SW caused all queries to be rerouted to GPT, 2 / 10 using R MF , and 3 / 10 using R LLM . None of the gadgets optimized using R CLS had any impact on routing. In terms of costs, having all queries being rerouted to GPT results with an average cost of $0 . 25 , a greater than 8 × increase over the cost of the original queries. Given the lack of documentation of the routing algorithm being used, we are unsure what explains the variability across gadgets.\n\nMartian. This router is supposed to let the user provide a list of models and to specify the maximum amount the user is willing to pay for a query or for 1M tokens. Unfortunately, as of November 14, 2024, the router appears to ignore the list models provided by the user, and forwards the input to the same LLM regardless of it. We tested this in settings including one, two, or multiple models. While responses do not specify which LLM was used, they were identical across settings, so we excluded Martian from our evaluation. We notified Martian about the seemingly buggy behavior.\n\n## 8 Defenses\n\nDefenses against rerouting should be cheap. If the per-query cost of the defense is comparable to the per-query cost of a strong LLM, deploying the defense will defeat the main purpose of LLM routing, which is to reduce the cost of responding to queries.\n\nPerplexity-based filtering. As explained in Section 6, perplexity is a measure of how 'natural' the text looks. Perplexitybased filtering has been suggested in many contexts as a defense against adversarial text inputs [16, 36]. This defense computes the perplexity of multiple 'trusted' texts, then compares it with the perplexity of the suspicious text. If the latter is significantly higher, or above some predefined threshold, the text is considered adversarial. Specifically, we assume the defender has access to a set of unmodified queries. The defender computes their perplexity values and uses these values to establish a threshold. Given a new query, the defender checks if its perplexity exceeds the threshold. If so, the query is flagged as adversarial. The defender can then decide how to handle such queries. Options include rejecting them or routing them all to the weak model. Computing the perplexity of a query can be cheap to do, e.g., using GPT-2 as we do in this work; this makes it viable for use as a defense that doesn't undermine the benefits of routing.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "Where will the 2024 AI + Energy summit take place ?", - "target_page": 1, - "target_passage": "The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Log in\n\n\n\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\n\n\n\nARTS AND ENTERTAINMENT\n\n## New Artificial Intelligence Summit Series Begins With Energy\n\n07/31/2024\n\n(AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain America's global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit Series.\n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and technologists to address the challenges of AI's energy consumption and develop solutions for a resilient and abundant energy future. The event also aims to address the implications of AI and energy for national security and promote partnerships between AI and energy stakeholders.\n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy efficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in overcoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research.\n\nSCSP's recent 'Action Plan for U.S. Leadership in Next-Generation Energy,' raises many issues related to AI and energy, including recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and other issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American adversaries could gain the upper hand in AI leadership, according to SCSP experts.\n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP's Next-Generation Energy Action Plan.\n\nArticle Link\n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\n\n## RELATED ARTICLES\n\n\n\n\n\nMar 06, 2024\n\nCelebrate St. Patrick's Day with No Booze, Just Pure Irish Fun and Entertainment\n\nMar 06, 2024\n\nExplore Downtown San Pedro with Flair: Ride the Iconic Red Car Trolley for Free\n\nMar 06, 2024\n\nSay Hello to Your Big Break at the Stapleton Library Job Fair in Vocation, Trade, or Civil Service\n\n\n\n\n\nFeb 22, 2024\n\nRetrain Your Emotional Brain: A Natural Alternative to Weight Loss Drugs\n\n© Copyright NewsUSA 2025. All Rights Reserved.\n\nFeb 21, 2024\n\nSerial Entrepreneur Teaches Us How to Go the Distance in Business and in Life\n\nNEWSUSA\n\nMar 06, 2024\n\nLocal Artists Collaborate for a Unique Fusion of Groove and Collage\n\nFASHION\n\nBUSINESS\n\nINFOGRAPHIC\n\nENVIRONMENT\n\nHEALTH\n\nMONEY\n\nFOOD\n\nTRAVEL\n\nBRIDAL\n\nRECREATION\n\nTECHNOLOGY\n\nHOME\n\nEDUCATION\n\nARTS & ENTERTAINMENT\n\nAUTO\n\nCHILDREN\n\nFITNESS\n\nHOLIDAY\n\nINSURANCE\n\nLAWN & GARDEN\n\nLISTICLE\n\nNUTRITION\n\nPARENTING\n\nPETS\n\nSEASONAL\n\nSENIORS\n\nSPANISH\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN\\_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK\\_REVIEW\n\nRECIPE\n\nAFRICAN\\_AMERICANS\n\nHOW\\_TO\n\nBYLINED\\_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME\\_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL\\_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY\n\nMONEY AND FINANCE\n\nBOOKS & ENTERTAINMENT\n\nBOOKS\n\nARTS & ENTERTAINMENT\n\nCATEGORIES\n\nRECENT POSTS", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "- 314. Milmo, Dan (3 November 2023). \"Hope or Horror? The great AI debate dividing its pioneers\". The Guardian Weekly . pp. 10-12.\n - 315. \"The Bletchley Declaration by Countries Attending the AI Safety Summit, 1-2 November 2023\" (https://web.archive.org/web/20231101123904/https://www.gov.uk/government/public ations/ai-safety-summit-2023-the-bletchley-declaration/the-bletchley-declaration-by-countrie s-attending-the-ai-safety-summit-1-2-november-2023). GOV.UK . 1 November 2023. Archived from the original (https://www.gov.uk/government/publications/ai-safety-summit-20 23-the-bletchley-declaration/the-bletchley-declaration-by-countries-attending-the-ai-safety-s ummit-1-2-november-2023) on 1 November 2023. Retrieved 2 November 2023.\n - 316. \"Countries agree to safe and responsible development of frontier AI in landmark Bletchley Declaration\" (https://www.gov.uk/government/news/countries-agree-to-safe-and-responsible -development-of-frontier-ai-in-landmark-bletchley-declaration). GOV.UK (Press release). Archived (https://web.archive.org/web/20231101115016/https://www.gov.uk/government/ne ws/countries-agree-to-safe-and-responsible-development-of-frontier-ai-in-landmark-bletchle y-declaration) from the original on 1 November 2023. Retrieved 1 November 2023.\n - 317. \"Second global AI summit secures safety commitments from companies\" (https://www.reuter s.com/technology/global-ai-summit-seoul-aims-forge-new-regulatory-agreements-2024-05-2 1). Reuters. 21 May 2024. Retrieved 23 May 2024.\n - 318. \"Frontier AI Safety Commitments, AI Seoul Summit 2024\" (https://web.archive.org/web/2024 0523201611/https://www.gov.uk/government/publications/frontier-ai-safety-commitments-aiseoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-2024). gov.uk. 21 May 2024. Archived from the original (https://www.gov.uk/government/publications/frontier-ai-safe ty-commitments-ai-seoul-summit-2024/frontier-ai-safety-commitments-ai-seoul-summit-202 4) on 23 May 2024. Retrieved 23 May 2024.\n - 319. Russell & Norvig 2021, p. 9.\n - 320. Copeland, J., ed. (2004). The Essential Turing: the ideas that gave birth to the computer age . Oxford, England: Clarendon Press. ISBN 0-1982-5079-7.\n - 321. \"Google books ngram\" (https://books.google.com/ngrams/graph?content=electronic+brain& year\\_start=1930&year\\_end=2019&corpus=en-2019&smoothing=3). Archived (https://web.ar chive.org/web/20241005170209/https://books.google.com/ngrams/graph?content=electronic +brain&year\\_start=1930&year\\_end=2019&corpus=en-2019&smoothing=3) from the original on 5 October 2024. Retrieved 5 October 2024.\n - 322. AI's immediate precursors: McCorduck (2004, pp. 51-107), Crevier (1993, pp. 27-32), Russell & Norvig (2021, pp. 8-17), Moravec (1988, p. 3)\n - 323. Turing's original publication of the Turing test in \"Computing machinery and intelligence\": Turing (1950) Historical influence and philosophical implications: Haugeland (1985, pp. 69), Crevier (1993, p. 24), McCorduck (2004, pp. 70-71), Russell & Norvig (2021, pp. 2, 984)\n - 324. Crevier (1993), pp. 47-49.\n - 325. Russell & Norvig (2003), p. 17.\n - 326. Russell & Norvig (2003), p. 18.\n - 327. Newquist (1994), pp. 86-86.\n - 328. Simon (1965, p. 96) quoted in Crevier (1993, p. 109)\n - 329. Minsky (1967, p. 2) quoted in Crevier (1993, p. 109)\n - 330. Russell & Norvig (2021), p. 21.\n - 331. Lighthill (1973).\n - 332. NRC 1999, pp. 212-213.\n - 333. Russell & Norvig (2021), p. 22.\n - 334. Expert systems: Russell & Norvig (2021, pp. 23, 292), Luger & Stubblefield (2004, pp. 227331), Nilsson (1998, chpt. 17.4), McCorduck (2004, pp. 327-335, 434-435), Crevier (1993, pp. 145-162, 197-203), Newquist (1994, pp. 155-183)", - "page_start": 47, - "page_end": 47, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 211. Hiller, Jennifer (20 September 2024). \"Three Mile Island's Nuclear Plant to Reopen, Help Power Microsoft's AI Centers\" (https://www.wsj.com/business/energy-oil/three-mile-islands-n uclear-plant-to-reopen-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults\\_pos 1&page=1). Wall Street Journal . Dow Jones. Archived (https://web.archive.org/web/2024100 5170152/https://www.wsj.com/business/energy-oil/three-mile-islands-nuclear-plant-to-reope n-help-power-microsofts-ai-centers-aebfb3c8?mod=Searchresults\\_pos1&page=1) from the original on 5 October 2024. Retrieved 5 October 2024.\n - 212. Niva Yadav (19 August 2024). \"Taiwan to stop large data centers in the North, cites insufficient power\" (https://www.datacenterdynamics.com/en/news/taiwan-to-stop-large-data -centers-in-the-north-cites-insufficient-power/). DatacenterDynamics.\n - 213. Mochizuki, Takashi; Oda, Shoko (18 October 2024). \" エヌビディア出資の⽇本企業、原発近 くでＡＩデ-タセンタ-新設検討 \" (https://www.bloomberg.co.jp/news/articles/2024-10-18/S LHGKKT0AFB400). Bloomberg (in Japanese).\n - 214. Naureen S Malik and Will Wade (5 November 2024). \"Nuclear-Hungry AI Campuses Need New Plan to Find Power Fast\" (https://www.bloomberg.com/news/articles/2024-11-04/nucle ar-hungry-ai-campuses-need-new-strategy-to-find-power-fast). Bloomberg.\n - 215. Nicas (2018).\n - 216. Rainie, Lee; Keeter, Scott; Perrin, Andrew (22 July 2019). \"Trust and Distrust in America\" (ht tps://www.pewresearch.org/politics/2019/07/22/trust-and-distrust-in-america). Pew Research Center . Archived (https://web.archive.org/web/20240222000601/https://www.pewresearch.or g/politics/2019/07/22/trust-and-distrust-in-america) from the original on 22 February 2024.\n - 217. Williams (2023).\n - 218. Taylor & Hern (2023).\n - 219. Samuel, Sigal (19 April 2022). \"Why it's so damn hard to make AI fair and unbiased\" (https:// www.vox.com/future-perfect/22916602/ai-bias-fairness-tradeoffs-artificial-intelligence). Vox . Archived (https://web.archive.org/web/20241005170153/https://www.vox.com/future-perfect/ 22916602/ai-bias-fairness-tradeoffs-artificial-intelligence) from the original on 5 October 2024. Retrieved 24 July 2024.\n - 220. Rose (2023).\n - 221. CNA (2019).\n - 222. Goffrey (2008), p. 17.\n - 223. Berdahl et al. (2023); Goffrey (2008, p. 17); Rose (2023); Russell & Norvig (2021, p. 995)\n - 224. Christian (2020), p. 25.\n - 225. Russell & Norvig (2021), p. 995.\n - 226. Grant & Hill (2023).\n - 227. Larson & Angwin (2016).\n - 228. Christian (2020), p. 67-70.\n - 229. Christian (2020, pp. 67-70); Russell & Norvig (2021, pp. 993-994)\n - 230. Russell & Norvig (2021, p. 995); Lipartito (2011, p. 36); Goodman & Flaxman (2017, p. 6); Christian (2020, pp. 39-40, 65)\n - 231. Quoted in Christian (2020, p. 65).\n - 232. Russell & Norvig (2021, p. 994); Christian (2020, pp. 40, 80-81)\n - 233. Quoted in Christian (2020, p. 80)\n - 234. Dockrill (2022).\n - 235. Sample (2017).\n - 236. \"Black Box AI\" (https://www.techopedia.com/definition/34940/black-box-ai). 16 June 2023. Archived (https://web.archive.org/web/20240615100800/https://www.techopedia.com/definiti on/34940/black-box-ai) from the original on 15 June 2024. Retrieved 5 October 2024.\n - 237. Christian (2020), p. 110.", - "page_start": 42, - "page_end": 42, - "source_file": "wikipedia3.pdf" - }, - { - "text": "\n\n\n\nOver 300 attendees from 45 countries joined us this past October in Mexico City for the first in-person CC Global Summit since 2019. The theme was AI & the Commons with over 60 sessions and 180 speakers. Learn more here.\n\nThank you to our sponsors: John D. and Catherine T. MacArthur Foundation, Microsoft Corporation, Filecoin Foundation for the Decentralized Web, Akin, Anthropic, Mozilla Foundation, The Michelson 20MM Foundation, MHz Curationist, Frontiers Media, Arnold & Porter, and Crowell & Moring.", - "page_start": 5, - "page_end": 5, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "- 210. Halper, Evan (20 September 2024). \"Microsoft deal would reopen Three Mile Island nuclear plant to power AI\" (https://www.washingtonpost.com/business/2024/09/20/microsoft-three-mi le-island-nuclear-constellation). Washington Post .", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## Areas of Exploration\n\n## Support for Creators in the Time of Artificial Intelligence\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. MozFest , Wikimania ), and public events (e.g. symposium on Generative AI & Creativity )to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted community-driven principles on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n'The Pillars of Creation' by James Webb Space Telescope is licensed under CC BY 2.0.\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the near and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks. [314] 28 countries including the United States, China, and the European Union issued a declaration at the start of the summit, calling for international co-operation to manage the challenges and risks of artificial intelligence. [315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety commitments on the development of AI. [317][318]\n\n## History\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, by shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical reasoning. [319][320] This, along with concurrent discoveries in cybernetics, information theory and neurobiology, led researchers to consider the possibility of building an \"electronic brain\". [r] They developed several areas of research that would become part of AI, [322] such as McCullouch and Pitts design for \"artificial neurons\" in 1943, [115] and Turing's influential 1950 paper 'Computing Machinery and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was plausible. [323][320]\n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956. [s][6] The attendees became the leaders of AI research in the 1960s. [t] They and their students produced programs that the press described as \"astonishing\": [u] computers were learning checkers strategies, solving word problems in algebra, proving logical theorems and speaking English. [v][7] Artificial intelligence laboratories were set up at a number of British and U.S. universities in the latter 1950s and early 1960s. [320]\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in creating a machine with general intelligence and considered this the goal of their field. [327] In 1965 Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can do\". [328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating 'artificial intelligence' will substantially be solved\". [329] They had, however, underestimated the difficulty of the problem. [w] In 1974, both the U.S. and British governments cut off exploratory research in response to the criticism of Sir James Lighthill [331] and ongoing pressure from the U.S. Congress to fund more productive projects. [332] Minsky's and Papert's book Perceptrons was understood as proving that artificial neural networks would never be useful for solving real-world tasks, thus discrediting the approach altogether. [333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, followed. [9]\n\nIn the early 1980s, AI research was revived by the commercial success of expert systems, [334] a form of AI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired the U.S. and British governments to restore funding for academic research. [8] However, beginning with the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longerlasting winter began. [10]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Franzen) sued AI companies for using their work to train generative AI. [195][196] Another discussed approach is to envision a separate sui generis system of protection for creations generated by AI to ensure fair attribution and compensation for human authors. [197]\n\n## Dominance by tech giants\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple Inc., Meta Platforms, and Microsoft. [198][199][200] Some of these players already own the vast majority of existing cloud infrastructure and computing power from data centers, allowing them to entrench further in the marketplace. [201][202]\n\n## Power needs and environmental impacts\n\nIn January 2024, the International Energy Agency (IEA) released Electricity 2024, Analysis and Forecast to 2026 , forecasting electric power use. [203] This is the first IEA report to make projections for data centers and power consumption for artificial intelligence and cryptocurrency. The report states that power demand for these uses might double by 2026, with additional electric power usage equal to electricity used by the whole Japanese nation. [204]\n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay closings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of data centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) into voracious consumers of electric power. Projected electric consumption is so immense that there is concern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the electrical energy as a Google search. The large firms are in haste to find power sources - from nuclear energy to geothermal to fusion. The tech firms argue that - in the long view - AI will be eventually kinder to the environment, but they need the energy now. AI makes the power grid more efficient and \"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to technology firms. [205]\n\nA 2024 Goldman Sachs Research Paper, AI Data Centers and the Coming US Power Demand Surge , found \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, by 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for the electrical power generation industry by a variety of means. [206] Data centers' need for more and more electrical power is such that they might max out the electrical grid. The Big Tech companies counter that AI can be used to maximize the utilization of the grid by all. [207]\n\nIn 2024, the Wall Street Journal reported that big AI companies have begun negotiations with the US nuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a Pennsylvania nuclear-powered data center for $650 Million (US). [208] Nvidia CEO Jen-Hsun Huang said nuclear power is a good option for the data centers. [209]\n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three Mile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the plant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in 1979, will require Constellation to get through strict regulatory processes which will include extensive safety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US re-commissioning of a nuclear plant), over 835 megawatts of power - enough for 800,000 homes - of", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## Towards a Books Data Commons for AI Training\n\n\n\n\n\nApril 2024\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "- 200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 6/big-tech-and-the-pursuit-of-ai-dominance). The Economist . 26 March 2023. Archived (http s://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/ big-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n - 201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww w.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). CNN Business . Archived (https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloudcompetition-and-ai/index.html) from the original on 13 January 2024.\n - 202. Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w ww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). The New York Times . Archived (https://web.archive.org/web/20240708214644/https://www.nytim es.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original on 8 July 2024. Retrieved 5 October 2024.\n - 203. \"Electricity 2024 - Analysis\" (https://www.iea.org/reports/electricity-2024). IEA . 24 January 2024. Retrieved 13 July 2024.\n - 204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's only the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener gy-experts-expect-it-to-double-in-just-a-few-years). Vox . New York, New York. Archived (http s://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172 1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original on 3 July 2024. Retrieved 5 October 2024.\n - 205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech firms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2 1/artificial-intelligence-nuclear-fusion-climate/?utm\\_campaign=wp\\_post\\_most&utm\\_medium =email&utm\\_source=newsletter&wpisrc=nl\\_most&carta-url=https%3A%2F%2Fs2.washingto npost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f 20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). Washington Post .\n - 206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web. archive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res earch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf) (PDF). Goldman Sachs . Archived from the original (https://www.goldmansachs.com/intellige nce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg e/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n - 207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http s://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). Wall Street Journal . Dow Jones.\n - 208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https:// www.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7 5316?mod=djem10point). Wall Street Journal . Dow Jones. Archived (https://web.archive.or g/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc k-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October 2024. Retrieved 5 October 2024.\n - 209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to Feed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s ays-nuclear-power-an-option-to-feed-data-centers). Bloomberg .", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What is the United States SCSP ?", - "target_page": 1, - "target_passage": "he Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Security Key Lifecycle Manager\n\nSecurity Key Lifecycle Manager (SKLM) centralizes, simplifies, and automates the encryption key management process to help minimize risk and reduce operational costs of encryption key management.\n\n## Serial-attached SCSI\n\nSAS is a method that is used in accessing computer peripheral devices that employs a serial (1 bit at a time) means of digital data transfer over thin cables. The method is specified in the American National Standard Institute standard called SAS. In the business enterprise, SAS is useful for access to mass storage devices, particularly external hard disk drives.\n\n## Service Location Protocol\n\nThe Service Location Protocol (SLP) is an internet service discovery protocol that enables computers and other devices to find services in a local area network (LAN) without prior configuration. It was defined in the request for change (RFC) 2608.\n\n## Small Computer System Interface (SCSI)\n\nSmall Computer System Interface (SCSI) is an ANSI-standard electronic interface with which personal computers can communicate with peripheral hardware, such as disk drives, tape drives, CD-ROM drives, printers, and scanners, faster and more flexibly than with previous interfaces.\n\n## Snapshot\n\nA snapshot is an image backup type that consists of a point-in-time view of a volume.\n\n## Solid-state disk\n\nA solid-state disk (SSD) or Flash Disk is a disk that is made from solid-state memory and therefore has no moving parts. Most SSDs use NAND-based flash memory technology. It is defined to the Storwize V7000 as a disk tier generic\\_ssd .\n\n## Space efficient\n\nSee 'Thin provisioning' on page 786.\n\n## Spare\n\nAn extra storage component, such as a drive or tape, that is predesignated for use as a replacement for a failed component.\n\n## Spare goal\n\nThe optimal number of spares that are needed to protect the drives in the array from failures.\n\nThe system logs a warning event when the number of spares that protect the array drops below this number.\n\n## Space-efficient volume\n\nFor more information about a space-efficient volume, see 'Thin-provisioned volume' on page 786.\n\n## Stand-alone relationship\n\nIn FlashCopy, Metro Mirror, and Global Mirror, relationships that do not belong to a consistency group and that have a null consistency-group attribute.", - "page_start": 806, - "page_end": 806, - "source_file": "sg247938.pdf" - }, - { - "text": "## 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans ('WPFP'), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | Millions of yen | Millions of yen | Thousands of U.S. dollars |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------|--------------------|-----------------------------|\n| As of | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2004 Mar. 31, 2005 |\n| Retirement benefit obligation ....................................................................................................................................... | ¥(1,217,260) | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value .................................................................................................................................................... | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation ............................................................................................................... | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition ........................................................... | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss ........................................................................................................................ | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost ................................................................................................................................. | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation .............................................................................................................................. | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost ........................................................................................................................................................... | 445 | 652 | 4,159 |\n| Accrued retirement benefits .......................................................................................................................................... | ¥ (508,203) | ¥ (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Log in\n\n\n\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\n\n\n\nARTS AND ENTERTAINMENT\n\n## New Artificial Intelligence Summit Series Begins With Energy\n\n07/31/2024\n\n(AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain America's global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit Series.\n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and technologists to address the challenges of AI's energy consumption and develop solutions for a resilient and abundant energy future. The event also aims to address the implications of AI and energy for national security and promote partnerships between AI and energy stakeholders.\n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy efficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in overcoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research.\n\nSCSP's recent 'Action Plan for U.S. Leadership in Next-Generation Energy,' raises many issues related to AI and energy, including recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and other issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American adversaries could gain the upper hand in AI leadership, according to SCSP experts.\n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP's Next-Generation Energy Action Plan.\n\nArticle Link\n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\n\n## RELATED ARTICLES\n\n\n\n\n\nMar 06, 2024\n\nCelebrate St. Patrick's Day with No Booze, Just Pure Irish Fun and Entertainment\n\nMar 06, 2024\n\nExplore Downtown San Pedro with Flair: Ride the Iconic Red Car Trolley for Free\n\nMar 06, 2024\n\nSay Hello to Your Big Break at the Stapleton Library Job Fair in Vocation, Trade, or Civil Service\n\n\n\n\n\nFeb 22, 2024\n\nRetrain Your Emotional Brain: A Natural Alternative to Weight Loss Drugs\n\n© Copyright NewsUSA 2025. All Rights Reserved.\n\nFeb 21, 2024\n\nSerial Entrepreneur Teaches Us How to Go the Distance in Business and in Life\n\nNEWSUSA\n\nMar 06, 2024\n\nLocal Artists Collaborate for a Unique Fusion of Groove and Collage\n\nFASHION\n\nBUSINESS\n\nINFOGRAPHIC\n\nENVIRONMENT\n\nHEALTH\n\nMONEY\n\nFOOD\n\nTRAVEL\n\nBRIDAL\n\nRECREATION\n\nTECHNOLOGY\n\nHOME\n\nEDUCATION\n\nARTS & ENTERTAINMENT\n\nAUTO\n\nCHILDREN\n\nFITNESS\n\nHOLIDAY\n\nINSURANCE\n\nLAWN & GARDEN\n\nLISTICLE\n\nNUTRITION\n\nPARENTING\n\nPETS\n\nSEASONAL\n\nSENIORS\n\nSPANISH\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN\\_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK\\_REVIEW\n\nRECIPE\n\nAFRICAN\\_AMERICANS\n\nHOW\\_TO\n\nBYLINED\\_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME\\_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL\\_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY\n\nMONEY AND FINANCE\n\nBOOKS & ENTERTAINMENT\n\nBOOKS\n\nARTS & ENTERTAINMENT\n\nCATEGORIES\n\nRECENT POSTS", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "- http://www.redbooks.ibm.com/Redbooks.nsf/domains/sds", - "page_start": 810, - "page_end": 810, - "source_file": "sg247938.pdf" - }, - { - "text": "## UNITED STATES SECURITIES AND EXCHANGE COMMISSION\n\nWashington, D.C. 20549\n\n## FORM 10-Q\n\n## (Mark One)\n\nx\n\nQUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF\n\n1934\n\nFor the quarterly period ended September 30, 2024\n\nOR\n\no TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934\n\nFor the transition period from \\_\\_\\_\\_\\_\\_\\_\\_\\_ to \\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nCommission File Number: 001-34756\n\n## Tesla, Inc.\n\n(Exact name of registrant as specified in its charter)\n\nTexas\n\n91-2197729\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n1 Tesla Road\n\nAustin, Texas\n\n78725\n\n(Address of principal executive offices)\n\n(Zip Code)\n\n## (512) 516-8177\n\n(Registrant's telephone number, including area code)\n\nSecurities registered pursuant to Section 12(b) of the Act:\n\nTitle of each class\n\nTrading Symbol(s)\n\nName of each exchange on which registered\n\nCommon stock\n\nTSLA\n\nThe Nasdaq Global Select Market\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 ('Exchange Act') during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o\n\nIndicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes x No o\n\nIndicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of 'large accelerated filer,' 'accelerated filer,' 'smaller reporting company' and 'emerging growth company' in Rule 12b-2 of the Exchange Act:\n\nLarge accelerated filer\n\nx\n\nAccelerated filer\n\no\n\nNon-accelerated filer\n\no\n\nSmaller reporting company\n\no\n\nEmerging growth company\n\no\n\nIf an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. o\n\nIndicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes o No x\n\nAs of October 18, 2024, there were 3,210,059,659 shares of the registrant's common stock outstanding.", - "page_start": 0, - "page_end": 0, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Key Executive Restoration Plan\n\nIn fiscal 2012, the Executive Organization & Compensation Committee of the Board of Directors adopted the Key Executive Restoration Plan (KERP), an unfunded, non-qualified deferred compensation plan, to replace the SERP. The Company recorded $128 of expense associated with this plan in fiscal 2012.\n\n## Qualified Defined Benefit Retirement Plan\n\nThe Company has a qualified defined benefit retirement plan that provides benefits to certain hourly associates at retirement. These associates do not participate in the Retirement Savings Plan. The benefits are based on length of service and date of retirement.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## ITEM 1. BUSINESS\n\n## Company Overview\n\nWe are a leading provider of services in the domestic non-hazardous solid waste industry. We provide non-hazardous solid waste collection services for commercial, industrial, municipal and residential customers through 140 collection companies in 22 states. We also own or operate 96 transfer stations, 58 solid waste landÑlls and 35 recycling facilities.\n\nAs of December 31, 2004, our operations were organized into Ñve regions whose boundaries may change from time to time: Eastern, Central, Southern, Southwestern and Western. Each region is organized into several operating areas and each area contains a group of operating locations. Each of our regions and substantially all our areas provide collection, transfer, recycling and disposal services. We believe that this organizational structure facilitates the integration of our operations within each region, which is a critical component of our operating strategy. See Note 10 of the Notes to Consolidated Financial Statements for further discussion of operating segments.\n\nWe had revenue of $2,708.1 million and $2,517.8 million and operating income of $452.3 million and $412.7 million for the years ended December 31, 2004 and 2003, respectively. The $190.3 million, or 7.6%, increase in revenue from 2003 to 2004 is primarily attributable to the successful execution of our operating and growth strategies described below. The $39.6 million, or 9.6%, increase in operating income from 2003 to 2004 is partially due to higher self-insurance expense during 2003 related to existing claims and was attributable to the expansion of our operations and various changes in estimates as a result of continued negative trends through the 2003 policy year. The remaining increase in operating income is due to the successful execution of our operating and growth strategies described below.\n\nOur presence in high growth markets throughout the Sunbelt, including California, Florida, Georgia, Nevada, North Carolina, South Carolina and Texas, and in other domestic markets that have experienced higher than average population growth during the past several years, supports our internal growth strategy. We believe that our presence in these markets positions our company to experience growth at rates that are generally higher than the industry's overall growth rate.\n\nWe continue to focus on enhancing stockholder value by implementing our Ñnancial, operating and growth strategies as described below.\n\n## Industry Overview\n\nBased on analysts' reports and industry trade publications, we believe that the United States nonhazardous solid waste services industry generates annual revenue of approximately $44.0 billion, of which approximately 50% is generated by publicly-owned waste companies, 21% is generated by privately-held waste companies, and 29% is generated by municipal and other local governmental authorities. Three companies generate the substantial majority of the publicly-owned companies' total revenue. However, according to industry data, the domestic non-hazardous waste industry remains highly fragmented as privately-held companies and municipal and other local governmental authorities generate approximately 50% of total industry revenue. In general, growth in the solid waste industry is linked to growth in the overall economy, including the level of new household and business formation.\n\nThe solid waste industry experienced a period of rapid consolidation in the late 1990's. During that time we were able to grow signiÑcantly through acquisitions. However, acquisitions in the industry have slowed considerably since late 1999. Despite this, we believe that the opportunity to grow through acquisitions still exists, albeit at a slower pace than experienced in previous years, as a result of the following factors:", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## SRI Indexes on which SMFG is listed\n\n\n\n - ■ Dow Jones Sustainability Index\n - This index was jointly developed by Dow Jones of the United States, and the Swiss SRI research company SAM Group. It was the first SRI index in the world.\n - ■ FTSE 4 Good Global Index Series\n - The FTSE 4 Good Global Index Series was created by FTSE International Limited, a joint venture set up by the Financial Times newspaper of the United Kingdom and the London Stock Exchange.\n - ■ Ethibel Sustainability Index\n - An index compiled by the Belgian SRI company Ethibel\n\n\n\n## Examples of Group disclosure activities\n\nQuarterly and interim financial reports, Quarterly and interim financial reports, results announcements, securities results announcements, securities reports, legal disclosure statements, reports, legal disclosure statements, regular publications, etc. regular publications, etc.\n\nAnnual and interim reports (in Japanese Annual and interim reports (in Japanese and English) and English)\n\nInvestor briefings twice a year Investor briefings twice a year\n\nConferences sponsored by securities Conferences sponsored by securities companies, etc., as needed companies, etc., as needed\n\nOnline conferences held as needed Online conferences held as needed\n\n## Listing on the New York Stock Exchange\n\nIn November 2010, the Sumitomo Mitsui In November 2010, the Sumitomo Mitsui Financial Group listed on the New York Financial Group listed on the New York Stock Exchange. This move, we believe, not Stock Exchange. This move, we believe, not only significantly increases convenience for only significantly increases convenience for our overseas shareholders and investors, our overseas shareholders and investors, but also broadens our customer base as it but also broadens our customer base as it further increases the transparency of our further increases the transparency of our financial position. Listing on the New York financial position. Listing on the New York Stock Exchange as a socially responsible Stock Exchange as a socially responsible corporation accelerates our evolution into a corporation accelerates our evolution into a global player. global player.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "- /SM590000 Legal requirements", - "page_start": 625, - "page_end": 625, - "source_file": "sg247938.pdf" - }, - { - "text": "| org pspace 02390000 | |\n| | dc ((psize+1)/2)s(*) 02400000 |\n| | 02410000 |\n| | 02420000 |\n| | mvcins mvc 0(0,r14),0(r15) 02430000 |\n| | wto1 wto text=, +02460000 |", - "page_start": 280, - "page_end": 280, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "news1.pdf", - "query": "What are some example of uses AI by the US departement of energy ?", - "target_page": 1, - "target_passage": "The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Franzen) sued AI companies for using their work to train generative AI. [195][196] Another discussed approach is to envision a separate sui generis system of protection for creations generated by AI to ensure fair attribution and compensation for human authors. [197]\n\n## Dominance by tech giants\n\nThe commercial AI scene is dominated by Big Tech companies such as Alphabet Inc., Amazon, Apple Inc., Meta Platforms, and Microsoft. [198][199][200] Some of these players already own the vast majority of existing cloud infrastructure and computing power from data centers, allowing them to entrench further in the marketplace. [201][202]\n\n## Power needs and environmental impacts\n\nIn January 2024, the International Energy Agency (IEA) released Electricity 2024, Analysis and Forecast to 2026 , forecasting electric power use. [203] This is the first IEA report to make projections for data centers and power consumption for artificial intelligence and cryptocurrency. The report states that power demand for these uses might double by 2026, with additional electric power usage equal to electricity used by the whole Japanese nation. [204]\n\nProdigious power consumption by AI is responsible for the growth of fossil fuels use, and might delay closings of obsolete, carbon-emitting coal energy facilities. There is a feverish rise in the construction of data centers throughout the US, making large technology firms (e.g., Microsoft, Meta, Google, Amazon) into voracious consumers of electric power. Projected electric consumption is so immense that there is concern that it will be fulfilled no matter the source. A ChatGPT search involves the use of 10 times the electrical energy as a Google search. The large firms are in haste to find power sources - from nuclear energy to geothermal to fusion. The tech firms argue that - in the long view - AI will be eventually kinder to the environment, but they need the energy now. AI makes the power grid more efficient and \"intelligent\", will assist in the growth of nuclear power, and track overall carbon emissions, according to technology firms. [205]\n\nA 2024 Goldman Sachs Research Paper, AI Data Centers and the Coming US Power Demand Surge , found \"US power demand (is) likely to experience growth not seen in a generation....\" and forecasts that, by 2030, US data centers will consume 8% of US power, as opposed to 3% in 2022, presaging growth for the electrical power generation industry by a variety of means. [206] Data centers' need for more and more electrical power is such that they might max out the electrical grid. The Big Tech companies counter that AI can be used to maximize the utilization of the grid by all. [207]\n\nIn 2024, the Wall Street Journal reported that big AI companies have begun negotiations with the US nuclear power providers to provide electricity to the data centers. In March 2024 Amazon purchased a Pennsylvania nuclear-powered data center for $650 Million (US). [208] Nvidia CEO Jen-Hsun Huang said nuclear power is a good option for the data centers. [209]\n\nIn September 2024, Microsoft announced an agreement with Constellation Energy to re-open the Three Mile Island nuclear power plant to provide Microsoft with 100% of all electric power produced by the plant for 20 years. Reopening the plant, which suffered a partial nuclear meltdown of its Unit 2 reactor in 1979, will require Constellation to get through strict regulatory processes which will include extensive safety scrutiny from the US Nuclear Regulatory Commission. If approved (this will be the first ever US re-commissioning of a nuclear plant), over 835 megawatts of power - enough for 800,000 homes - of", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Log in\n\n\n\nHome / Arts and Entertainment / New Artificial Intelligence Summit Series Begins With Energy\n\n\n\nARTS AND ENTERTAINMENT\n\n## New Artificial Intelligence Summit Series Begins With Energy\n\n07/31/2024\n\n(AI) continues to transform the United States and the world. To promote and inform rapid advancements in AI and maintain America's global competitiveness, the Special Competitive Studies Project (SCSP), a nonprofit and nonpartisan initiative with a goal of making recommendations to strengthen America's long-term competitiveness in AI, announces the AI+ Summit Series.\n\nThe series kicks off with the topic of energy. The AI + Energy Summit, scheduled for September 26, 2024, in Washington, D.C., will bring together policy makers, energy industry leaders, top government and academic energy researchers, and technologists to address the challenges of AI's energy consumption and develop solutions for a resilient and abundant energy future. The event also aims to address the implications of AI and energy for national security and promote partnerships between AI and energy stakeholders.\n\nAI and other emerging technologies can help the United States take the lead in energy areas including maximizing energy efficiencies, discovering new materials, and enabling new forms of power generation. AI also has a role to play in overcoming energy challenges. The Department of Energy (DOE) already uses AI in several areas including advanced computing, emergency response, environmental modeling, climate forecasting, and materials research.\n\nSCSP's recent 'Action Plan for U.S. Leadership in Next-Generation Energy,' raises many issues related to AI and energy, including recommendations for the government to bring America forward. The AI+ Energy Summit will highlight these and other issues, and promote collaboration to solve problems. The stakes are high; if the U.S. falls short on energy, American adversaries could gain the upper hand in AI leadership, according to SCSP experts.\n\nVisit scsp.ai to learn more about the AI+Energy Summit and the SCSP's Next-Generation Energy Action Plan.\n\nArticle Link\n\nhttps://about.newsusa.com/new-artificial-intelligence-summit-series-begins-with…\n\n## RELATED ARTICLES\n\n\n\n\n\nMar 06, 2024\n\nCelebrate St. Patrick's Day with No Booze, Just Pure Irish Fun and Entertainment\n\nMar 06, 2024\n\nExplore Downtown San Pedro with Flair: Ride the Iconic Red Car Trolley for Free\n\nMar 06, 2024\n\nSay Hello to Your Big Break at the Stapleton Library Job Fair in Vocation, Trade, or Civil Service\n\n\n\n\n\nFeb 22, 2024\n\nRetrain Your Emotional Brain: A Natural Alternative to Weight Loss Drugs\n\n© Copyright NewsUSA 2025. All Rights Reserved.\n\nFeb 21, 2024\n\nSerial Entrepreneur Teaches Us How to Go the Distance in Business and in Life\n\nNEWSUSA\n\nMar 06, 2024\n\nLocal Artists Collaborate for a Unique Fusion of Groove and Collage\n\nFASHION\n\nBUSINESS\n\nINFOGRAPHIC\n\nENVIRONMENT\n\nHEALTH\n\nMONEY\n\nFOOD\n\nTRAVEL\n\nBRIDAL\n\nRECREATION\n\nTECHNOLOGY\n\nHOME\n\nEDUCATION\n\nARTS & ENTERTAINMENT\n\nAUTO\n\nCHILDREN\n\nFITNESS\n\nHOLIDAY\n\nINSURANCE\n\nLAWN & GARDEN\n\nLISTICLE\n\nNUTRITION\n\nPARENTING\n\nPETS\n\nSEASONAL\n\nSENIORS\n\nSPANISH\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN\\_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK\\_REVIEW\n\nRECIPE\n\nAFRICAN\\_AMERICANS\n\nHOW\\_TO\n\nBYLINED\\_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME\\_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL\\_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY\n\nMONEY AND FINANCE\n\nBOOKS & ENTERTAINMENT\n\nBOOKS\n\nARTS & ENTERTAINMENT\n\nCATEGORIES\n\nRECENT POSTS", - "page_start": 0, - "page_end": 0, - "source_file": "news1.pdf" - }, - { - "text": "Artificial intelligent (AI) agents are software entities designed to perceive their environment, make decisions, and take actions autonomously to achieve specific goals. These agents can interact with users, their environment, or other agents. AI agents are used in various applications, including virtual assistants, chatbots, autonomous vehicles, game-playing systems, and industrial robotics. AI agents operate within the constraints of their programming, available computational resources, and hardware limitations. This means they are restricted to performing tasks within their defined scope and have finite memory and processing capabilities. In real-world applications, AI agents often face time constraints for decision-making and action execution. Many AI agents incorporate learning algorithms, enabling them to improve their performance over time through experience or training. Using machine learning, AI agents can adapt to new situations and optimise their behaviour for their designated tasks. [175][176][177]\n\nVincent van Gogh in watercolour created by generative AI software\n\n\n\n## Other industry-specific tasks\n\nThere are also thousands of successful AI applications used to solve specific problems for specific industries or institutions. In a 2017 survey, one in five companies reported having incorporated \"AI\" in some offerings or processes. [178] A few examples are energy storage, medical diagnosis, military logistics, applications that predict the result of judicial decisions, foreign policy, or supply chain management.\n\nAI applications for evacuation and disaster management are growing. AI has been used to investigate if and how people evacuated in large scale and small scale evacuations using historical data from GPS, videos or social media. Further, AI can provide real time information on the real time evacuation conditions. [179][180][181]\n\nIn agriculture, AI has helped farmers identify areas that need irrigation, fertilization, pesticide treatments or increasing yield. Agronomists use AI to conduct research and development. AI has been used to predict the ripening time for crops such as tomatoes, monitor soil moisture, operate agricultural robots, conduct predictive analytics, classify livestock pig call emotions, automate greenhouses, detect diseases and pests, and save water.\n\nArtificial intelligence is used in astronomy to analyze increasing amounts of available data and applications, mainly for \"classification, regression, clustering, forecasting, generation, discovery, and the development of new scientific insights.\" For example, it is used for discovering exoplanets, forecasting solar activity, and distinguishing between signals and instrumental effects in gravitational wave astronomy. Additionally, it could be used for activities in space, such as space exploration, including the analysis of data from space missions, real-time science decisions of spacecraft, space debris avoidance, and more autonomous operation.", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## References\n\n - 1. Russell & Norvig (2021), pp. 1-4.\n - 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n - 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". Business Horizons . 62 : 15-25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n - 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32-33, 1020-1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n - 5. Russell & Norvig (2021, §1.2).\n - 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111-136), NRC (1999, pp. 200-201) The proposal: McCarthy et al. (1955)\n - 7. Successful programs of the 1960s: McCorduck (2004, pp. 243-252), Crevier (1993, pp. 52107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19-21)\n - 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426-441), Crevier (1993, pp. 161-162, 197-203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210-211), Newquist (1994, pp. 235-248)\n - 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115-117), Russell & Norvig (2021, pp. 21-22), NRC (1999, pp. 212-213), Howe (1994), Newquist (1994, pp. 189-201)\n - 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430-435), Crevier (1993, pp. 209-210), NRC (1999, pp. 214-216), Newquist (1994, pp. 301-318)\n - 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n - 12. Toews (2023).\n - 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3-5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7-12)\n - 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12-18), Poole, Mackworth & Goebel (1998, pp. 345-395), Luger & Stubblefield (2004, pp. 333-381), Nilsson (1998, chpt. 7-12)\n - 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n - 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n - 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23-46, 69-81, 169-233, 235-277, 281-298, 319345), Luger & Stubblefield (2004, pp. 227-243), Nilsson (1998, chpt. 17.1-17.4, 18)\n - 18. Smoliar & Zhang (1994).\n - 19. Neumann & Möller (2008).\n - 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- AI & ML in Fusion (https://suli.pppl.gov/2023/course/Rea-PPPL-SULI2023.pdf)\n - AI & ML in Fusion, video lecture (https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA\\_DfMpAN uQZFMzKPh/view?usp=drive\\_link) Archived (https://web.archive.org/web/20230702164332/ https://drive.google.com/file/d/1npCTrJ8XJn20ZGDA\\_DfMpANuQZFMzKPh/view?usp=drive \\_link) 2 July 2023 at the Wayback Machine\n - Alter, Alexandra; Harris, Elizabeth A. (20 September 2023), \"Franzen, Grisham and Other Prominent Authors Sue OpenAI\" (https://www.nytimes.com/2023/09/20/books/authors-open ai-lawsuit-chatgpt-copyright.html?campaign\\_id=2&emc=edit\\_th\\_20230921&instance\\_id=103 259&nl=todaysheadlines®i\\_id=62816440&segment\\_id=145288&user\\_id=ad24f3545dae 0ec44284a38bb4a88f1d), The New York Times , archived (https://web.archive.org/web/2024 0914155020/https://www.nytimes.com/2023/09/20/books/authors-openai-lawsuit-chatgpt-co pyright.html?campaign\\_id=2&emc=edit\\_th\\_20230921&instance\\_id=103259&nl=todaysheadl ines®i\\_id=62816440&segment\\_id=145288&user\\_id=ad24f3545dae0ec44284a38bb4a88 f1d) from the original on 14 September 2024, retrieved 5 October 2024\n - Altman, Sam; Brockman, Greg; Sutskever, Ilya (22 May 2023). \"Governance of Superintelligence\" (https://openai.com/blog/governance-of-superintelligence). openai.com . Archived (https://web.archive.org/web/20230527061619/https://openai.com/blog/governanc e-of-superintelligence) from the original on 27 May 2023. Retrieved 27 May 2023.\n - Anderson, Susan Leigh (2008). \"Asimov's \"three laws of robotics\" and machine metaethics\". AI & Society . 22 (4): 477-493. doi:10.1007/s00146-007-0094-5 (https://doi.org/10.1007%2Fs0 0146-007-0094-5). S2CID 1809459 (https://api.semanticscholar.org/CorpusID:1809459).\n - Anderson, Michael; Anderson, Susan Leigh (2011). Machine Ethics . Cambridge University Press.\n - Arntz, Melanie; Gregory, Terry; Zierahn, Ulrich (2016), \"The risk of automation for jobs in OECD countries: A comparative analysis\", OECD Social, Employment, and Migration Working Papers 189\n - Asada, M.; Hosoda, K.; Kuniyoshi, Y.; Ishiguro, H.; Inui, T.; Yoshikawa, Y.; Ogino, M.; Yoshida, C. (2009). \"Cognitive developmental robotics: a survey\". IEEE Transactions on Autonomous Mental Development . 1 (1): 12-34. doi:10.1109/tamd.2009.2021702 (https://doi.org/10.110 9%2Ftamd.2009.2021702). S2CID 10168773 (https://api.semanticscholar.org/CorpusID:101 68773).\n - \"Ask the AI experts: What's driving today's progress in AI?\" (https://www.mckinsey.com/business -functions/mckinsey-analytics/our-insights/ask-the-ai-experts-whats-driving-todays-progressin-ai). McKinsey & Company . Archived (https://web.archive.org/web/20180413190018/http s://www.mckinsey.com/business-functions/mckinsey-analytics/our-insights/ask-the-ai-expert s-whats-driving-todays-progress-in-ai) from the original on 13 April 2018. Retrieved 13 April 2018.\n - Barfield, Woodrow; Pagallo, Ugo (2018). Research handbook on the law of artificial intelligence . Cheltenham, UK: Edward Elgar Publishing. ISBN 978-1-7864-3904-8. OCLC 1039480085 (https://search.worldcat.org/oclc/1039480085).\n - Beal, J.; Winston, Patrick (2009), \"The New Frontier of Human-Level Artificial Intelligence\", IEEE Intelligent Systems , vol. 24, pp. 21-24, doi:10.1109/MIS.2009.75 (https://doi.org/10.11 09%2FMIS.2009.75), hdl:1721.1/52357 (https://hdl.handle.net/1721.1%2F52357), S2CID 32437713 (https://api.semanticscholar.org/CorpusID:32437713)", - "page_start": 52, - "page_end": 52, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 181. Zhao, Xilei; Lovreglio, Ruggiero; Nilsson, Daniel (1 May 2020). \"Modelling and interpreting pre-evacuation decision-making using machine learning\" (https://www.sciencedirect.com/sci ence/article/pii/S0926580519313184). Automation in Construction . 113 : 103140. doi:10.1016/j.autcon.2020.103140 (https://doi.org/10.1016%2Fj.autcon.2020.103140). hdl:10179/17315 (https://hdl.handle.net/10179%2F17315). ISSN 0926-5805 (https://search. worldcat.org/issn/0926-5805). Archived (https://web.archive.org/web/20240519121548/http s://www.sciencedirect.com/science/article/abs/pii/S0926580519313184) from the original on 19 May 2024. Retrieved 5 October 2024.\n - 182. \"India's latest election embraced AI technology. Here are some ways it was used constructively\" (https://www.pbs.org/newshour/world/indias-latest-election-embraced-ai-tech nology-here-are-some-ways-it-was-used-constructively). PBS News . 12 June 2024. Retrieved 28 October 2024.\n - 183. Müller, Vincent C. (30 April 2020). \"Ethics of Artificial Intelligence and Robotics\" (https://plat o.stanford.edu/archives/fall2023/entries/ethics-ai/). Stanford Encyclopedia of Philosophy Archive . Archived (https://web.archive.org/web/20241005165650/https://plato.stanford.edu/a rchives/fall2023/entries/ethics-ai/) from the original on 5 October 2024. Retrieved 5 October 2024.\n - 184. Simonite (2016).\n - 185. Russell & Norvig (2021), p. 987.\n - 186. Laskowski (2023).\n - 187. GAO (2022).\n - 188. Valinsky (2019).\n - 189. Russell & Norvig (2021), p. 991.\n - 190. Russell & Norvig (2021), pp. 991-992.\n - 191. Christian (2020), p. 63.\n - 192. Vincent (2022).\n - 193. Kopel, Matthew. \"Copyright Services: Fair Use\" (https://guides.library.cornell.edu/copyright/f air-use). Cornell University Library . Archived (https://web.archive.org/web/20240926194057/ https://guides.library.cornell.edu/copyright/fair-use) from the original on 26 September 2024. Retrieved 26 April 2024.\n - 194. Burgess, Matt. \"How to Stop Your Data From Being Used to Train AI\" (https://www.wired.co m/story/how-to-stop-your-data-from-being-used-to-train-ai). Wired . ISSN 1059-1028 (https:// search.worldcat.org/issn/1059-1028). Archived (https://web.archive.org/web/202410031801 00/https://www.wired.com/story/how-to-stop-your-data-from-being-used-to-train-ai/) from the original on 3 October 2024. Retrieved 26 April 2024.\n - 195. Reisner (2023).\n - 196. 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[211]\n\nAfter the last approval in September 2023, Taiwan suspended the approval of data centers north of Taoyuan with a capacity of more than 5 MW in 2024, due to power supply shortages. [212] Taiwan aims to phase out nuclear power by 2025. [212] On the other hand, Singapore imposed a ban on the opening of data centers in 2019 due to electric power, but in 2022, lifted this ban. [212]\n\nAlthough most nuclear plants in Japan have been shut down after the 2011 Fukushima nuclear accident, according to an October 2024 Bloomberg article in Japanese, cloud gaming services company Ubitus, in which Nvidia has a stake, is looking for land in Japan near nuclear power plant for a new data center for generative AI. [213] Ubitus CEO Wesley Kuo said nuclear power plants are the most efficient, cheap and stable power for AI. [213]\n\nOn 1 November 2024, the Federal Energy Regulatory Commission (FERC) rejected an application submitted by Talen Energy for approval to supply some electricity from the nuclear power station Susquehanna to Amazon's data center. [214] According to the Commission Chairman Willie L. Phillips, it is a burden on the electricity grid as well as a significant cost shifting concern to households and other business sectors. [214]\n\n## Misinformation\n\nYouTube, Facebook and others use recommender systems to guide users to more content. These AI programs were given the goal of maximizing user engagement (that is, the only goal was to keep people watching). The AI learned that users tended to choose misinformation, conspiracy theories, and extreme partisan content, and, to keep them watching, the AI recommended more of it. Users also tended to watch more content on the same subject, so the AI led people into filter bubbles where they received multiple versions of the same misinformation. [215] This convinced many users that the misinformation was true, and ultimately undermined trust in institutions, the media and the government. [216] The AI program had correctly learned to maximize its goal, but the result was harmful to society. After the U.S. election in 2016, major technology companies took steps to mitigate the problem .\n\nIn 2022, generative AI began to create images, audio, video and text that are indistinguishable from real photographs, recordings, films, or human writing. It is possible for bad actors to use this technology to create massive amounts of misinformation or propaganda. [217] AI pioneer Geoffrey Hinton expressed concern about AI enabling \"authoritarian leaders to manipulate their electorates\" on a large scale, among other risks. [218]\n\n## Algorithmic bias and fairness\n\nMachine learning applications will be biased [k] if they learn from biased data. [220] The developers may not be aware that the bias exists. [221] Bias can be introduced by the way training data is selected and by the way a model is deployed. [222][220] If a biased algorithm is used to make decisions that can seriously", - "page_start": 14, - "page_end": 14, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 200. \"Big tech and the pursuit of AI dominance\" (https://www.economist.com/business/2023/03/2 6/big-tech-and-the-pursuit-of-ai-dominance). The Economist . 26 March 2023. Archived (http s://web.archive.org/web/20231229021351/https://www.economist.com/business/2023/03/26/ big-tech-and-the-pursuit-of-ai-dominance) from the original on 29 December 2023.\n - 201. Fung, Brian (19 December 2023). \"Where the battle to dominate AI may be won\" (https://ww w.cnn.com/2023/12/19/tech/cloud-competition-and-ai/index.html). CNN Business . Archived (https://web.archive.org/web/20240113053332/https://www.cnn.com/2023/12/19/tech/cloudcompetition-and-ai/index.html) from the original on 13 January 2024.\n - 202. 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Retrieved 24 April 2018.", - "page_start": 63, - "page_end": 63, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "How can I contact Investor Relations of HON industries through email ?", - "target_page": 63, - "target_passage": "E-mail: investorrelations@honi.com", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES", - "page_start": 56, - "page_end": 56, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## A MESSAGE FROM THE BOARD OF DIRECTORS\n\n## Dear Shareholders:\n\nWe, the members of the HON INDUSTRIES Board of Directors, believe that integrity is central to good corporate governance. This belief is reflected in the HON INDUSTRIES vision statement (shown on the back of this annual report), adopted many years ago. Our Vision statement represents much more than a traditional 'mission,' and it goes much deeper than company policy. The beliefs and values represented in that document are the very foundation of our corporate culture, and guide the attitude and actions of every member, every day.\n\nFrom its beginnings, HON INDUSTRIES has sought to implement its vision through sound policies and practices, and by maintaining a strong Board composed predominantly of outside directors. We are fully committed to executing our responsibilities, and we will continue to maintain the company's long-standing tradition of an independent, well-informed, active, and engaged Board of Directors.\n\nOur board meetings and procedures have been developed and refined to encourage open and informed communication. The company's accounting policies have always been conservative and straightforward. The Board's three committees - Audit; Human Resources and Compensation; Public Policy and Corporate Governance - have consisted entirely of non-management directors for many years.\n\nDuring 2003, we have given significant attention to the newly released rules emanating from the Sarbanes-Oxley Act of 2002 and the New York Stock Exchange listing requirements - rules intended to improve corporate governance across the country. It is gratifying to report that HON INDUSTRIES governance practices were already in accord with the spirit of the rules.\n\nIt is an honor to serve as directors of HON INDUSTRIES. We are very proud to represent you, the shareholder, as we oversee the management of this great company. Please be assured that we intend to remain vigilant and focused on good corporate governance.\n\n## Sincerely,\n\nThe HON INDUSTRIES Board of Directors\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nStan A. Askren\n\nGary M. Christensen\n\nCheryl A. Francis\n\nRobert L. Katz\n\nDennis J. Martin\n\nJack D. Michaels\n\nJoseph Scalzo\n\nAbbie J. Smith\n\nRichard H. Stanley\n\nBrian E. Stern\n\nRonald V. Waters, III\n\n\n\n\n\n\n\n", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## COMMON STOCK\n\nHON INDUSTRIES common stock trades on the New York Stock Exchange under the symbol: HNI. Stock price quotations can be found in major daily newspapers and The Wall Street Journal .\n\n## TRANSFER AGENT\n\nShareholders may report a change of address or make inquiries by writing or calling:\n\nComputershare Investor Services, LLC\n\n - 2 North LaSalle Street\n\nChicago, IL 60602\n\nTelephone: 312.588.4991", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n## Nature of Operations\n\nHON INDUSTRIES Inc., with its subsidiaries (the 'Company'), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n## Summary of Significant Accounting Policies\n\n## PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\n\nThe consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n## CASH, CASH EQUIVALENTS, AND INVESTMENTS\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nclaims. The Company currently has a claim for approximately $7.6 million pending against it arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount. It is our opinion, after consultation with legal counsel, that additional liabilities, if any, resulting from these matters, are not expected to have a material adverse effect on our financial condition, although such matters could have a material effect on our quarterly or annual operating results and cash flows when resolved in a future period.\n\n## Looking Ahead\n\nThe Company is encouraged by indications that the economy is recovering and is cautiously optimistic that the office furniture industry will begin to rebound in the second half of 2004. Global Insight, BIFMA's forecasting consultant, increased its estimate for the industry shipment growth from 2.4% to 5.6% in 2004, with first quarter flat and improving as the year progresses.\n\nThe hearth segment is impacted by the housing market, which may experience a slight decline from record high levels, but is expected to remain at healthy levels. Management believes its strong brand recognition and new innovative product introductions in addition to strengthening distribution will allow it to grow its hearth segment.\n\nOn January 5, 2004, the Company completed the acquisition of Paoli Inc., a leading provider of wood case goods and seating. The Company intends to continue to build on Paoli's strong position in the market and excellent selling capabilities while leveraging its lean enterprise practices to achieve greater cost efficiencies and improved customer performance.\n\nThe Company's strategy is to grow its business through aggressive investment in building its brands, enhancing its strong member-owner culture, and remaining focused on its rapid continuous improvement program to continue to build best total cost. The Company plans to reinvest a large portion of its cost savings from plant\n\nconsolidations and its rapid continuous improvement program to continue to build brands, product solutions, and selling models.\n\nBecause of the following factors, as well as other variables affecting the Company's operating results, past financial performance may not be a reliable indicator of future performance, and historical trends should not be used to anticipate results or trends in future periods:", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## FOR FURTHER INFORMATION, PLEASE CONTACT\n\n## Investor Relations\n\n## Nissan Motor Co., Ltd.\n\nGlobal Communications, CSR and IR Division 17-1, Ginza 6-chome, Chuo-ku Tokyo 104-8023, Japan phone: +81(0)3-5565-2334 fax: +81(0)3-3546-2669 e-mail: nissan-ir@mail.nissan.co.jp\n\n## Corporate Information Website\n\nhttp://www.nissan-global.com/\n\n## Investor Relations Website\n\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## I N V E S T O R I N F O R M A T I O N\n\n## SCHEDULE OF QUARTERLY RESULTS\n\nThe Company operates on a fiscal year ending on the Saturday nearest December 31. Quarterly results are typically announced within 25 days after the end of each quarter, and audited results are typically announced within 40 days after year-end.\n\n## FISCAL 2004 QUARTER-END DATES\n\n1st Quarter: Saturday, April 3\n\n2nd Quarter: Saturday, July 3\n\n3rd Quarter: Saturday, October 2\n\n4th Quarter: Saturday, January 1\n\n## ANNUAL MEETING\n\nThe Company's annual shareholders' meeting will be held at 10:30 a.m. on May 4, 2004, at the Holiday Inn, Highways 61 & 38 North, Muscatine, Iowa. Shareholders and other interested investors are encouraged to attend the meeting.\n\n## I NVESTOR RELATIONS\n\nSend inquiries to:\n\nInvestor Relations\n\nHON INDUSTRIES Inc.\n\n414 East Third Street\n\nMuscatine, IA 52761\n\nTelephone: 563.264.7400\n\nFax: 563.264.7655\n\nE-mail: investorrelations@honi.com\n\n## CORPORATE HEADQUARTERS\n\nHON INDUSTRIES Inc.\n\n414 East Third Street\n\nP.O. Box 1109\n\nMuscatine, IA 52761-0071\n\nTelephone: 563.264.7400\n\nFax: 563.264.7217\n\nWebsite: www.honi.com\n\n## I NDEPENDENT PUBLIC ACCOUNTANTS\n\nPricewaterhouseCoopers LLP\n\nOne North Wacker Drive\n\nChicago, IL 60606\n\n## FORWARD-LOOKING STATEMENTS\n\nStatements in this report that are not strictly historical, including statements as to plans, objectives, and future financial performance, are 'forward-looking' statements that are made pursuant to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995. Forward-looking statements involve known and unknown risks, which may cause the Company's actual results in the future to differ materially from expected results. These risks include, among others:\n\n - · competition within the office furniture and fireplace industries, including competition from imported products and competitive pricing;\n - · increases in the cost of raw materials, including steel, which is the Company's largest raw material category;\n - · increases in the cost of health care benefits provided by the Company;\n - · reduced demand for the Company's storage products caused by changes in office technology; including the change from paper record storage to electronic record storage;\n - · the effects of economic conditions, on demand for office furniture, customer insolvencies and related bad debts and claims against the Company that it received preferential payments;\n - · changes in demand and order patterns from the Company's customers, particularly its top ten customers, which represented approximately 36% of net sales in 2003;\n - · issues associated with acquisitions and integration of acquisitions;\n - · the ability of the Company to realize cost savings and productivity improvements from its cost containment and business simplification initiatives;\n - · the ability of the Company to realize financial benefits from investments in new products;\n - · the ability of the Company's distributors and dealers to successfully market and sell the Company's products;\n - · the availability and cost of capital to finance planned growth; and\n - · other risks, uncertainties, and factors described from time to time in the Company's filings with the Securities and Exchange Commission.\n\nWe caution the reader that the above list of factors may not be exhaustive. The Company does not assume any obligation to update any forward-looking statement, whether as a result of new information, future events or otherwise.\n\n## COMMON STOCK", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nThe Company has contingent liabilities, which have arisen in the course of its business, including pending litigation, preferential payment claims in customer bankruptcies, environmental remediation, taxes, and other claims. The Company currently has a claim for approximately $7.6 million pending against it, arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure, and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount.\n\n## Significant Customer\n\nOne office furniture customer accounted for approximately 13% of consolidated net sales in 2003 and 14% in 2002 and 2001.\n\n## Operating Segment Information\n\nIn accordance with SFAS No. 131, 'Disclosures about Segments of an Enterprise and Related Information,' management views the Company as being in two operating segments: office furniture and hearth products, with the former being the principal segment. The office furniture segment manufactures and markets a broad line of metal and wood commercial and home office furniture, which includes storage products, desks, credenzas, chairs, tables, bookcases, freestanding office partitions and panel systems, and other related products. The hearth products segment manufactures and markets a broad line of manufactured gas-, pellet-, and wood-burning fireplaces and stoves, fireplace inserts, gas logs, and chimney systems, principally for the home.\n\nThe Company's hearth products segment is somewhat seasonal, with the third (July-September) and fourth (October-December) fiscal quarters historically having higher sales than the prior quarters. In fiscal 2003, 56% of consolidated net sales of hearth products were generated in the third and fourth quarters.\n\nFor purposes of segment reporting, intercompany sales transfers between segments are not material, and operating profit is income before income taxes exclusive of certain unallocated corporate expenses. These unallocated corporate expenses include the net costs of the Company's corporate operations, interest income, and interest\n\nexpense. Management views interest income and expense as corporate financing costs and not as an operating segment cost. In addition, management applies an effective income tax rate to its consolidated income before income taxes so income taxes are not reported or viewed internally on a segment basis. Identifiable assets by segment are those assets applicable to the respective industry segments. Corporate assets consist principally of cash and cash equivalents, short-term investments, and corporate office real estate and related equipment.\n\nNo geographic information for revenues from external customers or for long-lived assets is disclosed, since the Company's primary market and capital investments are concentrated in the United States.\n\nReportable segment data reconciled to the consolidated financial statements for the years ended 2003, 2002, and 2001 is as follows:", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES 2003\n\n## TO OUR SHAREHOLDERS:\n\nLEFT: Stan A. Askren, PRESIDENT\n\n\n\nRIGHT: Jack D. Michaels, CHAIRMAN AND CHIEF EXECUTIVE OFFICER\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect - in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\nWe outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\nAlthough we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are\n\nleaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best - operational excellence. Our transformation continues:\n\n## BUILDING BRAND MARKET POWER\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the 'perfect match' with end-users in every segment we serve.\n\n## ACHIEVING BEST TOTAL COST AND LEAN ENTERPRISE\n\n'Best total cost' means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell - all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## afkljdf aojvoaipddddS EEKING I N V E S T O R S FOR A PERFECT MATCH\n\nJoin us in the dynamic, aggressive, profitable growth of HON INDUSTRIES.\n\nTHE BEST IS YET TO COME!\n\nManagement's Discussion and Analysis … 32 Consolidated Financial Statements and Notes … 39 Eleven-Year Summary … 56 Reports of Independent Auditors … 58 A Message from the Board of Directors … 61 Board of Directors and Officers … 62", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HNI_2003.pdf", - "query": "What explains the decrease in net sales of HON industries in 2002 ?", - "target_page": 34, - "target_passage": "The decrease in 2002 was due to the decline in the office furniture market due to unstable economic conditions and the deletion of less profitable product lines in the hearth products segment", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## HON INDUSTRIES 2003\n\n## FINANCIAL HIGHLIGHTS", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nsales volume, offset by increased investment in brand equity building and new product development of approximately $7 million, and increased incentive compensation of which approximately $4 million was for a debenture earn out related to a prior acquisition.\n\nSelling and administrative expenses include freight expense for shipments to customers, product development costs, and amortization expense of intangible assets. The Selling and Administrative Expenses note included in the Notes to Consolidated Financial Statements provides further information regarding the comparative expense levels for these major expense items.\n\n## RESTRUCTURING CHARGES\n\nDuring 2003, the Company closed two office furniture facilities and consolidated production into other U.S. manufacturing locations to increase efficiencies, streamline processes, and reduce overhead costs. The two facilities were located in Hazleton, Pennsylvania, and Milan, Tennessee. In connection with the closures, the Company recorded $15.7 million of pre-tax charges or $0.17 per diluted share. These charges included $6.7 million of accelerated depreciation of machinery and equipment which was recorded in cost of sales, $3.4 million of severance, and $5.6 million of facility exit, production relocation, and other costs which were recorded as restructuring costs. A total of 316 members were terminated and received severance due to these shutdowns. The closures are substantially complete. The Company anticipates additional costs of $0.3 to $0.5 million during the first quarter of 2004 related to these closures.\n\nThe Hazleton, Pennsylvania, facility is an owned facility and has been reclassified to current assets as it is currently being held as available for sale. It is included in the 'Prepaid expenses and other current assets' in the January 3, 2004, condensed consolidated balance sheet at its carrying value of $2.1 million. The Milan, Tennessee, facility is a leased facility that is no longer being used in the production of goods. The restructuring expense for 2003 included $1.4 million of costs that will continue to be incurred under the lease contract reduced by estimated sublease rentals that could be reasonably obtained.\n\nDuring 2002, the Company recorded a pretax charge of approximately $5.4 million due to the shutdown of an office furniture facility in Jackson, Tennessee. A total of 125 members were terminated and received severance due to this shutdown. During the second quarter of 2003, a restructuring credit of approximately $0.6 million or $0.01 per diluted share was taken back into income relating to this charge.\n\nThis was due to the fact that the Company was able to exit a lease with the lessor at more favorable terms than previously estimated.\n\nDuring the second quarter of 2001, the Company recorded a pretax charge of $24 million or $0.26 per diluted share for a restructuring plan that involved consolidating physical facilities, discontinuing low-volume product lines, and reductions of workforce. Included in the charge was the closedown of three of its office furniture facilities located in Williamsport, Pennsylvania; Tupelo, Mississippi; and Santa Ana, California. Approximately 500 members were terminated and received severance due to the closedown of these facilities. During the second quarter of 2002, a restructuring credit of approximately $2.4 million was taken back into income relating to this charge. This was mainly due to the fact that the Company was able to exit a lease with a lessor at more favorable terms than originally estimated and the Company's ability to minimize the number of members terminated as compared to the original plan.\n\n## OPERATING INCOME", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n## Nature of Operations\n\nHON INDUSTRIES Inc., with its subsidiaries (the 'Company'), is a provider of office furniture and hearth products. Both industries are reportable segments; however, the Company's office furniture business is its principal line of business. Refer to the Operating Segment Information note for further information. Office furniture products are sold through a national system of dealers, wholesalers, mass merchandisers, warehouse clubs, retail superstores, end-user customers, and to federal and state governments. Dealer, wholesaler, and retail superstores are the major channels based on sales. Hearth products include electric, wood-, pellet-, and gas-burning factory-built fireplaces, fireplace inserts, stoves, and gas logs. These products are sold through a national system of dealers, wholesalers, large regional contractors, and Company-owned retail outlets. The Company's products are marketed predominantly in the United States and Canada. The Company exports select products to a limited number of markets outside North America, principally Latin America and the Caribbean, through its export subsidiary; however, based on sales, these activities are not significant.\n\n## Summary of Significant Accounting Policies\n\n## PRINCIPLES OF CONSOLIDATION AND FISCAL YEAR-END\n\nThe consolidated financial statements include the accounts and transactions of the Company and its subsidiaries. Intercompany accounts and transactions have been eliminated in consolidation.\n\nThe Company follows a 52/53-week fiscal year which ends on the Saturday nearest December 31. Fiscal year 2003 ended on January 3, 2004; 2002 ended on December 28, 2002; and 2001 ended on December 29, 2001. The financial statements for fiscal year 2003 are based on a 53-week period; fiscal years 2002 and 2001 are on a 52-week basis.\n\n## CASH, CASH EQUIVALENTS, AND INVESTMENTS\n\nCash and cash equivalents generally consist of cash, money market accounts, and debt securities. These securities have original maturity dates not exceeding three months from date of purchase. The Company has short-term investments with maturities of less than one year and also has investments with maturities greater than one year that are included in Other Assets on the consolidated balance sheet. Management classifies investments in marketable securities at the time of purchase and reevaluates such classification at each balance sheet\n\ndate. Equity securities are classified as available-for-sale and are stated at current market value with unrealized gains and losses included as a separate component of equity, net of any related tax effect. Debt securities are classified as held-to-maturity and are stated at amortized cost. The specific identification method is used to determine realized gains and losses on the trade date. Short-term investments include municipal bonds, money market preferred stock, and U.S. treasury notes. Longterm investments include U.S. government securities, municipal bonds, certificates of deposit, and asset- and mortgage-backed securities.\n\nAt January 3, 2004, and December 28, 2002, cash, cash equivalents and investments consisted of the following (cost approximates market value):", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES 2003\n\n## TO OUR SHAREHOLDERS:\n\nLEFT: Stan A. Askren, PRESIDENT\n\n\n\nRIGHT: Jack D. Michaels, CHAIRMAN AND CHIEF EXECUTIVE OFFICER\n\nAs we celebrate our 60th year, HON INDUSTRIES has seen much change. The industry has changed. The world has changed. Our business has changed. What has not changed are the culture and values on which we were founded: integrity, fairness, and respect - in the treatment of others, continuous improvement, and responsiveness to those who buy our products and services. In our unique and powerful member-owner culture, throughout our history, every member has had an opportunity to participate in making the business better. We did so again in 2003.\n\nWe outperformed our peers. We grew our sales and profits. We gained market share by providing strong brands, innovative products and services, and greater value to our endusers. We continued to increase our gross margins, a direct result of our ongoing commitment to lean initiatives. We used our strong, positive cash flow to invest in our business for the long term and returned profits to shareholders. We accomplished all of this in a very challenging economy and market.\n\nAlthough we are proud of what we achieved, our philosophy of constructive discontent drives us to continue to challenge ourselves to do better. We believe to succeed in a business environment of ongoing change and continuous transformation we also must continue to change. Today, we are\n\nleaner, more focused, and have more clearly defined brands than ever before. Our challenge is to grow, aggressively and profitably, through market-driven solutions while maintaining focus on what we do best - operational excellence. Our transformation continues:\n\n## BUILDING BRAND MARKET POWER\n\nWe are investing significantly in our brands and increasing our understanding of our diverse range of end-users and the solutions they want. We are building market power through several initiatives: focused selling models; clear brand identity; targeted advertising; expanded channel presence; and aggressive products and solutions development. We are strengthening our ability to be the 'perfect match' with end-users in every segment we serve.\n\n## ACHIEVING BEST TOTAL COST AND LEAN ENTERPRISE\n\n'Best total cost' means more than being a low-cost manufacturer. It requires us to think about the entire value stream where and how to manufacture, ship, install, outsource, assemble, service, procure, and sell - all to provide the best total value to our end-users. We implemented lean initiatives,", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES", - "page_start": 56, - "page_end": 56, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\ncosts are included in selling and administrative expense. Rebates, discounts, and other marketing program expenses directly related to the sale are recorded as a reduction to net sales. Marketing program accruals require the use of management estimates and the consideration of contractual arrangements subject to interpretation. Customer sales that reach certain award levels can affect the amount of such estimates, and actual results could differ from these estimates. Future market conditions may require increased incentive offerings, possibly resulting in an incremental reduction in net sales at the time the incentive is offered.\n\nAllowance for doubtful accounts receivable - The allowance for receivables is based on several factors including overall customer credit quality, historical write-off experience, and specific account analysis that project the ultimate collectibility of the account. As such, these factors may change over time, causing the reserve level to adjust accordingly.\n\nWhen it is determined that a customer is unlikely to pay, a charge is recorded to bad debt expense in the income statement and the allowance for doubtful accounts is increased. When it becomes certain the customer cannot pay, the receivable is written off by removing the accounts receivable amount and reducing the allowance for doubtful accounts accordingly.\n\nAt January 3, 2004, there was approximately $192 million in outstanding accounts receivable and $11 million recorded in the allowance for doubtful accounts to cover all potential future customer non-payments. However, if economic conditions deteriorate significantly or one of our large customers were to declare bankruptcy, a larger allowance for doubtful accounts might be necessary. The allowance for doubtful accounts was approximately $10 million and $17 million at year end 2002 and 2001, respectively.\n\nInventory valuation - The Company values 96% of its inventory by the last-in, first-out (LIFO) method. Additionally, the Company evaluates inventory reserves in terms of excess and obsolete exposure. This evaluation includes such factors as anticipated usage, inventory turnover, inventory levels, and ultimate product sales value. As such, these factors may change over time, causing the reserve level to adjust accordingly.\n\nLong-lived assets - Long-lived assets are reviewed for impairment as events or changes in circumstances occur indicating that the amount\n\nof the asset reflected in the Company's balance sheet may not be recoverable. An estimate of undiscounted cash flows produced by the asset, or the appropriate group of assets, is compared to the carrying value to determine whether impairment exists. The estimates of future cash flows involve considerable management judgment and are based upon assumptions about future operating performance. The actual cash flows could differ from management's estimates due to changes in business conditions, operating performance, and economic conditions. Asset impairment charges associated with the Company's restructuring activities are discussed in the Restructuring Related Charges note.\n\nThe Company's continuous focus on improving the manufacturing process tends to increase the likelihood of assets being replaced; therefore, the Company is constantly evaluating the expected useful lives of its equipment, which can result in accelerated depreciation. Additionally, the Company recorded losses on the disposal of assets in the amount of $1 million and $5 million in 2003 and 2002, respectively, as a result of its rapid continuous improvement initiatives.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nincluded in the Cash, Cash Equivalents, and Investments note included in the Notes to Consolidated Financial Statements.\n\n## CAPITAL EXPENDITURE INVESTMENTS\n\nCapital expenditures were $34.8 million in 2003, $25.9 million in 2002, and $36.9 million in 2001. Expenditures during 2003, 2002, and 2001 have been consistently focused on machinery and equipment needed to support new products, process improvements, and cost savings initiatives. Expenditures in 2003 also included the purchase from a related party of a previously leased hearth products plant for $3.6 million.\n\n## ACQUISITIONS\n\nDuring 2001, the Company completed the acquisition of three small hearth products distributors for a total purchase price of approximately $7.6 million. The acquisitions were accounted for using the purchase method, and the results of the three distributors have been included in the Company's financial statements since the date of acquisition. On January 5, 2004, the Company completed the acquisition of Paoli Inc., a provider of wood case goods and seating, for approximately $80 million. The acquisition will be accounted for using the purchase method.\n\n## LONG-TERM DEBT\n\nLong-term debt, including capital lease obligations, was 1% of total capitalization at January 3, 2004, 2% at December 28, 2002, and 12% at December 29, 2001. The reductions in long-term debt during 2003 and 2002 were due to the retirement of Industrial Revenue Bonds. The Company does not expect future capital resources to be a constraint on planned growth. Additional borrowing capacity of $136 million, less amounts used for designated letters of credit, is available through a revolving bank credit agreement in the event cash generated from operations should be inadequate to meet future needs. Certain of the Company's credit agreements include covenants that limit the assumption of additional debt and lease obligations. The Company has been, and currently is, in compliance with the covenants related to the debt agreements.\n\n## CONTRACTUAL OBLIGATIONS\n\nThe following table discloses the Company's obligations and commitments to make future payments under contracts:\n\n## PAYMENTS DUE BY PERIOD\n\n| (In thousands) | Total | Less than 1 year | 1 - 3 years | 4 - 5 years | After 5 years |\n|----------------------------------|-----------|---------------------|----------------|----------------|-----------------|\n| Long-term debt | $ 28,933 | 26,243 | 212 | 95 | 2,383 |\n| Capital lease obligations | 2,338 | 523 | 799 | 426 | 590 |\n| Operating leases | 50,750 | 13,012 | 19,166 | 9,510 | 9,062 |\n| Transportation service contract | 9,650 | 4,794 | 4,856 | - | - |\n| Other long-term obligations | 11,893 | 4,289 | 1,430 | 914 | 5,260 |\n| Total | $ 103,564 | 48,861 | 26,463 | 10,945 | 17,295 |\n\nOther long-term obligations includes $2,959,000 earn-out on convertible debentures included in current liabilities, $69,000 of financial guarantees with customers, and $8,865,000 of payments included in long-term liabilities, due to members who are participants in the Company's salary deferral program.\n\n## CASH DIVIDENDS", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "from the prior year was primarily due to the above-mentioned improvement in manufacturing variances. The decline in gross profit percentage in 2002 from the prior year was primarily due to the unfavorable shift in product mix.\n\nOperating expenses were $15.3 million in 2003, compared with $14.5 million in 2002 and $16.0 million in 2001. The increase in operating expenses in 2003 from 2002 was primarily attributable to increased general and administrative ('G&A') and selling ('Selling') expenses. G&A expenses consist primarily of salaries and other related expenses of administrative, executive and financial personnel and outside professional fees. The increase in G&A expenses in 2003 is primarily attributable to increased insurance costs, compensation and other taxes. The Company anticipates that G&A expenses are likely to increase in the foreseeable future but at a rate less than the anticipated rate of increase in revenues. Selling expenses consist primarily of salaries, commissions and other related expenses for sales and marketing personnel, marketing, advertising and promotional expenses. The increase in Selling expenses in 2003 is primarily related to increased compensation costs and travel related expenses. The Company anticipates that Selling expenses are likely to increase in the foreseeable future but at a rate less than the anticipated rate of increase in revenues. Research and development ('R&D') expenses consist primarily of salaries and other related expenses of the research and development personnel as well as costs associated with regulatory expenses. The Company anticipates that R&D expenses will continue at the current level for the foreseeable future. The decrease in operating expenses in 2002 from 2001 was primarily attributable to decreased G&A and Selling expenses partially offset by increased R&D expenses. G&A expenses for 2002 were $857,000 lower than G&A expenses for 2001, primarily due to a decrease in amortization expense as a result of a reduction in goodwill amortization in 2002 due to the adoption of SFAS No. 142 as discussed in Note 2 to the Company's Consolidated Financial Statements included herein. Additionally, G&A expenses were lower in 2002 compared to 2001 primarily as a result of reduced depreciation and cost containment programs related to supplies, communication costs and professional fees. The decrease in Selling expenses of $905,000 in 2002 from 2001 was primarily related to reduced outside services (primarily related to clinical studies), reduced compensation costs and continuing cost reduction efforts. R&D expenses were $269,000 higher for 2002 compared with 2001. This increase was primarily related to increased product development activities.\n\nThe Company's operating income for 2003 was $6.9 million, compared with $5.8 million in 2002 and $5.8 million in 2001. Revenue growth, manufacturing efficiency improvements, cost containment and cost reduction activities were the major contributors to the operating income improvements during 2003. Revenue growth, cost containment and cost reduction activities during 2002 were offset by lower gross margins compared with 2001, which combined to cause relatively flat operating results.\n\nInterest expense was $195,000 in 2003 compared to $432,000 in 2002 and $300,000 in 2001. The decrease in 2003 is primarily related to lower average borrowings during 2003 as compared with 2002. The increase in 2002 is primarily related to higher average borrowings during 2002 as compared with 2001 partially offset by a significant reduction in interest rates in 2002. The higher average borrowings during 2002 is primarily related to borrowing of funds under the Company's credit facility in late December 2001 in connection with its repurchase of outstanding common stock of the Company under a tender offer. The other income in 2001 was primarily related to the Company's one-time pre-tax gain of $428,000 on the sale of a patent.", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\n## PRODUCT DEVELOPMENT COSTS\n\nProduct development costs relating to the development of new products and processes, including significant improvements and refinements to existing products, are expensed as incurred. These costs include salaries, contractor fees, building costs, utilities, and administrative fees. The amounts charged against income were $25,791,000 in 2003, $25,849,000 in 2002, and $21,415,000 in 2001.\n\n## STOCK-BASED COMPENSATION\n\nThe Company accounts for its stock option plan using Accounting Principles Board Opinion No. 25, 'Accounting for Stock Issued to Employees,' whereby stock-based employee compensation is reflected in net income as all options granted under the plan had an exercise price equal to the market value of the underlying common stock on the date of grant. SFAS No. 123, 'Accounting for Stock-Based Compensation' issued subsequent to APB No. 25 and amended by SFAS No. 148, 'Accounting for Stock-Based Compensation - Transition and Disclosure' defines a fair value-based method of accounting for employees' stock options but allows companies to continue to measure compensation cost for employee stock options using the intrinsic value-based method described in APB No. 25.\n\nThe following table illustrates the effect on net income and earnings per share if the Company had applied the fair value recognition provisions of SFAS No. 123, 'Accounting for Stock-Based Compensation,' as amended by SFAS No. 148 'Accounting for StockBased Compensation - Transition and Disclosure,' to stock-based employee compensation.\n\n| (In thousands) | 2003 | 2002 | 2001 |\n|-------------------------------------------------------------------------------------------------------------------------------------------------|---------|---------|---------|\n| Net income, as reported | $ 98.1 | $ 91.4 | $ 74.4 |\n| Deduct: Total stock-based employee compensation expense determined under fair value-based method for all awards, net of related tax effects | (3.0) | (2.2) | (1.4) |\n| Pro forma net income | $ 95.1 | $ 89.2 | $ 73.0 |\n| Earnings per share: | | | |\n| Basic - as reported | $ 1.69 | $ 1.55 | $ 1.26 |\n| Basic - pro forma | $ 1.64 | $ 1.52 | $ 1.24 |\n| Diluted - as reported | $ 1.68 | $ 1.55 | $ 1.26 |\n| Diluted - pro forma | $ 1.62 | $ 1.51 | $ 1.24 |\n\nIncrease in expense in 2003 is due to accelerated vesting upon the retirement of plan participants.\n\n## I NCOME TAXES\n\nThe Company accounts for income taxes under SFAS No. 109, 'Accounting for Income Taxes.' This Statement uses an asset and lia-", - "page_start": 44, - "page_end": 44, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## HON INDUSTRIES Inc. and SUBSIDIARIES\n\nThe Company has contingent liabilities, which have arisen in the course of its business, including pending litigation, preferential payment claims in customer bankruptcies, environmental remediation, taxes, and other claims. The Company currently has a claim for approximately $7.6 million pending against it, arising out of the bankruptcy of a customer filed in 2001. The Company was named a critical vendor by the bankruptcy court and, accordingly, was paid in full for all outstanding receivables. The claim alleges that the Company received preferential payments from the customer during the ninety days before the customer filed for bankruptcy protection. The claim was brought in February 2003. The Company has recorded an accrual with respect to this contingency, in an amount substantially less than the full amount of the claim, which represents the best estimate within the range of likely exposure, and intends to vigorously defend against the claim. Given the nature of this claim, it is possible that the ultimate outcome could differ from the recorded amount.\n\n## Significant Customer\n\nOne office furniture customer accounted for approximately 13% of consolidated net sales in 2003 and 14% in 2002 and 2001.\n\n## Operating Segment Information\n\nIn accordance with SFAS No. 131, 'Disclosures about Segments of an Enterprise and Related Information,' management views the Company as being in two operating segments: office furniture and hearth products, with the former being the principal segment. The office furniture segment manufactures and markets a broad line of metal and wood commercial and home office furniture, which includes storage products, desks, credenzas, chairs, tables, bookcases, freestanding office partitions and panel systems, and other related products. The hearth products segment manufactures and markets a broad line of manufactured gas-, pellet-, and wood-burning fireplaces and stoves, fireplace inserts, gas logs, and chimney systems, principally for the home.\n\nThe Company's hearth products segment is somewhat seasonal, with the third (July-September) and fourth (October-December) fiscal quarters historically having higher sales than the prior quarters. In fiscal 2003, 56% of consolidated net sales of hearth products were generated in the third and fourth quarters.\n\nFor purposes of segment reporting, intercompany sales transfers between segments are not material, and operating profit is income before income taxes exclusive of certain unallocated corporate expenses. These unallocated corporate expenses include the net costs of the Company's corporate operations, interest income, and interest\n\nexpense. Management views interest income and expense as corporate financing costs and not as an operating segment cost. In addition, management applies an effective income tax rate to its consolidated income before income taxes so income taxes are not reported or viewed internally on a segment basis. Identifiable assets by segment are those assets applicable to the respective industry segments. Corporate assets consist principally of cash and cash equivalents, short-term investments, and corporate office real estate and related equipment.\n\nNo geographic information for revenues from external customers or for long-lived assets is disclosed, since the Company's primary market and capital investments are concentrated in the United States.\n\nReportable segment data reconciled to the consolidated financial statements for the years ended 2003, 2002, and 2001 is as follows:", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What operations were discontinued in 1997 by Atrion Corp ?", - "target_page": 17, - "target_passage": "During 1997, the Company sold all of its natural gas operations. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## C o r p o r a t e O f f i c e :\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800\n\nwww.atrioncorp.com\n\n## R e g i s t r a r a n d T r a n s f e r A g e n t\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## F o r m 1 0 - K\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to: Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002\n\n## S t o c k I n f o r m a t i o n\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or 'street' name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | Low | Dividends |\n|----------------------|----|--------|-------|-------------|\n| March 31 | $ | 38.14 | 26.91 | $ - |\n| June 30 | | 32.51 | 26.82 | - |\n| September 30 | | 28.09 | 18.31 | - |\n| December 31 | | 23.90 | 17.31 | - |\n| 2003 Quarter Ended | | High | Low | Dividends |\n| March 31 | $ | 22.85 | 17.95 | $ - |\n| June 30 | | 30.80 | 22.75 | - |\n| September 30 | | 45.20 | 26.80 | .12 |\n| December 31 | | 50.00 | 40.00 | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\n\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## Discontinued Operations\n\nA discontinued operation is a component of our business that has operations and cash flows that are clearly distinguished from the rest of Rogers and:\n\n - GLYPH<129> represents a separate major line of business\n - GLYPH<129> is part of a single coordinated plan to dispose of a separate major line of business, or\n - GLYPH<129> is a subsidiary we have acquired with the intention to re-sell.\n\nWhen we classify a component as a discontinued operation, we restate our comparative income and comprehensive income as though the operation had been discontinued from the start of the comparative year.\n\nSee note 6 for information about discontinued operations.\n\n## New Accounting Pronouncements Effective in 2013\n\nWe adopted the following accounting changes for our 2013 consolidated financial statements on January 1, 2013.", - "page_start": 104, - "page_end": 104, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\n\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\n\n## To the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## 2003 Revenues by Product Line\n\n\n\nOur financial performance earned recognition from Investors Business Daily , which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n## We make products that meet the specific needs of niche markets.\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH ® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS ® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "\n\n## SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. ('Atrion Medical Products'), Halkey-Roberts Corporation ('Halkey-Roberts') and Quest Medical, Inc. ('Quest Medical').\n\n## PRINCIPLES OF CONSOLIDATION\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the 'Company'). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n## FAIR VALUE\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n## ESTIMATES\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n## FINANCIAL PRESENTATION\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n## CASH AND CASH EQUIVALENTS\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n## TRADE RECEIVABLES\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n## INVENTORIES\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | DECEMBER 31, | DECEMBER 31, |\n|-------------------|----------------|----------------|\n| | 2003 | 2002 |\n| Raw materials | $ 5,641 | $ 6,082 |\n| Finished goods | 4,044 | 2,818 |\n| Work in process | 1,629 | 1,411 |\n| Total inventories | $ 11,314 | $ 10,311 |\n\n## INCOME TAXES\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\n\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "Income from discontinued operations was $22.4 million after taxes, an increase of $15.0 million or 202%. The income from discontinued operations in 2003 includes the sale of the partnership interest in February 2003 and results from the two months of its operations in 2003.\n\nThe Company adopted FAS 143 'Accounting for Asset Retirement Obligations.' effective January 1, 2003, and as a result recorded a charge to earnings for the cumulative effect of this change in accounting of $76 thousand after taxes.\n\nNet income was $32.1 million, an increase of $27.6 million or 610%. The increase is a result of improved operating results in the PCS operations, the 2002 VeriSign stock loss and the sale of the cellular operations.\n\n## DISCONTINUED OPERATIONS\n\nThe Company invested $2.0 million in the Virginia 10 RSA limited partnership in the early 1990's. The partnership's local customer base peaked in early 2000 with nearly 12,000 subscribers, then steadily declined to 6,700 by December 31, 2002. The decline was the result of competition with digital technologies and increased competition from national carriers in the area. As a result of the decline in the subscriber base, and the need for extensive capital expenditures to transform the analog network into a digital cellular network, the Company elected to sell its 66% interest in the partnership to one of the minority partners. The agreement was signed in November 2002, and closing was February 28, 2003. The Company's portion of the net income from its operations for 2003, 2002 and 2001 was $1.2 million, $7.4 million and $6.7 million, respectively.\n\n## CONTINUING OPERATIONS\n\n## 2002 compared to 2001\n\nTotal revenue was $93.0 million in 2002, an increase of $24.3 million or 35.3%. Total revenues included $57.9 million of wireless revenues, an increase of $21.7 million or 60.2%; wireline revenues of $28.7 million, an increase of $1.3 million or 4.6%; and other revenues of $6.4 million, an increase of $1.2 million or 24.5%.\n\nWithin wireless revenues, the PCS operation contributed $55.5 million, an increase of $21.4 million, or 63.0%. PCS service revenues were $37.4 million, an increase of $18.3 million or 95.7%. The increase in the subscriber base, which totaled 67,842 at December 31, 2002, was an increase of 20,524 or 43% from the prior year end.\n\nPCS travel revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.5 million, an increase of $2.9 million or 21.3%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, and the travel exchange rate. The rate received on travel was $0.10 per minute in 2002. The rates in 2001 were $0.20 per minute from January 1, 2001 through April 30, 2001; $0.15 per minute from May 1, 2001 through September 30, 2001; and $0.12 per minute from October 1, 2001 through December 31, 2001.\n\nPCS equipment sales were $1.6 million, an increase of $0.3 million or 19.6%. The equipment sales are net of $0.3 million of rebates and discounts given at the time of sale, which became more pronounced during the year to meet industry competition for subscriber additions and subscriber retention.\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) service in August 2002. The impact of 3G 1X-network enhancements on revenues was not significant in 2002.\n\nTower leases added $2.1 million to wireless revenues, an increase of $0.4 million or 24.5%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 82 towers and poles owned by the Company as of December 31, 2002, 46 have tower space leased to other carriers.", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "and operate MGM Grand Australia. This transaction closed in July 2004 with net proceeds to the Company of $136 million.\n\nThe results of the Golden Nugget Subsidiaries, Online and MGM Grand Australia are classified as discontinued operations in the accompanying consolidated statements of income for all periods presented. Net revenues of discontinued operations were $45 million, $231 million and $222 million, respectively, for the years ended December 31, 2004, 2003 and 2002. Included in income from discontinued operations is an allocation of interest expense based on the ratio of the net assets of the discontinued operations to the total consolidated net assets and debt of the Company. Interest allocated to discontinued operations was $2 million, $9 million and $9 million for the years ended December 31, 2004, 2003 and 2002, respectively. Included in discontinued operations for the year ended December 31, 2003 is a loss on disposal of Online of $7 million relating primarily to unrecoverable costs of computer hardware and software. Included in the tax benefit from discontinued operations for the year ended December 31, 2003 is $2 million of previously unrecognized tax benefits relating to prior year operating losses of Online. Included in discontinued operations for the year ended December 31, 2004 is a gain on the sale of the Golden Nugget Subsidiaries of $8 million and a gain on sale of the MGM Grand Australia Subsidiaries of $74 million.\n\n## Notes to Consolidated Financial Statements\n\nThe following table summarizes the assets and liabilities of discontinued operations (the Golden Nugget Subsidiaries and Online) as of December 31, 2003, included as assets and liabilities held for sale in the accompanying consolidated balance sheet:", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "We discontinued our Video segment in the second quarter of 2012 and reported the Video results of operations as discontinued operations at that time.\n\nAs of June 2012, Rogers' stores no longer offered video and game rentals or sales at its retail locations. Certain of these stores continue to serve customers' wireless and cable needs.\n\nThe Video segment did not have any results from discontinued operations in 2013 or any significant assets or liabilities as at December 31, 2013 and 2012. Cash flows from operating activities for the segment for 2013 were nil (2012 - $2 million). The Video segment did not have any cash flows from investing or financing activities for the years ended December 31, 2013 and 2012.", - "page_start": 106, - "page_end": 106, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## (10) Asset Write Down\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset write-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the C o m p a n y 's acquisition of Arkansas Systems, Inc. ('Euronet USA') in December 1998. The remaining $800,000 write-down related to the C o m p a n y 's ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the Budapest Bank ATM network in Hungary.\n\nAs a result of the Company's inability to achieve operating improvements, including software license and service orders for Euronet USA's traditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e q u a rters of 2000. The Company calculated the expected cash flows of the Company's Software Solutions Segment, which identified an i m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the p resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon the acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction payment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to the Company's Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h development and release of a new set of products that are independent of Euronet USA's traditional core product lines, including a new, p l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile phone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and solutions rather than Euronet USA's traditional ITM solution will be the primary source of software solutions revenues in the future.\n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows of the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible assets. The Company's estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t p rojections, and internal earnings targets, net of applicable taxes. The Company's discounted cash flow analysis indicated that the carry i n g value of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible assets prior to the write down was $11.2 million.\n\nThe asset write-down is disclosed as a separate operating expense item in the Company's Consolidated Statements of Operations and C o m p rehensive Loss.\n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets will be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and S e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company's standards. Specifically, these assets w e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its ATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value of ATM hard w a re, adjusting to its net realizable value.\n\n## (11) Notes Payable", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "How much share of Atrion's revenues did its major customer representin in 2003 ? ", - "target_page": 21, - "target_passage": "The Company had one major customer which represented approximately $9.1 million (14.4 percent", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## 2003 Revenues by Product Line\n\n\n\nOur financial performance earned recognition from Investors Business Daily , which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n## We make products that meet the specific needs of niche markets.\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH ® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS ® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## C o r p o r a t e O f f i c e :\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800\n\nwww.atrioncorp.com\n\n## R e g i s t r a r a n d T r a n s f e r A g e n t\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## F o r m 1 0 - K\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to: Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002\n\n## S t o c k I n f o r m a t i o n\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or 'street' name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | Low | Dividends |\n|----------------------|----|--------|-------|-------------|\n| March 31 | $ | 38.14 | 26.91 | $ - |\n| June 30 | | 32.51 | 26.82 | - |\n| September 30 | | 28.09 | 18.31 | - |\n| December 31 | | 23.90 | 17.31 | - |\n| 2003 Quarter Ended | | High | Low | Dividends |\n| March 31 | $ | 22.85 | 17.95 | $ - |\n| June 30 | | 30.80 | 22.75 | - |\n| September 30 | | 45.20 | 26.80 | .12 |\n| December 31 | | 50.00 | 40.00 | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\n\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "\n\n## SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. ('Atrion Medical Products'), Halkey-Roberts Corporation ('Halkey-Roberts') and Quest Medical, Inc. ('Quest Medical').\n\n## PRINCIPLES OF CONSOLIDATION\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the 'Company'). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n## FAIR VALUE\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n## ESTIMATES\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n## FINANCIAL PRESENTATION\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n## CASH AND CASH EQUIVALENTS\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n## TRADE RECEIVABLES\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n## INVENTORIES\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | DECEMBER 31, | DECEMBER 31, |\n|-------------------|----------------|----------------|\n| | 2003 | 2002 |\n| Raw materials | $ 5,641 | $ 6,082 |\n| Finished goods | 4,044 | 2,818 |\n| Work in process | 1,629 | 1,411 |\n| Total inventories | $ 11,314 | $ 10,311 |\n\n## INCOME TAXES\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\n\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\n\n## To the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\n\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## Note 11. Major Customers\n\nThe Company has one major customer and relationship that is a significant source of revenue. In 2003, as during the past number of years, the Company's relationship with Sprint continued to increase, due to growth in the PCS business segment. Approximately 61.2% of total revenues in 2003 were generated by or through Sprint and its customers using the Company's portion of Sprint's nationwide PCS network. This was compared to 57.6% in 2002, and 47.1% of total revenue in 2001. No other customer relationship on a stand-alone basis generates more than 2.5% of the Company's total revenue for 2003, 2002 and 2001.\n\n■", - "page_start": 34, - "page_end": 34, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "In recent years, the economic climate has presented significant challenges to growth-and, in some cases, survival-for American businesses. The companies that have fared well are those with solid financial foundations and sound growth strategies that provide a measure of protection against the changing winds of the economy. Atrion is one of those companies. For the past five years, we have produced earnings per share growth of more than 15 percent each year. Despite fluctuations in our markets and product demand, we have continued to return value to our stockholders through strong earnings growth, year after year. As a leading provider of medical devices and components to niche markets in the health care industry, we are committed to doing everything we can to continue that level of performance.\n\nF I N A N C I A L H I G H L I G H T S\n\n1\n\nL E T T E R T O S T O C K H O L D E R S\n\n2\n\nF I N A N C I A L I N F O R M A T I O N\n\n7\n\nC O R P O R A T E I N F O R M A T I O N 2 8", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## Results of Continuing Operations\n\n## 2003 compared to 2002\n\nTotal revenue was $105.9 million in 2003, an increase of $12.9 million or 13.9%. Total revenues included $70.0 million of wireless revenues, an increase of $12.0 million or 20.7%; wireline revenues of $29.0 million, an increase of $0.3 million or 0.9%; and other revenues of $7.0 million, an increase of $0.6 million or 9.7%.\n\nWithin wireless revenues, the PCS operation contributed $69.8 million, an increase of $11.6 million, or 20.8%. PCS service revenues were $44.4 million, an increase of $10.9 million or 32.4%. Service revenue growth was driven by the increase in subscribers, totaling 85,139 at December 31, 2003, an increase of 17,297 or 25.5%, compared to 67,842 subscribers at year-end 2002. The company had churn of 2.1% in 2003 compared to 2.8% in 2002. The decline in the churn rate is the result of tightening the credit screening for new subscribers as well as continued efforts to improve the after sales support. Competition in the wireless industry continues to have a significant impact on the results of the Company's PCS operation.\n\nPCS travel revenue, including reseller revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.8 million, an increase of $0.3 million or 1.8%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, their travel patterns and the travel exchange rate. The rate received on travel was $0.058 per minute in 2003, compared to $0.10 per minute in 2002. As a part of the amended management agreement signed on January 30, 2004, Sprint and the Company agreed to maintain the travel rate at $0.058 per minute through December 31, 2006.\n\n\n\n■", - "page_start": 46, - "page_end": 46, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the components of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n\n| | 2004 | 2003 | 2002 |\n|-----------------------------------------------------------|--------|--------|-----------|\n| Core price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.3% | | 1.8% 1.4% |\n| Fuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .2 | .2 | Ì |\n| Recycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .5 | .1 | .4 |\n| Total priceÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.0 | 2.1 | 1.8 |\n| Core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6 | 2.1 | 1.6 |\n| Non-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .1 | Ì | .4 |\n| Total volumeÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.7 | 2.1 | 2.0 |\n| Total internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 6.7 | 4.2 | 3.8 |\n| AcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9 | 1.8 | .8 |\n| Taxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Ì | .5 | .2 |\n| Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.6% | | 6.5% 4.8% |\n\n - , 2004: During the year ended December 31, 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. During the year ended December 31, 2004, we experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our internal growth from our core operations was 5.9% in 2004.\n - , 2003: During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an increase in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing increased at a more rapid pace due to our broad-based pricing initiative.\n - During 2003, the economic slowdown which began during 2001 continued to negatively impact our business. However, during 2003, our revenue growth from core volume continued to be positively impacted by long-term franchise and municipal contracts that were secured during 2002. Our internal growth from core operations was 3.9% in 2003.\n - , 2002: The economic slowdown which began in 2001 continued to negatively impact the portion of our business servicing the manufacturing sector and non-residential construction industry during 2002. Volumes attributable to manufacturing and construction activity continued to weaken during 2002.\n\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase in recycling commodity prices in the early part of 2002.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## HON INDUSTRIES 2003\n\n## FINANCIAL HIGHLIGHTS", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_ATRI_2003.pdf", - "query": "What was Atrion's gross profit in 2003 (in thousands) ? ", - "target_page": 10, - "target_passage": "Gross Profit 22,239", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## 2003 Revenues by Product Line\n\n\n\nOur financial performance earned recognition from Investors Business Daily , which ranked Atrion sixth on its list of Market-Leading Medical Stocks in November 2003. During the year, our stock price more than doubled, ending the year at $45.44, up from $22.50 at year-end 2002. Over the last five years, our stock price has increased by 468 percent.\n\n## We make products that meet the specific needs of niche markets.\n\nOne of the principal strengths of our company lies in the diversity of our product lines. Atrion makes medical devices and components for end-users and manufacturers throughout the health care industry, ranging from ophthalmology and cardiovascular products to fluid delivery devices. Our reputation for quality, precision and reliability has helped a number of our products gain the leading market positions in the United States in their respective niches.\n\nIn the ophthalmic sector, Atrion is a leading U.S. manufacturer of soft contact lens disinfection cases. In addition, our LacriCATH ® balloon catheter positions us as a market leader with a patented product for the treatment of tear duct blockages.\n\nWe serve the cardiac surgery market as a leading U.S. provider of vacuum relief valves, minimally invasive surgical tapes and check valves. Serving the same market, our MPS ® Myocardial Protection System continues to make headway, as hospitals and surgeons increasingly recognize the value of this proprietary technology. The MPS delivers essential fluids and medications to the heart during open-heart surgery, and it is the only system that provides integrated control over temperature, pressure, flow rate and the precise delivery of medications to the heart during surgery. Atrion also is the leading U.S. provider of clamps for IV sets, which are used in many surgical and medical settings.\n\nOur expertise and leadership in valve design and manufacturing extend beyond the health care industry. We are the leading domestic manufacturer of valves and inflation devices used in marine and aviation safety products.\n\nWe support this stable of solidly performing products with two essential programs. One is a highly effective sales and marketing effort that keeps our products moving into the marketplace. Our sales team is comprised of professionals who possess clinical knowledge and specific product experience, and also concentrate on building strong relationships with customers and within the industry.\n\nOur other essential program is research and development. We believe it is vital to keep a pipeline of products in various stages of development so that we can take advantage of near- and long-term opportunities in our markets. Understandably, proposed new products for the health care industry must undergo stringent testing and rigorous approval procedures. Often, this means that the process of bringing a new product from the design stage to the marketplace is a long and arduous one. A strong, proactive research and development program ensures that we are committing the resources and time required to successfully stay the course.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## C o r p o r a t e O f f i c e :\n\nAtrion Corporation One Allentown Parkway Allen, Texas 75002 (972) 390-9800\n\nwww.atrioncorp.com\n\n## R e g i s t r a r a n d T r a n s f e r A g e n t\n\nAmerican Stock Transfer and Trust Company 59 Maiden Lane New York, New York 10007\n\n## F o r m 1 0 - K\n\nA copy of the Company's 2003 Annual Report on Form 10-K, as filed with the Securities and Exchange Commission, may be obtained by any stockholder without charge by written request to: Corporate Secretary Atrion Corporation One Allentown Parkway Allen, Texas 75002\n\n## S t o c k I n f o r m a t i o n\n\nThe Company's common stock is traded on The Nasdaq Stock Market (Symbol: ATRI). As of March 8, 2004, there were approximately 1,200 stockholders, including beneficial owners holding shares in nominee or 'street' name. The table below sets forth the high and low closing prices on The Nasdaq Stock Market and the quarterly dividends per share declared by the Company for each quarter of 2002 and 2003.\n\n| 2002 Quarter Ended | | High | Low | Dividends |\n|----------------------|----|--------|-------|-------------|\n| March 31 | $ | 38.14 | 26.91 | $ - |\n| June 30 | | 32.51 | 26.82 | - |\n| September 30 | | 28.09 | 18.31 | - |\n| December 31 | | 23.90 | 17.31 | - |\n| 2003 Quarter Ended | | High | Low | Dividends |\n| March 31 | $ | 22.85 | 17.95 | $ - |\n| June 30 | | 30.80 | 22.75 | - |\n| September 30 | | 45.20 | 26.80 | .12 |\n| December 31 | | 50.00 | 40.00 | .12 |\n\nThe Company paid no cash dividends on its common stock during 2002. In the third quarter of 2003 the Company began paying quarterly cash dividends and presently plans to pay quarterly cash dividends in the future.\n\nMPS and LacriCATH are registered trademarks of Atrion Corporation", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## GROSS PROFIT\n\nGross profit as a percent of net sales improved 1.0 percentage point in 2003 as compared to fiscal 2002 and 1.3 percentage points in 2002 as compared to 2001. The improvement in both periods was a result of the continued net benefits of rapid continuous improvement, restructuring initiatives, business simplification, new products, and improved price realization. Included in 2003 gross profit was $6.7 million of accelerated depreciation, which reduced gross profits 0.4 percentage points. The Company expects to mitigate any future increases in material costs through various initiatives, including alternative materials and suppliers and its rapid continuous improvement program.\n\n## SELLING AND ADMINISTRATIVE EXPENSES\n\nSelling and administrative expenses, excluding restructuring charges, increased 5.8% in 2003 and decreased 2.2% in 2002. The increase in 2003 was due to additional investment of approximately $14 million in brand building and selling initiatives, and increased freight costs of $7 million due to rate increases, fuel surcharges, and volume. The decrease in 2002 was due to no longer amortizing goodwill and certain other intangible assets of approximately $9 million and lower overall", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "\n\n## SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES\n\nAtrion Corporation designs, develops, manufactures and markets products primarily for the medical and health care industry. The Company markets its products throughout the United States and internationally. The Company's customers include hospitals, distributors, and other manufacturers. As of December 31, 2003, the principal subsidiaries of the Company through which it conducted its operations were Atrion Medical Products, Inc. ('Atrion Medical Products'), Halkey-Roberts Corporation ('Halkey-Roberts') and Quest Medical, Inc. ('Quest Medical').\n\n## PRINCIPLES OF CONSOLIDATION\n\nThe consolidated financial statements include the accounts of Atrion Corporation and its subsidiaries (the 'Company'). All significant intercompany transactions and balances have been eliminated in consolidation.\n\n## FAIR VALUE\n\nThe carrying amounts of cash and cash equivalents, accounts receivable and accounts payable approximate fair value due to the short-term nature of these items. The carrying amount of debt approximates fair value as the interest rate is tied to market rates.\n\n## ESTIMATES\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosures of contingent assets and liabilities at the dates of the financial statements and the reported amount of revenues and expenses during the reporting periods. Actual results could differ from those estimates.\n\n## FINANCIAL PRESENTATION\n\nCertain prior-year amounts have been reclassified to conform with the current-year presentation.\n\n## CASH AND CASH EQUIVALENTS\n\nCash equivalents are securities with original maturities of 90 days or less.\n\n## TRADE RECEIVABLES\n\nTrade accounts receivable are recorded at the original sales price to the customer. The Company maintains an allowance for doubtful accounts to reflect estimated losses resulting from the inability of customers to make required payments. On an ongoing basis, the collectibility of accounts receivable is assessed, based upon historical collection trends, current economic factors, and the assessment of the collectibility of specific accounts. The Company evaluates the collectibility of specific accounts using a combination of factors, including the age of the outstanding balances, evaluation of customers' current and past financial condition, recent payment history, current economic environment, and discussions with appropriate Company personnel and with the customers directly. Accounts are written off when it is determined the receivable will not be collected.\n\n## INVENTORIES\n\nInventories are stated at the lower of cost or market. Cost is determined by using the first-in, first-out method. The following table details the major components of inventory (in thousands):\n\n| | DECEMBER 31, | DECEMBER 31, |\n|-------------------|----------------|----------------|\n| | 2003 | 2002 |\n| Raw materials | $ 5,641 | $ 6,082 |\n| Finished goods | 4,044 | 2,818 |\n| Work in process | 1,629 | 1,411 |\n| Total inventories | $ 11,314 | $ 10,311 |\n\n## INCOME TAXES\n\nThe Company utilizes the asset and liability approach to financial accounting and reporting for income taxes. Deferred income tax assets and liabilities are computed annually for differences between the financial reporting basis and the tax basis of the Company's other assets and liabilities. These amounts are based on enacted tax laws and rates applicable to the periods in which the differences are expected to affect taxable income.", - "page_start": 13, - "page_end": 13, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and Subsidiaries as of December 31, 2003 and 2002, and the related consolidated statements of income, changes in stockholders' equity and cash flows for the years then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The financial statements of Atrion Corporation and Subsidiaries as of and for the year in the period ended December 31, 2001, were audited by other auditors who have ceased operations. Those auditors expressed an unqualified opinion on those financial statements in their report dated February 25, 2002.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the consolidated financial position of Atrion Corporation and Subsidiaries as of December 31, 2003 and 2002, and the consolidated results of their operations and their consolidated cash flows for the years then ended in conformity with accounting principles generally accepted in the United States of America.\n\nAs discussed above, the financial statements of Atrion Corporation and Subsidiaries as of December 31, 2001, and for the year then ended were audited by other auditors who have ceased operations. As described in Note 2, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets, which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 2 with respect to 2001 included agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense (including any related tax effects) recognized in those periods related to goodwill to the Company's underlying records obtained from management. We also tested the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related income-per-share amounts. In our opinion, the disclosures for 2001 in Note 2 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 financial statements taken as a whole.\n\n\n\nGrant Thornton LLP Dallas, Texas February 13, 2004\n\nThis is a copy of the audit report previously issued by Arthur Andersen LLP in connection with Atrion Corporation and Subsidiaries Annual Report for the year ended December 31, 2001. This audit report has not been reissued by Arthur Andersen LLP in connection with this Annual Report. The consolidated balance sheets as of December 31, 2001 and 2000 and the consolidated statements of income and cash flows for the years ended December 31, 2000 and 1999 referred to in this report have not been included in the accompanying financial statements.\n\n## To the Stockholders and the Board of Directors of Atrion Corporation:", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "18\n\n## FINANCIAL HIGHLIGHTS\n\n## (in thousands except share and per share data)\n\n| For the Years Ended December 31 | 2004 | 2003 | 2002 | 2001 | 2000 |\n|-----------------------------------------------------------------|-------------|-------------|-------------|-------------|-------------|\n| Net revenues . . . . . . . . . . . . . . . . . . . . . . . . . | $ 4,238,104 | $ 3,862,743 | $ 3,756,928 | $ 3,699,852 | $ 2,910,580 |\n| Operating income . . . . . . . . . . . . . . . . . . . . . . | 950,860 | 699,729 | 746,538 | 599,892 | 515,197 |\n| Income from continuing operations . . . . . . . . . | 349,856 | 230,273 | 289,476 | 160,440 | 153,585 |\n| Net income . . . . . . . . . . . . . . . . . . . . . . . . . . | 412,332 | 243,697 | 292,435 | 169,815 | 160,744 |\n| Basic earnings per share | | | | | |\n| Income from continuing operations . . . . . . | $ 2.51 | $ 1.55 | $ 1.83 | $ 1.01 | $ 1.06 |\n| Net income per share . . . . . . . . . . . . . . . . | 2.95 | 1.64 | 1.85 | 1.07 | 1.11 |\n| Weighted average number of shares . . . . . . . | 139,663 | 148,930 | 157,809 | 158,771 | 145,300 |\n| Diluted earning per share | | | | | |\n| Income from continuing operations . . . . . . | $ 2.42 | $ 1.52 | $ 1.81 | $ 1.00 | $ 1.04 |\n| Net income per share . . . . . . . . . . . . . . . . | 2.85 | 1.61 | 1.83 | 1.06 | 1.09 |\n| Weighted average number of shares . . . . . . . | 144,666 | 151,592 | 159,940 | 160,822 | 147,901 |\n| Cash dividends per share (1) . . . . . . . . . . . . . . | $ - | $ - | $ - | $ - | $ 0.10 |\n| At year-end | | | | | |\n| Total assets . . . . . . . . . . . . . . . . . . . . . . . . . | $11,115,029 | $10,811,269 | $10,568,698 | $10,542,568 | $10,785,720 |\n| Total debt, including capital leases . . . . . . . | 5,463,619 | 5,533,462 | 5,222,195 | 5,465,608 | 5,880,819 |\n| Stockholders' equity . . . . . . . . . . . . . . . . . | 2,771,704 | 2,533,788 | 2,664,144 | 2,510,700 | 2,382,445 |\n| Stockholders' equity per share . . . . . . . . . . | $ 19.75 | $ 17.71 | $ 17.24 | $ 15.95 | $ 14.97 |\n| Number of shares outstanding . . . . . . . . . . . . | 140,370 | 143,096 | 154,574 | 157,396 | 159,130 |\n\n(1) On December 13, 1999, the Board of Directors approved an initial quarterly cash dividend of $0.10 per share to stockholders of record on February 10, 2000. The dividend was paid on March 1, 2000. As a result of the acquisition of Mirage Resorts, Incorporated, we announced on April 19, 2000 that the quarterly dividend policy was discontinued.\n\nThe acquisition of Mirage Resorts occurred on May 31, 2000. In June 2003, we ceased operations of PLAYMGMMIRAGE.com, our online gaming website ('Online'). In January 2004, we sold the Golden Nugget Las Vegas and the Golden Nugget Laughlin including substantially all of the assets and liabilities of those resorts (the 'Golden Nugget Subsidiaries'). In July 2004, we sold the subsidiaries that own and operate MGM Grand Australia. The results of Online, the Golden Nugget Subsidiaries and MGM Grand Australia are classified as discontinued operations for all periods presented.\n\n", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| (In thousands, except for per share data) | 2003 | | 2002 Change |\n|---------------------------------------------------------|-------------|-------------|--------------------------------------------|\n| I N C O M E S T A T E M E N T D A T A | | | |\n| Net sales | $ 1,755,728 | $ 1,692,622 | 3.7% |\n| Gross profit | 639,215 | 599,879 | 6.6% |\n| Gross profit as a % of: | | | |\n| Net sales | 36.4% | 35.4% | - |\n| Selling and administrative expenses | 480,744 | 454,189 | 5.8% |\n| Restructuring related charges | 8,510 | 3,000 | 183.7% |\n| Operating income | 149,961 | 142,690 | 5.1% |\n| Net income | 98,105 | 91,360 | 7.4% |\n| Net income as a % of: | | | |\n| Net sales | 5.6% | 5.4% | - |\n| Average shareholders' equity | 14.5% | 14.7% | - |\n| Per common share: | | | |\n| Net income - basic | $ 1.69 | $ 1.55 | 9.0% |\n| Net income - diluted | 1.68 | 1.55 | 8.4% |\n| Book value - basic | 12.19 | 11.08 | 10.0% |\n| Cash dividends | 0.52 | 0.50 | 4.0% |\n| BALANCE SHEET DATA | | | |\n| Current assets | $ 462,122 | $ 405,054 | 14.1% |\n| Total assets | 1,021,826 | 1,020,552 | 0.1% |\n| Current liabilities | 245,816 | 298,680 | (17.7%) |\n| Current ratio | 1.88 | 1.36 | - |\n| Long-term debt and capital lease obligations | $ 4,126 | $ 9,837 | (58.1%) |\n| Debt/capitalization ratio | 0.6% | 1.5% | - |\n| Shareholders' equity | $ 709,889 | $ 646,893 | 9.7% |\n| Average shareholders' equity | 678,391 | 619,787 | 9.5% |\n| Working capital | 216,306 | 106,374 | 103.3% |\n| OTHER DATA | | | |", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "## To the Stockholders and the Board of Directors of Atrion Corporation:\n\nWe have audited the accompanying consolidated balance sheets of Atrion Corporation (a Delaware corporation) and subsidiaries as of December 31, 2001 and 2000 and the related consolidated statements of income and cash flows for each of the three years in the period ended December 31, 2001. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of Atrion Corporation and subsidiaries as of December 31, 2001 and 2000 and the results of their operations and their cash flows for each of the three years in the period ended December 31, 2001 in conformity with accounting principles generally accepted in the United States.\n\n\n\nArthur Andersen LLP Atlanta, Georgia February 25, 2002", - "page_start": 24, - "page_end": 24, - "source_file": "NASDAQ_ATRI_2003.pdf" - }, - { - "text": "| | Millions of yen | Millions of yen | Millions of yen |\n|-------------------------------------------------------------------------------------------------------------------|-----------------------------|-------------------|--------------------|\n| Fiscal year 2002 (For the year ended Mar. 31, 2003) | Automobile and Eliminations | Sales Financing | Consolidated total |\n| Net sales .................................................................................... | ¥6,432,720 | ¥395,868 | ¥6,828,588 |\n| Cost of sales ........................................................................... | 4,617,368 | 254,956 | 4,872,324 |\n| Gross profit .............................................................................. | 1,815,352 | 140,912 | 1,956,264 |\n| Operating income ............................................................... | 677,348 | 59,882 | 737,230 |\n| Operating income as a percentage of net sales ......... | 10.5% | 15.1% | 10.8% |\n| Net financial cost ................................................................ | (16,543) | 3 | (16,540) |\n| Income before income taxes and minority interests .............................................................. | 634,818 | 59,806 | 694,624 |\n| Net income ............................................................................... | ¥ 458,611 | ¥ 36,554 | ¥ 495,165 |\n| Total net financial cost ................................................... | ¥ (16,543) | ¥ 3 | ¥ (16,540) |\n| Intersegment elimination .............................................. | (5,677) | - | (5,677) |\n| Net financial cost for segment ................................ | (10,866) | 3 | (10,863) |\n| Net financial cost for segment ................................ | (5,744) | (10) | (5,754) |\n\nFINANCIAL SECTION", - "page_start": 98, - "page_end": 98, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Note 15. Quarterly Results (unaudited)\n\n(in thousands except for per share data)\n\n| For the year ended December 31, 2003 | First | Second | Third | Fourth | Total |\n|---------------------------------------------------------|-----------|----------|----------|----------|-----------|\n| Revenues | $ 24,947 | $ 24,844 | $ 27,582 | $ 28,488 | $105,861 |\n| Operating income | 4,150 | 2,402 | 4,976 | 7,100 | 18,628 |\n| Income from | | | | | |\n| Continuing operations | 1,931 | 1,044 | 2,717 | 4,069 | 9,761 |\n| Income from discontinued operations, net of taxes | 22,628 | - | (23) | (216) | 22,389 |\n| Cumulative effect of change in accounting | (76) | - | - | - | (76) (76) |\n| Net income (a) | $ 24,483 | $ 1,044 | $ 2,694 | $ 3,853 | $ 32,074 |\n| Income (loss) per share - | | | | | |\n| Continuing operations-diluted | $ 0.26 | $ 0.14 | $ 0.36 | $ 0.53 | $ 1.28 |\n| Discontinued operations -diluted | 2.99 2.98 | - | - | (0.03) | 2.94 |\n| Cumulative effect of change in accounting - diluted | (0.01) | - | - | - | (0.01) |\n| Net income per share - basic | $ 3.24 | $ 0.14 | $ 0.36 | $ 0.51 | $ 4.23 |\n| Net income per share - diluted | 3.23 | 0.14 | 0.35 | 0.50 | 4.22 |\n\n| For the year ended December 31, 2002 | First | Second | Third | Fourth | Total |\n|------------------------------------------------------|----------|-----------|----------|----------|-----------------|\n| Revenues | $ 20,697 | $ 22,186 | $ 24,631 | $ 25,460 | $ 92,974 |\n| Operating income | 2,316 | 2,617 | 2,371 | 2,034 | 9,338 |\n| Income (loss) from | | | | | |\n| Continuing operations | 370 | (3,984) | 383 | 338 | (2,893) |\n| Income from Discontinued operations, net of taxes | 1,786 | 1,870 | 1,841 | 1,915 | 7,412 |\n| Net income (b) | $ 2,156 | $ (2,114) | $ 2,224 | $ 2,253 | $ 4,519 |\n| Income (loss) per share - | | | | | |\n| Continuing operations -diluted | $ 0.05 | $ (0.53) | $ 0.05 | $ 0.04 | $ (0.38) (0.38) |\n| Discontinued operations -diluted | 0.24 | 0.25 | 0.24 | 0.25 | 0.98 0.98 |\n| Net income per share - basic | $ 0.29 | $ (0.28) | $ 0.29 | $ 0.30 | $ 0.60 0.60 |\n| Net income per share - diluted | 0.29 | (0.28) | 0.29 | 0.30 | 0.60 0.60 |\n\nPer share earnings may not add to the full year values as each per share calculation stands on its own.\n\n\n\n■", - "page_start": 39, - "page_end": 39, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What the name of the first bridge buildt over Danube ?", - "target_page": 16, - "target_passage": "he Chain Bridge was the first bridge over the Danube", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## CHAIN BRIDGE, Budapest\n\nThe Chain Bridge, built from 1839 to 1849, was the first bridge over the Danube, linking the cities Buda and Pest. Measuring 380 meters long and 15.7 meters wide, it is supported by pillars shaped like antique triumphal arches.", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "See accompanying notes to consolidated financial statements.\n\n\n\n## RIVER TYNE BRIDGES, Newcastle\n\nSix bridges dominate the Tyne between Newcastle and Gateshead, enabling innovative railway and roadway advances over the past two centuries. At the time of its completion in 1929, the Tyne Bridge was the world's longest single span bridge.", - "page_start": 27, - "page_end": 27, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "See accompanying notes to consolidated financial statements.\n\n\n\n## B R O O K LYN BRIDGE, New Yo r k\n\nThe Brooklyn Bridge, proudly standing over the East River and connecting the boroughs of Brooklyn and Manhattan, endures as one of the most famous bridges in America. When completed in May 1883, the 5989-foot-long Brooklyn Bridge was the largest suspension bridge in the world.", - "page_start": 28, - "page_end": 28, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "- 150. * Hamilton, Walter (1895). Dated Book-plates (Ex Libris) with a Treatise on Their Origin (https://books.google.com/ books?id=\\_KIrAAAAYAAJ). A.C. Black. p. 37. Archived (https://web.archive.org/web/20230713192807/https://book s.google.com/books?id=\\_KIrAAAAYAAJ) from the original on 13 July 2023. Retrieved 22 March 2023.\n - 151. Edmunds 2002, p. 274.\n - 152. Anselme de Sainte-Marie 1726, pp. 145-146.\n - 153. Wurzbach, Constantin von, ed. (1860). \"Habsburg, Anna von Oesterreich (Königin von Frankreich)\" (https://en.wik isource.org/wiki/de:BLK%C3%96:Habsburg,\\_Anna\\_von\\_Oesterreich\\_(K%C3%B6nigin\\_von\\_Frankreich)). Biographisches Lexikon des Kaiserthums Oesterreich [ Biographical Encyclopedia of the Austrian Empire ] (in German). Vol. 6. p. 152 - via Wikisource.\n - 154. Anselme de Sainte-Marie 1726, pp. 143-144.\n - 155. Marie de Médicis (https://www.britannica.com/EBchecked/topic/365073) at the Encyclopædia Britannica\n - 156. Wurzbach, Constantin von, ed. (1861). \"Habsburg, Philipp III.\" (https://en.wikisource.org/wiki/de:BLK%C3%96:Ha bsburg,\\_Philipp\\_III.). Biographisches Lexikon des Kaiserthums Oesterreich [ Biographical Encyclopedia of the Austrian Empire ] (in German). Vol. 7. p. 120 - via Wikisource.\n - 157. Wurzbach, Constantin von, ed. (1861). \"Habsburg, Margaretha (Königin von Spanien)\" (https://en.wikisource.org/ wiki/de:BLK%C3%96:Habsburg,\\_Margaretha\\_(K%C3%B6nigin\\_von\\_Spanien)). Biographisches Lexikon des Kaiserthums Oesterreich [ Biographical Encyclopedia of the Austrian Empire ] (in German). Vol. 7. p. 13 - via Wikisource.", - "page_start": 29, - "page_end": 29, - "source_file": "wikipedia5.pdf" - }, - { - "text": "See accompanying notes to consolidated financial statements.\n\n\n\n## SYDNEY HARBOUR BRIDGE, Sydney\n\nSince its opening in March 1932, the Sydney Harbour Bridge has held a special place for immigrants upon their arrival to Australia. This grand arch remains a distinctive landmark for what many consider to be the most beautiful harbour in the world.", - "page_start": 26, - "page_end": 26, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "\n\nLyon Cathedral\n\n\n\nMaison du Crible (16th C.) in the Vieux Lyon\n\n\n\n\n\nÉglise Saint-Bonaventure\n\n\n\nChurch of Saint-Just, LyonManécanterie, Lyon\n\n\n\n## 17th and 18th centuries\n\n - City Hall on the Place des Terreaux, built by architects Jules Hardouin-Mansart and Robert de Cotte\n - Musée des beaux-arts de Lyon, fine arts museum housed in a former convent of the 17th century, including the Baroque chapelle Saint-Pierre\n - Hôtel-Dieu de Lyon (17th and 18th century), historical hospital with a baroque chapel\n - Temple du Change (17th and 18th century), former stock exchange of Lyon, Protestant temple since the 18th century\n - Place Bellecour, one of the largest town squares in Europe\n - Chapelle de la Trinité (1622), the first Baroque chapel built in Lyon, and part of the former École de la Trinité, now Collège-lycée Ampère\n - Église Saint-Polycarpe (1665-1670), Classical church\n - Église Saint-Just (16th to 18th century), Classical church\n - Saint-Bruno des Chartreux (17th and 18th century), church, masterpiece of Baroque architecture\n - Église Notre Dame Saint-Vincent (18th century), Neo-classical church\n\nBasilica of Saint-Martin d'AinaySaint-Nizier Church\n\n\n\nÉglise Saint-Paul\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- Frankfurt, Germany, since 1960\n - Gothenburg, Sweden\n - Guangzhou, China, since 1988\n - Haute Matsiatra, Madagascar\n - Ho Chi Minh City, Vietnam, since 1997\n - Jericho, Palestine\n - Leipzig, Germany, since 1981\n - Łódź, Poland, since 1991\n - Melbourne, Australia\n - Milan, Italy, since 1966\n - Montreal, Canada, since 1979\n - Oran, Algeria\n\n## Notable people\n\n## See also\n\n\n\n\n\n\n\n\n\nGeography portal\n\nEurope portal\n\nEuropean Union portal\n\nFrance portal\n\n - List of films set in Lyon\n - List of streets and squares in Lyon\n - Mères of France\n - Montchat\n - Occupation of Saint-Nizier church by Lyon prostitutes\n\n## Notes\n\n - a. A war cry from 1269, spelt in modern Franco-Provençal as Avant, Avant, Liyon lo mèlyor .\n - b. Quote from a letter of Cicero to Lucius Munatius Plancus, founder of the city. [1]\n - c. Pronunciation: UK: / ˈ li ːɒ̃ /, [8][9] US: /li ˈ o ʊ n/ lee-OHN ; [10][11] French: [lj ɔ̃ ] ⓘ ; formerly spelled in English as Lyons (/ ˈ la ɪə nz/ LYə nz ). [11][12] Arpitan: Liyon [ ʎ j ɔ̃ ]; Occitan: Lion , hist. Lionés . [13]\n - d. Constant PPP US dollars, base year 2015.\n\n## References", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## High-resolution genomic history of early medieval Europe\n\nhttps://doi.org/10.1038/s41586-024-08275-2\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\n\n\nLeo Speidel 1,2,3 ✉ , Marina Silva 1 , Thomas Booth 1 , Ben Raffield 4 , Kyriaki Anastasiadou 1 , Christopher Barrington 5 , Anders Götherström 6,7 , Peter Heather 8 & Pontus Skoglund 1 ✉\n\nMany known and unknown historical events have remained below detection thresholds of genetic studies because subtle ancestry changes are challenging to reconstruct. Methods based on shared haplotypes 1,2 and rare variants 3,4 improve power but are not explicitly temporal and have not been possible to adopt in unbiased ancestry models. Here we develop Twigstats, an approach of time-strati/fied ancestry analysis that can improve statistical power by an order of magnitude by focusing on coalescences in recent times, while remaining unbiased by population-speci/fic drift. We apply this framework to 1,556 available ancient whole genomes from Europe in the historical period. We are able to model individual-level ancestry using preceding genomes to provide high resolution. During the /first half of the /first millennium CE, we observe at least two di/fferent streams of Scandinavian-related ancestry expanding across western, central and eastern Europe. By contrast, during the second half of the /first millennium CE, ancestry patterns suggest the regional disappearance or substantial admixture of these ancestries. In Scandinavia, we document a major ancestry in/flux by approximately 800 CE, when a large proportion of Viking Age individuals carried ancestry from groups related to central Europe not seen in individuals from the early Iron Age. Our /findings suggest that time-strati/fied ancestry analysis can provide a higher-resolution lens for genetic history.\n\nCheck for updates\n\nAncient genome sequencing has revolutionized our ability to reconstruct expansions, migrations and admixture events in the ancient past and understand their impact on human genetic variation today. However, tracing history using genetic ancestry has remained challenging, particularly in historical periods for which the richest comparative information from history and archaeology often exists. This is because ancestries in many geographical regions are often so similar as to be statistically indistinguishable with current approaches. One example is northern and central Europe since the start of the Iron Age around 500 BCE, a period for which many long-standing questions remain, such as the nature of large-scale patterns of human migration during the fourth to sixth centuries CE, their impact on the Mediterranean world and later patterns of human mobility during the Viking Age (around 750-1050 CE).\n\nSeveral recent studies have documented substantial mobility and genetic diversity in these time periods, suggesting stable population structure despite high mobility 5 , and have revealed genetic variation in Viking Age Scandinavia 6-8 , early medieval England 3,9 , early medieval Hungary 10,11 and Iron Age and medieval Poland 12 . However, previous studies mostly used large modern cohorts to study ancestry change through time and space. This is because the differentiation between Iron Age groups in central and northern Europe is an order of magnitude lower (fixation index ( F ST) = 0.1-0.7%; Extended Data Fig. 1) than, for example, the more commonly studied hunter-gatherer, early farmer and steppe-pastoralist groups that shaped the ancestry landscape of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "The name of the city has taken the forms Lugdon , Luon , and since the 13th century, Lyon . The Gallic Lugdun or Lugdunon that was Latinized in Roman as Lugdunum is composed of two words. The first may be the name of the Celtic god Lug (in charge of order and law), or the derived word lugon , meaning \"crow\" (the crow being the messenger of Lug), but might also be another word lug , meaning \"light\". The second is dunos ('fortress', 'hill'). The name thus may designate the hill of Fourvière, on which the ancient city of Lyon is founded, but could mean \"hill of the god Lug\", \"hill of the crows\" or \"shining hill\". [21] [22]\n\nAlternatively Julius Pokorny associates the first part of the word with the Indo-European radical * lūg ('dark, black, swamp'), the basis of the toponyms Ludza in Latvia, Lusatia in Germany (from Sorbian Łužica ), and several places in the Czech Republic named Lužice; [23] it could then also be compared to Luze in Franche-Comté and various hydronyms such as Louge.\n\nFurther down, in the current Saint-Vincent district, was the Gallic village of Condate, probably a simple hamlet of sailors or fishermen living on the banks of the Saône. Condate is a Gallic word meaning \"confluence\", from which the Confluence district gets its name.\n\nIn Roman times the city was called Caput Galliæ , meaning \"capital of the Gauls\". As an homage to this title, the Archbishop of Lyon is still called the Primate of Gaul.\n\nDuring the revolutionary period, Lyon was renamed CommuneAffranchie (\"Emancipated Commune\") on 12 October 1793 by a decree of the Convention Nationale. It resumed its name in 1794, after the end of the Terror.\n\nLyon is called Liyon in Franco-Provençal. [24]\n\n## Ancient Lyon\n\nAccording to the historian Dio Cassius, in 43 BC, the Roman Senate ordered the creation of a settlement for Roman refugees of war with the Allobroges. These refugees had been expelled from Vienne and were now encamped at the confluence of the Saône and Rhône rivers. The foundation was built on Fourvière hill and officially called Colonia Copia Felix Munatia , a name invoking prosperity and the blessing of the gods. The city became increasingly referred to as Lugdunum (and occasionally Lugudunum [25] ). [26] The earliest translation of this Gaulish place-name as \"Desired Mountain\" is offered by the 9th-century Endlicher Glossary . [27] In contrast, some modern scholars have proposed a Gaulish hill-fort named Lug[o]dunon, after the Celtic god Lugus (cognate with Old Irish Lugh , Modern Irish Lú ), and dúnon (hillfort).\n\nThe Romans recognised that Lugdunum's strategic location at the convergence of two navigable rivers made it a natural communications hub. The city became the starting point of main Roman roads in the area, and it quickly became the capital of the province, Gallia Lugdunensis. Two Emperors were born in this city: Claudius, whose speech is preserved in the Lyon Tablet in which he justifies the nomination of Gallic Senators, and Caracalla.\n\n\n\nCoordinates: 45°46'N 4°50'E\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## Ancestry models of early medieval Europe\n\nHaving demonstrated that the Twigstats approach can effectively improve resolution and statistical power to test ancestry models and estimate proportions, we turn to the history of early medieval Europe.\n\nIn the first half of the first millennium CE, Roman historians such as Tacitus and Ammianus Marcellinus described the geographical distribution and movements of groups beyond the imperial frontier and suggested a potential role for them in the fall of the western Roman Empire 52 . However, the exact nature and scale of these historically attested demographic phenomena-and their genetic impacthave been questioned 53 , and have been difficult to test with genetic approaches owing to the close relations shared between many groups that were ostensibly involved. Less is understood at further distances from the Roman frontier owing to a lack of historical accounts. The improved statistical power of time-restricted ancestry in Twigstats thus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supplementary Table 1), we first need a broad characterization of the ancestry of the earlier sources from the early Iron Age (EIA) and Roman periods. We use hierarchical UPGMA clustering based on pairwise clade testing between all individuals, and formally test the cladality of proposed ancestry groups with qpWave 5 (cladality in this sense means whether they are consistent with being symmetrically related to all other tested groups; Methods). This resulted in a set of model ancestry sources that included Iron Age and Roman Britain ( n = 11), the Iron Age of central European regions of mostly Germany, Austria and France ( n = 10), Roman Portugal ( n = 4), Roman Italy ( n = 10), Iron Age Lithuania ( n = 5), the EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several other more eastern groups dating to the Bronze Age and EIA ( n = 25) (Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm approach 54 to narrow down the set of contributing sources from this larger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling (MDS) on outgroupf 3 statistics 44 computed using Twigstats, the results of which do not depend on any modelling assumptions and which show increased resolution compared with conventional outgroupf 3 statistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). Encouragingly, the MDS model supports regional fine-scale genetic structures reflected in our source groups, such as the separation of predominantly Norwegian and northern Swedish EIA individuals from southern Peninsular Scandinavia (Fig. 2a); this relationship is not detected without Twigstats. In this MDS analysis, we note a close affinity of wide-ranging individuals from Portugal, France, Germany, Austria and Britain. We hypothesize that this corresponds to areas associated with the Celtic-speaking world, and that their close genetic affinity is due to earlier expansions. Sparse sampling limits our understanding of the full extent of regional ancestry variation in central Europe and some other regions, but the continental ancestries differentiated in the MDS model suggests that major ancestry variation across Europe in this period is relatively well captured.\n\n## Expansions of Scandinavian-like ancestry\n\nWe assembled time transects using available aDNA data across several geographical regions in Europe, and infer their ancestry using a model with the EIA or Roman Iron Age sources previously defined (shown in Fig. 2a). Our modelling provides direct evidence of individuals with ancestry originating in northern Germany or Scandinavia appearing across Europe as early as the first century CE (Figs. 2b,c and 3 and Supplementary Table 3).", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the total amount of operating expenses of 2000 by Network Wordwide in 2000 ?", - "target_page": 17, - "target_passage": "Total operating expenses increased to $88.1 million for the year ended December 31, 2000", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Operating Expenses Total operating expenses increased to $88.1 million for the year ended December 31, 2000 from $68.3 million for the year ended December 31, 1999 and from $34.5 million for the year ended December 31, 1998. The increase from 1999 to 2000 can be broken down\n\n\n\nby segment as follows: (1) a $3.5 million increase in Network Services Segment operating costs due to growth in the size of the network operations; (2) a $15.2 million increase in Software Services Segment due to write down of intangibles of $11.2 million and investment in personnel and re s o u rces; and (3) a $1.1 million increase in Corporate Services Segment operating costs due to the expended operations. The i n c rease from 1998 to 1999 can be broken down by segment as follows: (1) a $13.0 million increase in Network Services Segment operating costs, (2) the addition of $19.6 million of Software Solutions Segment operating costs, and (3) a $1.2 million increase in Corporate Services Segment operating costs. Operating expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of Operations sections below.\n\nOperating Loss The Company generated an operating loss of $35.4 million for the year ended December 31, 2000 compared to $26.8 million for the year ended December 31, 1999 and $22.6 million for the year ended December 31, 1998. The increased operating loss from 1999 to 2000 is due to the net effect of three factors: (1) a $6.8 million decrease in the operating loss from the Company's Network Services Segment; (2) a $14.3 million increase in the operating loss from the Company's Software Solutions Segment; and (3) a $1.1 million increase in the operating loss f rom the Company's Corporate Services Segment. The increased operating loss from 1998 to 1999 is due to the net effect of three factors: (1) a $1.9 million decrease in operating losses from the Company's Network Services Segment; (2) the addition of $4.8 million in operating losses fro m the Company's Software Solutions Segment; and (3) a $1.3 million increase in operating losses from the Company's Corporate Services Segment.", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "\n\nEuronet Worldwide Annual Report 2000\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "| | 2003 | 2002 | 2001 |\n|-----------------------------------------------------------------------------------------------------------------|---------------|------------|------------|\n| Operating revenues: | | | |\n| Wireless (Notes 7 and 8) | $ 69,872 | $ 57,867 | $ 36,133 |\n| Wireline | 29,022 | 28,755 | 27,486 |\n| Other | 6,967 | 6,352 | 5,103 |\n| Total operating revenues | $105,861 | $ 92,974 | $ 68,722 |\n| Operating expenses: | | | |\n| Cost of goods and services (Note 7) | $ 10,943 | $ 10,502 | $ 7,410 |\n| Network operating costs (Note 8) | 33,630 | 32,512 | 26,756 |\n| Depreciation and amortization | 16,631 | 14,482 | 11,263 |\n| Selling, general and administrative (Note 7) | 26,029 | 26,140 | 16,869 |\n| Total operating expenses | $ 87,233 | $ 83,636 | $ 62,298 |\n| Operating income | $ 18,628 | $ 9,338 | $ 6,424 |\n| Other income (expense): | | | |\n| Interest expense | $ (3,510) | $ (4,195) | $ (4,127) |\n| Net gain (loss) on investments (Note 3) | (443) | (10,004) | 12,943 |\n| Non-operating income (expense), net | 390 | (141) | 265 |\n| | $ (3,563) | $ (14,340) | $ 9,081 |\n| Income (loss) before income taxes, cumulative effect of a change in accounting and discontinued operations | $ 15,065 | $ (5,002) | $ 15,505 |\n| Income tax provision (benefit) (Note 6) | 5,304 | (2,109) | 5,811 |\n| Income (loss) from continuing operations | $ 9,761 | $ (2,893) | $ 9,694 |\n| | 22,389 | | |\n| Discontinued operations, net of income taxes (Note 2) | | 7,412 | 6,678 |\n| Cumulative effect of a change in accounting, net of income taxes (Note 1) Net income | (76) $ 32,074 | - $ 4,519 | - $ 16,372 |", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "The results of segment operations expenses for the years ended December 31, 2000 and 1999 are discussed more fully in the Segment Results of Operations section below.\n\n## Segment Results of Operations for the Years Ended December 31, 2000 and 1999\n\n| (In thousands) | R e v e n u e s | R e v e n u e s | Operating Loss | Operating Loss |\n|----------------------------|----------------------|----------------------|----------------------|----------------------|\n| Year ended December 31, | 2 0 0 0 | 1 9 9 9 | 2 0 0 0 | 1 9 9 9 |\n| Network Serv i c e s | Network Serv i c e s | Network Serv i c e s | Network Serv i c e s | Network Serv i c e s |\n| Central Euro p e | $ 1 8 , 5 9 9. | $ 1 2 , 6 6 4. | $ ( 3 , 0 7 0 ) | $ ( 8 , 0 1 9 ) |\n| We s t e rn Euro p e | 1 6 , 6 1 5. | 1 2 , 6 3 7. | ( 2 , 2 8 6 ) | ( 3 , 8 4 0 ) |\n| O t h e r | 1 , 7 0 0. | 1 , 2 0 2. | ( 7 0 9 ) | ( 1 , 0 4 8 ) |\n| Total Network Serv i c e s | 3 6 , 9 1 4. | 2 6 , 5 0 3. | ( 6 , 0 6 5 ) | ( 1 2 , 9 0 7 ) |\n| S o f t w a re Solutions | 1 6 , 0 0 6. | 1 5 , 1 4 9. | ( 2 1 , 4 6 9 ) | ( 7 , 1 4 1 ) |\n| Corporate Serv i c e s | -. | -. | ( 7 , 8 6 2 ) | ( 6 , 7 5 0 ) |\n| Inter segment eliminations | (180) | ( 1 8 0 ) | -. | -. |\n| Total | $ 5 2 , 7 4 0. | $ 4 1 , 4 7 2. | $ ( 3 5 , 3 9 6 ) | $ ( 2 6 , 7 9 8 ) |\n\n## Comparison of Operation Results for the Years Ended December 31, 2000 and 1999\n\nNetwork Services Segment\n\nRevenues Total segment revenues increased by $10.4 million or 39% to $36.9 million for the year ended December 31, 2000 from $26.5 million for the year ended December 31, 1999. The increase in revenues is due primarily to the significant increase in transaction volume and an incre a s e in the number of ATMs operated by the Company during these periods. The Company had 2,283 ATMs installed as of December 31, 1999 and p rocessed 32.9 million transactions for the year ended December 31, 1999. As of December 31, 2000, the Company's owned and operated AT M network increased by 351 ATMs, or 15%, to a total of 2,634 ATMs, of which 72% are owned by the Company and 28% are owned by banks or other financial institutions but operated by the Company through management agreements. The Company processed 52.7 million transactions for\n\n\n\nthe year ended December 31, 2000, an increase of 19.8 million transactions, or 60%, over the year ended December 31, 1999.\n\nRevenues for the Central European Sub-segment totaled $18.6 million for the year ended December 31, 2000 as compared to $12.7 million for the year ended December 31, 1999, an increase of 47%. The increase in revenues is largely the result of an increase in the number of ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and incre a s e d transaction volumes.\n\nRevenues for the We s t e rn European Sub-segment totaled $16.6 million for the year ended December 31, 2000 as compared to $12.6 million for the year ended December 31, 1999, an increase of 31%. The increase in revenues is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction volumes.\n\nRevenues for the Other ATM Operations Sub-segment were $1.7 million for the year ended December 31, 2000 as compared to $1.2 million for the year ended December 31, 1999, an incre a s e\n\nof 41%. The revenues from this segment are the result of the acquisition of the Dash network located in the United States in August 1999.", - "page_start": 17, - "page_end": 17, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "| Year ended December 31, 2012 | Wireless | Cable | Business Solutions | Media | Corporate items and eliminations | Consolidated totals |\n|-----------------------------------------------|------------|---------|----------------------|---------|------------------------------------|-----------------------|\n| Operating revenue | $ 7,280 | $ 3,358 | $ 351 | $ 1,620 | $ (123) | $ 12,486 |\n| Operating costs 1 | 4,217 | 1,753 | 262 | 1,430 | (10) | 7,652 |\n| Adjusted operating profit | 3,063 | 1,605 | 89 | 190 | (113) | 4,834 |\n| Restructuring, acquisition and other expenses | | | | | | 92 |\n| Stock-based compensation expense 1 | | | | | | 77 |\n| Depreciation and amortization | | | | | | 1,819 |\n| Impairment of assets | | | | | | 80 |\n| Operating income | | | | | | 2,766 |\n| Finance costs | | | | | | (671) |\n| Other income | | | | | | 250 |\n| Income before income taxes | | | | | | $ 2,345 |\n| Additions to property, plant and equipment | $ 1,123 | $ 832 | $ 61 | $ 55 | $ 71 | $ 2,142 |\n| Goodwill | $ 1,146 | $ 1,000 | $ 215 | $ 854 | $ - | $ 3,215 |\n| Total assets | $ 9,769 | $ 4,719 | $ 835 | $ 2,157 | $ 2,138 | $ 19,618 |\n\n - 1 Included in operating costs on the consolidated statements of income.\n\n## Revenue by Product", - "page_start": 106, - "page_end": 106, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "| (In millions, except for share data) | 2001 | 2000 |\n|-----------------------------------------------------------------------------------------------------------------------------------|-----------|-----------|\n| Assets | | |\n| Investments | | |\n| Fixed maturities, available for sale, at fair value (amortized cost of $39,154 and $33,856) | $ 40,046 | $ 34,492 |\n| Equity securities, available for sale, at fair value (cost of $1,289 and $921) | 1,349 | 1,056 |\n| Policy loans, at outstanding balance | 3,317 | 3,610 |\n| Other investments | 1,977 | 1,511 |\n| Total investments | 46,689 | 40,669 |\n| Cash | 353 | 227 |\n| Premiums receivable and agents' balances | 2,432 | 2,295 |\n| Reinsurance recoverables | 5,162 | 4,579 |\n| Deferred policy acquisition costs and present value of future profits | 6,420 | 5,305 |\n| Deferred income tax | 693 | 682 |\n| Goodwill | 1,694 | 1,202 |\n| Other assets | 3,075 | 2,519 |\n| Separate account assets | 114,720 | 114,054 |\n| Total assets | $ 181,238 | $ 171,532 |\n| Liabilities | | |\n| Future policy benefits, unpaid claims and claim adjustment expenses Property & Casualty | $ 16,678 | $ 15,874 |\n| Life | 8,819 | 7,105 |\n| Other policyholder funds and benefits payable | 19,355 | 15,848 |\n| Unearned premiums | 3,436 | 3,093 |\n| Short-term debt | 599 | 235 |\n| Long-term debt | 1,965 | 1,862 |", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "on the Company's ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y i n t roduced to the market. The Company's re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e marketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total f i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company's accounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. Technological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and testing activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , and technical perf o rmance re q u i rements.\n\nOperating Loss The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 million for the year ended December 31, 1999 as a result of the factors discussed above\n\n## Corporate Services Segment\n\nOperating Expenses Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 f rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | Years ending December 31, | Years ending December 31, |\n|-----------------------------------------|-----------------------------|-----------------------------|\n| | 2 0 0 0 | 1 9 9 9 |\n| Salaries and benefits | $ 3 , 8 1 3 | $ 3 , 3 3 5 |\n| Selling, general and administrative | 3 , 8 4 1 | 3 , 2 7 0 |\n| D e p reciation and amort i z a t i o n | 2 0 8 | 1 4 5 |\n| Total direct operating expenses | $ 7 , 8 6 2 | $ 6 , 7 5 0 |\n\nThe Company's expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these i n c reased expenditures.\n\n## Non-Operating Results for the Years Ended December 31, 2000 and 1999\n\nInterest Income I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December 31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash as a result of negative cash flow from operations and capital expenditure s .\n\nInterest Expense I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended December 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange rate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the C o m p a n y 's Notes Payable for a full year in 1999 in comparison to 6 months' accretion in 1998.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "| | (Dollar figures in thousands, except per share data.) | (Dollar figures in thousands, except per share data.) | (Dollar figures in thousands, except per share data.) | (Dollar figures in thousands, except per share data.) | (Dollar figures in thousands, except per share data.) |\n|-----------------------------------------------------------------------------|---------------------------------------------------------|---------------------------------------------------------|---------------------------------------------------------|---------------------------------------------------------|---------------------------------------------------------|\n| | 2003 | 2002 | 2001 | 2000 | 1999 |\n| Operating Revenues | $ 105,861 | $ 92,974 | $ 68,722 | $ 44,445 | $ 29,701 |\n| Operating Expenses | 87,233 | 83,636 | 62,298 | 39,067 | 24,624 |\n| Income Taxes (Benefit) | 5,304 | (2,109) ) | 5,811 | 2,975 | 1,729 |\n| Interest Expense | 3,510 | 4,195 | 4,127 | 2,936 | 1,951 |\n| Income (Loss) from Continuing | | | | | |\n| Operations | $ 9,761 | $ (2,893) ) | $ 9,694 | $ 5,091 | $ 2,927 |\n| Discontinued Operations, net of tax | 22,389 | 7,412 | 6,678 | 4,764 | 3,501 |", - "page_start": 8, - "page_end": 8, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "In April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the C o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the exemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of $12.50, expiring in each case on the one year anniversary date of the subscription agreement.\n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s w e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million.\n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between 8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the Consolidated Financial Statements - Leases.)\n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company intends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This strategy should reduce the Company's reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and capital lease payments for 2001 are expected to be approximately $6.2 million in the Company's existing markets, notably We s t e rn and Central E u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company's strategy may re q u i re additional capital expenditures.\n\nBased on the Company's current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M network will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t operating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m commenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The Company believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it achieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements.\n\n## BA L A N C E SH E E T IT E M S", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "| (In millions, except for per share data) | 2001 | 2000 | 1999 |\n|-----------------------------------------------------------------------------------------------------------------|---------|---------|---------|\n| Revenues | | | |\n| Earned premiums | $ 9,409 | $ 8,941 | $ 8,342 |\n| Fee income | 2,633 | 2,484 | 2,105 |\n| Net investment income | 2,850 | 2,674 | 2,627 |\n| Other revenue | 491 | 459 | 420 |\n| Net realized capital gains (losses) | (236) | 145 | 34 |\n| Total revenues | 15,147 | 14,703 | 13,528 |\n| Benefits, claims and expenses | | | |\n| Benefits, claims and claim adjustment expenses | 9,764 | 8,419 | 7,902 |\n| Amortization of deferred policy acquisition costs and present value of future profits | 2,214 | 2,213 | 2,011 |\n| Insurance operating costs and expenses | 2,037 | 1,958 | 1,779 |\n| Goodwill amortization | 60 | 28 | 10 |\n| Other expenses | 718 | 667 | 591 |\n| Total benefits, claims and expenses | 14,793 | 13,285 | 12,293 |\n| Income before income taxes, minority interest, extra- ordinary item and cumulative effect of accounting changes | 354 | 1,418 | 1,235 |\n| Income tax expense (benefit) | (195) | 390 | 287 |\n| Income before minority interest, extraordinary item and cumulative effect of accounting changes | 549 | 1,028 | 948 |\n| Minority interest in consolidated subsidiary | | (54) | (86) |\n| | - | | |\n| Cumulative effect of accounting changes, net of tax | (34) | - | - |\n| Net income | $ 507 | $ 974 | $ 862 |\n| Basic earnings per share | | | |\n| Income before extraordinary item and cumulative effect of accounting changes | $ 2.31 | $ 4.42 | $ 3.83 |\n| Extraordinary loss from early retirement of debt, net of tax | (0.04) | - | - |\n| Cumulative effect of accounting changes, net of tax | (0.14) | - | - |", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_HIG_2001.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EEFT_2000.pdf", - "query": "What was the share of revenues of Netwrok Wordwide made in Poland and Hungary in 2000 ?", - "target_page": 24, - "target_passage": "In 2000, 30% of the Company’s revenues were generated in Poland and Hungary", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "\n\nEuronet Worldwide Annual Report 2000\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "For further information, visit:\n\nw w w.euronetworldwide.com\n\n## Common Stock Information\n\nThe table below sets forth the high and low closing sales prices for the stock as reported by Nasdaq.\n\n| 2000 High Low |\n|-----------------------------------------------------|\n| First Quarter $ 10.63 $ 6.00 |\n| Second Quarter $ 10.00 $ 5.25 |\n| Third Quarter $ 9.13 $ 6.94 |\n| Fourth Quarter $ 8.25 $ 4.00 |\n\n| 1999 High Low |\n|-----------------------------------------------------|\n| First Quarter $ 3.13 $ 1.81 |\n| Second Quarter $ 2.25 $ 1.94 |\n| Third Quarter $ 3.38 $ 2.00 |\n| Fourth Quarter $ 7.56 $ 2.25 |\n\n| 1998 High Low | |\n|-----------------------------------------------------|--------------------|\n| First Quarter $ 13.25 $ 6.50 | |\n| Second Quarter $ | 7.50 $ 3.75 |\n| Third Quarter $ | 4.50 $ 1.81 |\n| Fourth Quarter $ | 4.00 $ 2.13 |", - "page_start": 46, - "page_end": 46, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "The Company re c o rded an $800,000 write-down of certain ATM hard w a re assets associated with the p u rchase of the Budapest Bank ATM network in May 2000 and the Service Bank ATM network in M a rch 1999 (see Note 10 to the Consolidated Financial Statements - Asset Write Down). In addition, the Company re c o rded a one-time gain in its Central European Sub-segment of $1.2 million. The gain is related to a change in Hungarian law that eliminates a major portion of the Company's liability for import taxes on ATM hard w a re to the Hungarian government. The gain is included as an element of direct operating costs.\n\nThe operating expenses for the Central European Sub-segment totaled $21.7 million for the year ended December 31, 2000 as compared to $20.7 million for the year ended December 31, 1999, an i n c rease of 5%. The increase in operating expenses is largely the result of an increase in the number of ATMs operated by the Company from 1,203 at December 31, 1999 to 1,391 at December 31, 2000, and increased transaction volumes.\n\n\n\nThe operating expenses for the We s t e rn European Sub-segment totaled $18.9 million for the year ended December 31, 2000 as compared to $16.5 million for the year ended December 31, 1999, an increase of 15%. The increase in operating expenses is largely the result of an increase in the number of ATMs operated by the Company from 621 at December 31, 1999 to 787 at December 31, 2000, and increased transaction volumes.\n\nThe operating expenses for the Other ATM Operations Sub-segment were $2.4 million for the year ended December 31, 2000 as compared to $2.2 million for the year ended December 31, 1999, an increase of 9%. The operating expenses from this segment are the result of the acquisition of the Dash network located in the United States in August 1999 and the unallocated costs associated with the Company's processing facilities.\n\nD i rect operating costs in the Network Services Segment consist primarily of: ATM installation costs; ATM site rentals; and costs associated with maintaining ATMs, ATM telecommunications, interest on network cash and cash delivery and security services to ATMs. Such costs increased to $24.4 million for the year ended December 31, 2000 from $21.9 million for the year ended December 31, 1999. The increase in direct operating costs is primarily attributable to costs associated with operating the increased number of ATMs in the network during the periods. Also, i n t e rcompany allocations were made to charge the ATM operations with transaction switching and bank connection fees associated with the operations central processing center in Budapest. These allocations totalled $3.5 million and $2.9 million for the years ended December 31, 2000 and 1999, re s p e c t i v e l y. Direct operating costs for 2000 include a one-time gain of $1.2 million due to a change in Hungarian law that eliminates a major portion of the Company's liability for import taxes on ATM hard w a re. Direct operating costs also include a $657,000 gain realized in 1999 f rom the sale of the Croatian network assets. The components of direct operating costs for the years ended December 31, 2000 and 1999 were:", - "page_start": 18, - "page_end": 18, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "In April 2000 the Company entered into two separate subscription agreements for the sale of an aggregate of 354,777 new common shares of the C o m p a n y. Of the total new shares, closing with respect to 254,777 shares took place on April 10, 2000, and closing with respect to 100,000 share s took place on May 4, 2000. These agreements were signed with certain foreign persons in transactions exempt from registration under the exemption provided in Regulation S of the Act. The weighted average purchase price of each share was $7.50. The aggregate amount of pro c e e d s to the Company from the private placement was $2.7 million. Under each of the agreements, for each two shares of common stock purchased in the private placement, the purchaser was issued one warrant to purchase a share of Euronet common stock at a weighted average exercise price of $12.50, expiring in each case on the one year anniversary date of the subscription agreement.\n\nIn July 2000 the Company entered into subscription agreements for the sale of 877,946 new common shares of the Company. These agre e m e n t s w e re signed with accredited investors in transactions exempt from registration pursuant to the exemptions provided in Section 4(2) and Regulation D of the Act. Closing with respect to such sale took place on July 14 and August 29, 2000. The purchase price of each share was $6.97. The aggregate amount of proceeds to the Company from the private placement was $6.1 million.\n\nThe Company leases many of its ATMs under capital lease arrangements that expire between 2001 and 2005. The leases bear interest between 8% and 12% per annum. As of December 31, 2000 the Company owed $11.5 million under such capital lease arrangements. (See Note 15 to the Consolidated Financial Statements - Leases.)\n\nThe Company expects that its capital re q u i rements will continue in the future but will not be as great as they were in the past, as the Company intends to continue to promote its outsourcing capabilities and re-deploy under- p e rf o rming ATMs currently operating in the network. This strategy should reduce the Company's reliance on capital expenditures in the future as the business continues to gro w. Fixed asset purchases and capital lease payments for 2001 are expected to be approximately $6.2 million in the Company's existing markets, notably We s t e rn and Central E u rope. Acquisitions of related ATM business and investments in new markets in furtherance of the Company's strategy may re q u i re additional capital expenditures.\n\nBased on the Company's current business plan and financial projections, the Company expects to continue to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its AT M network will result in additional revenues without a corresponding increase in expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will provide continued revenue growth without significantly increasing dire c t operating expenses or capital investments. In the Software Solutions Segment, the Company expects that the benefits of a re s t ructuring pro g r a m commenced in the first quarter of 2001 will reduce the operating losses and bring operating costs more in line with anticipated revenues. The Company believes that the credit facility, certain asset sales and cash and cash equivalents will provide the Company with sufficient capital until it achieves positive cash flow. As a result, the Company believes it has sufficient liquidity re s o u rces to meet current and future cash re q u i rements.\n\n## BA L A N C E SH E E T IT E M S", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "guarantees for financial instruments and as deposits with customs officials. The decrease resulted primarily from the settlement of the forw a rd f o reign exchange contracts using restricted cash and a release of restricted cash resulting from the posting of a surety bond with the Hungarian banking institution that supplies cash to the Company's ATM network in Hungary.\n\nTrade Accounts Trade accounts receivable increased to $9.5 million at December 31, 2000 from $7.9 million at December 31, 1999 due primarily to sales from the Software Solutions Segment and increased Network Services Segment revenues.\n\nP r o p e r t y, Plant and Equipment Net pro p e rt y, plant and equipment decreased to $31.7 million at December 31, 2000 from $36.7 million at December 31, 1999. This decrease is due primarily to a reduction in the rate of installation of ATMs and fixed asset additions. Fixed asset d e p reciation was in excess of fixed asset additions, and the write-off of $800,000 in ATM hard w a re further reduced the net fixed asset position.\n\nIntangible Assets The decrease in net intangible assets to $2.6 million at December 31, 2000 from $16.3 million at December 31, 1999 is due primarily to the $11.2 million write-down of goodwill and other identifiable intangible assets associated with the Software Solutions Segment (see Note 9 to the Consolidated Financial Statements - Intangibles). In addition, the decrease is the result of amortization of purchased intangibles a c q u i red in the Euronet USA acquisition in 1998, and the SBK and Dash acquisitions in 1999.\n\nCurrent Liabilities C u rrent liabilities decreased to $20.5 million at December 31, 2000 from $26.9 million at December 31, 1999. This decre a s e is due primarily to decreases in accrued expenses, billings in excess of costs and estimated earnings on software installation costs and settlement of the forw a rd foreign exchange contracts.\n\nCapital Lease Total capital lease obligations including current installments increased to $11.5 million at December 31, 2000 from $10.6 million at December 31, 1999. This increase is due primarily to additional capital leases resulting from the Company's purchase of Budapest Bank's AT M network, consisting of 147 ATMs on May 1, 2000.\n\nNotes Payable Notes payable increased to $77.2 million at December 31, 2000 from $72.8 million at December 31, 1999. This is the result of several transactions as follows:\n\n| | (in millions) |\n|--------------------------------------------------|-----------------|\n| Balance at December 31, 1999 | $ 7 2 . 8. |\n| U n realized foreign exchange gain (DEM vs. US$) | (4.4) |\n| A c c retion of bond intere s t | 8 . 8. |\n| Balance at December 31, 2000 | $ 7 7 . 2. |\n\nS t o c k h o l d e r's Deficit Stockholders' deficit increased to $44.8 million at December 31, 2000 from $9.5 million at December 31, 1999. This is due to the net loss for the year ended December 31, 2000 of $49.6 million which was offset by an increase in additional paid in capital of $14.4 million due to the sale of 1,882,723 shares of common stock for proceeds of $13.0 million, the issue of $400,000 of warrants and the exercise of 390,231 stock options for proceeds of $900,000.\n\n## Year 2000 Compliance\n\nThe Company's European and U.S. Year 2000 compliance teams re p o rted no material Year 2000 problems during the advent of the year 2000, either with Euro n e t 's own systems or the systems of its customers. The Company is unaware of any material Year 2000 complications to date.\n\n## Impact of New Accounting Pronouncements Not Yet Adopted", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## (10) Asset Write Down\n\nDuring the third quarter of 2000, the Company reduced the carrying value of certain assets in accordance with SFAS No.121. The asset write-downs totaled $12.0 million, of which $11.2 million related to goodwill and other identifiable intangible assets associated with the C o m p a n y 's acquisition of Arkansas Systems, Inc. ('Euronet USA') in December 1998. The remaining $800,000 write-down related to the C o m p a n y 's ATM hard w a re inventory acquired associated with the Company's acquisition of the SBK ATM network in Germany and the Budapest Bank ATM network in Hungary.\n\nAs a result of the Company's inability to achieve operating improvements, including software license and service orders for Euronet USA's traditional core product (ITM) and cost reductions, the Software Solutions Segment continued operating at a loss through the first thre e q u a rters of 2000. The Company calculated the expected cash flows of the Company's Software Solutions Segment, which identified an i m p a i rment of its long-lived assets. Accord i n g l y, in the third quarter of 2000, the Company re c o rded an impairment charge based on the p resent value of expected cash flows of $11.2 million for the write-down of goodwill and other identifiable intangible assets re c o rded upon the acquisition of Euronet USA. The Company considers the rapidly changing business environment surrounding electronic transaction payment systems software to be a primary indicator of any potential impairment of goodwill and other identifiable intangible assets related to the Company's Software Solutions Segment. The Company is in the process of repositioning Euronet USA in the market thro u g h development and release of a new set of products that are independent of Euronet USA's traditional core product lines, including a new, p l a t f o rm independent Java based transaction processing software package with wireless banking and messaging modules and a set of mobile phone prepaid re c h a rge solutions. It has become apparent, based on market reaction to these new products, that these new products and solutions rather than Euronet USA's traditional ITM solution will be the primary source of software solutions revenues in the future.\n\nIn order to determine the extent of the asset impairment and the related asset write-down, the Company estimated the discounted cash flows of the Software Solutions Segment products and services in determining the fair value of the goodwill and related identifiable intangible assets. The Company's estimate was based on historical results which have shown re c u rring operating losses since acquisition, curre n t p rojections, and internal earnings targets, net of applicable taxes. The Company's discounted cash flow analysis indicated that the carry i n g value of intangible assets related to Euronet USA should be reduced to zero as of September 30, 2000. The net book value of the intangible assets prior to the write down was $11.2 million.\n\nThe asset write-down is disclosed as a separate operating expense item in the Company's Consolidated Statements of Operations and C o m p rehensive Loss.\n\nThe Company periodically reviews the re c o rded values of its long-lived assets to determine if future cash flows to be derived from these assets will be sufficient to recover the remaining re c o rded asset values. A portion of the ATM hard w a re assets acquired with the Budapest Bank and S e rvice Bank ATM network purchases were deemed technologically inferior relative to the Company's standards. Specifically, these assets w e re not technologically advanced to support the entire current and future set of transactions the Company typically offers to users of its ATM network. As a result of this analysis, the Company re c o rded a non-cash charge of $800,000 related to a reduction in the carrying value of ATM hard w a re, adjusting to its net realizable value.\n\n## (11) Notes Payable", - "page_start": 35, - "page_end": 35, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "http://www.cygwin.com", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "The subsidiaries of Euronet Services Inc., all of which are, directly or indire c t l y, wholly owned are:\n\n - - EFT Services Holding B.V., incorporated in the Netherlands\n - - Euronet Banktechnikai Szolgaltato Kft. ('Bank Tech'), incorporated in Hungary\n - - Euronet Adminisztracios Szolgaltato Kft. ('Administrative Services') (formerly SatComNet), incorporated in Hungary\n - - Bankomat 24/Euronet Sp. z o.o. ('Bankomat'), incorporated in Poland\n - - EFT-Usluge d o.o., incorporated in Croatia\n - - Euronet Services GmbH, incorporated in Germany\n - - EFT Services France SAS, incorporated in France\n - - Euronet Services spol. s.r.o., incorporated in the Czech Republic\n - - Euronet Services SRL, incorporated in Romania\n - - Euronet Services (UK) Limited, incorporated in the United Kingdom\n - - Euronet USA Inc. (formerly Arkansas Systems, Inc.) ('Euronet USA') incorporated in Arkansas, United States of America\n - - EFT Network Services LLC ('Dash'), incorporated in Arkansas, United States of America\n - - Euronet Holding N.V., incorporated in the Netherlands Antilles (in liquidation)\n - - Euronet Eft Services Hellas, incorporated in Greece\n\n## ( 2 ) Financial Position and Basis of Preparation\n\nThe Company generated an operating loss of $35.4 million and negative cash flows from operations of $16.4 million for the year ended December 31, 2000, primarily due to the significant costs associated with its investment in delivery, support, re s e a rch and development in its s o f t w a re subsidiary which was acquired in December 1998. Based on the Company's current business plan and financial projections, the Company expects to reduce operating losses and net cash used in operating activities in 2001. In the Network Services Segment, the Company anticipates that increased transaction levels in its ATM network will result in additional revenues without a corresponding incre a s e in expenses. In addition, the Company expects to further expand its ATM outsourcing services and offer new value-added services, which will p rovide continued revenue growth without significantly increasing direct operating expenses or capital investments. In the Software Solutions Segment, the Company expects reduced operating expenses and improved operating perf o rmance due to a cost re s t ructuring pro g r a m i n t roduced in the first quarter of 2001. The Company believes that the credit facility (see note 13), certain asset sales and cash and cash equivalents at December 31, 2000 will provide the Company with sufficient cash re s o u rces until it achieves positive cash flow.\n\nBased on the above, management is confident that the Company will be able to continue as a going concern. Accord i n g l y, these consolidated financial statements have been pre p a red on a going concern basis which contemplates the continuation and expansion of trading activities as well as the realization of assets and liquidation of liabilities in the ord i n a ry course of business.\n\n## ( 3 ) S u m m a ry of Significant Accounting Policies and Practices\n\n## (a) Basis of presentation\n\nThe accompanying consolidated financial statements have been pre p a red in accordance with generally accepted accounting principles in the United States of America.\n\nAll significant intercompany balances and transactions have been eliminated.\n\n## (b) Foreign currencies\n\nF o reign currency transactions are re c o rded at the exchange rate prevailing on the date of the transactions. Assets and liabilitiesdenominated in foreign currencies are re m e a s u red at rates of exchange on the balance sheet date. Resulting gains and losses on f o reign currency transactions are included in the consolidated statement of operations and comprehensive loss.", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "At December 31, 2000 the Company had cash and cash equivalents of $7.2 million and working capital of $3.6 million. The Company had $2.1 million of restricted cash held as security with respect to cash provided by banks participating in Euro n e t 's ATM network, to cover guarantees on financial instruments and as deposits with customs officials (See Note 7 to the Consolidated Financial Statements - Restricted cash). In addition to the assets held on the balance sheet at December 31, 1999 the Company held re p u rchased notes payable with a face value of 48.4 million Deutsche Marks ($23.3 million as at December 31, 2000 based on a USD to DM rate of 1:2.08) and a fair market value at December 31, 2000 of $9.3 million (See Note 20 to the Consolidated Financial Statements - Financial instruments).\n\nOn June 28, 2000 the Company entered into an unsecured revolving credit agreement (the 'Credit Agreement') providing a facility of up to $4.0 million from three shareholders as follows: DST Systems in the amount of $2.4 million; Hungarian-American Enterprise Fund in the amount of $1.0 million; and Michael J. Brown in the amount of $600,000. The facility was available to be drawn upon until December 28, 2000, with repayment of any draws being due June 28, 2001. On December 28, 2000 the facility was amended and renewed for a further six months and is available to be drawn until June 28, 2001 with repayments of any draws being due December 28, 2001. Draws on the facility will accrue intere s t at 10 percent per annum, payable quart e r l y. A 'commitment' fee was paid for the initial facility of 100,000 warrants issued pro- rata to the lenders with a warrant strike price set at the average share price, as quoted on NASDAQ for 10 trading days prior to the warrant issue date, less 10 percent. An additional fee of 100,000 warrants, on the same terms, was paid for the subsequent extension of the facility. Wa rrants are to be issued on similar terms and conditions for each draw on the facility at the rate of 80,000 warrants for each $1.0 million of funds drawn. As of M a rch 1, 2001, the Company had not made any draws under the Credit Agreement.\n\nOn Febru a ry 25, 2000 the Company entered into two subscription agreements for the sale of an aggregate of 650,000 new common shares of the C o m p a n y. Closing under those agreements took place on March 13, 2000. These agreements were signed with certain accredited investors in transactions exempt from registration under the exemptions provided in Section 4(2) and Regulation D of the Act. The purchase price of each s h a re was $6.615, which re p resents ninety percent of the average closing price for the ten trading days prior to and including Febru a ry 15, 2000. The aggregate amount of proceeds to the Company from the private placement was $4.3 million. Under each of the agreements, for each two s h a res of common stock purchased in the private placement, the purchasers were issued one warrant to purchase a share of Euronet common stock at an exercise price of $11.615, expiring in each case on the one year anniversary date of the subscription agreement.", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## 'In 2000 we took great pride in Euronet's Fast 500 ranking by Deloitte & Touche as the second fastest growing technology company in North America.'\n\nDuring 2000, we failed to meet our revenue target for our software division. In the Fourth Quarter, we initiated the steps necessary to rightsize our software business and to bring costs in line with ongoing revenue expectations. However, owning this software division gives us control of software development. It also provides the expertise and\n\nflexibility to adapt to emerging transaction needs and to bring new payment solutions quickly to market, which enhances our outsourcing opportunities. The software business is very valuable to Euronet and completes our service offering. We expect it to be a\n\n\n\nTouche as the second fastest growing technology company in North America based on our five-year revenue growth of 66,790%.\n\nWe're continuing to build on our recurring revenue stream through transaction channels that reinforce our strengths as an electronic payments processor.\n\n\n\npositive contributor to our bottom line going forward.\n\nSince founding Euronet in 1994, we've worked hard to establish the company as a leader in the field of secure electronic financial transactions and to grow our presence worldwide. So in 2000 we took great pride in Euronet being ranked by Deloitte &\n\n\n\n\n\nMichael J. Brown Chairman & CEO\n\nDaniel R. Henry\n\nChief Operating Officer\n\nToday, we're expanding the reach of our ATM networks, delivering innovative new mobile operator services and tapping the promise of mobile commerce with an expanding suite of wireless solutions. Based on this strong foundation,\n\nour future has more potential than ever before.\n\nWe're excited about the possibilities ahead as we continue to form the digital bridges that will position Euronet Worldwide as a global leader in secure electronic financial transactions.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EEFT_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "Under which name was the Applied company initially fouded ?", - "target_page": 6, - "target_passage": "The Company was founded in 1923 by Joseph M. Bruening as The Ohio Ball Bearing Company", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "\n\nCorporate Headquarters\n\n1 Applied Plaza Cleveland, Ohio 44115 216/426-4000 Applied.com", - "page_start": 47, - "page_end": 47, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## Customers:\n\n## Expanding Our Value-Add\n\nAt every level of the organization, our associates are committed to our customers' success. Simply stated, we keep industry running - productively - and our efforts and performance are regularly acknowledged. For the twelfth consecutive year, we earned Supplier of the Year status from Vulcan Materials Company for our strong execution in the areas of product quality, service, support, ease of transaction and value. And, just recently, Applied was named the recipient of Excellence, Innovation, and Sustainability awards from Eastman Chemical Company. This marks the first time in Eastman Chemical history that one company was selected to receive all three awards in a single year.\n\nWhile our Company is proud of these past achievements and our associates have earned well-deserved recognition for their hard work and dedication, we are not satisfied. We are committed to expanding our product offering, fully leveraging our service capabilities and delivering value-added solutions to our existing customers - and to new customers.\n\nNaturally, our success is greatly aided by the partnerships with our suppliers. We represent leading manufacturers with the highest quality brands - delivering innovative solutions for our customers' needs. Across our collective supply chain, we are committed to expanding our value-add and to generating success for our customers.\n\n## Acquisitions: Extending Our Reach\n\nStrategic acquisitions continue to play an important role in our overall growth strategy, as demonstrated in fiscal 2012. In August 2011, we entered the Montreal market with the acquisition of Chaines-Plus. In February 2012, we purchased two additional Quebec distributors - Solutions Industrielles Chicoutimi and Spécialités Industrielles Harvey - as part of our continuing strategy to expand in Eastern Canada. Together, these businesses distribute bearings, power transmission products, fluid power, and electrical components, in addition to providing various repair services.\n\n## Across our collective supply chain, we are committed to expanding our value-add and generating success for our customers.\n\nNet Sales (Dollars in Billions)\n\n\n\nNet Income Per Share (Dollars)\n\n\n\n - * The goodwill impairment charge in fiscal 2009 reduced net income per share by $0.54.\n\nShareholders' Equity\n\n(Dollars in Millions)\n\n\n\n$633.6", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\n## OVERVIEW\n\nWith more than 4,600 associates across North America, Applied Industrial Technologies ('Applied,' the 'Company,' 'We,' 'Us' or 'Our') is a leading industrial distributor serving MRO and OEM customers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers. We have a long tradition of growth dating back to 1923, the year our business was founded in Cleveland, Ohio. At June 30, 2012, business was conducted in the United States, Canada, Mexico and Puerto Rico from 476 facilities.\n\nWhen reviewing the discussion and analysis set forth below, please note that the majority of SKUs we sell in any given year were not sold in the prior year, resulting in the inability to quantify certain commonly used comparative metrics analyzing sales, such as changes in product mix and volume.\n\nOur fiscal 2012 sales were $2.4 billion, an increase of $162.6 million or 7.3% compared to the prior year. Net sales from acquired businesses added $16.6 million or 0.7% to the current year. Gross margin of 27.6% compares to 27.7% in the prior year. Our operating margin increased to 7.1% compared to the prior year's 6.8%. Our earnings per share was $2.54 versus $2.24 in fiscal year 2011, an increase of 13.4%.\n\nOur consolidated balance sheet remains strong. Shareholders' equity is $672.1 million, up from $633.6 million at June 30, 2011. Working capital increased $31.4 million from June 30, 2011 to $435.6 million at June 30, 2012. Our current ratio remains strong at 2.9 to 1, consistent with the June 30, 2011 level.\n\nApplied monitors several economic indices that have been key indicators for industrial economic activity in the United States. These include the Industrial Production and Manufacturing Capacity Utilization (MCU) indices published by the Federal Reserve Board and the Purchasing Managers Index (PMI) published by the Institute for Supply Management (ISM). Historically, our performance correlates well with the MCU which measures productivity and calculates a ratio of actual manufacturing output versus potential full capacity output. When manufacturing plants are running at a high rate of capacity, they tend to wear out machinery and require replacement parts. Our sales tend to lag the MCU by up to six months.\n\nIndustrial production increased 0.4% in June after having declined 0.2% in May. In the manufacturing sector, outputs advanced 0.7% in June, reversing a decline of 0.7% in May and increased at an annual rate of 1.4% in the second quarter. In June, capacity utilization for manufacturing moved up 0.4% to 77.7%, a rate 13.9 percentage points above its trough in June of 2009 and was still 1.1 percentage points below its long-run average. The ISM PMI registered 49.7 in June, the first time this indicator dropped below 50 (its expansionary threshold) since July 2009. We remain optimistic about the U.S. industrial economy for our fiscal 2013.\n\n## YEAR ENDED JUNE 30, 2012 vs. 2011\n\nThe following table is included to aid in review of Applied's statements of consolidated income.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(In thousands, except per share amounts)\n\n## NOTE 1: BUSINESS AND ACCOUNTING POLICIES\n\n## Business\n\nApplied Industrial Technologies, Inc. and subsidiaries (the 'Company' or 'Applied') is a leading industrial distributor serving Maintenance Repair Operations (MRO) and Original Equipment Manufacturing (OEM) customers in virtually every industry. In addition, Applied provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers. Although the Company does not generally manufacture the products it sells, it does assemble and repair certain products and systems.\n\n## Consolidation\n\nThe consolidated financial statements include the accounts of Applied Industrial Technologies, Inc. and its subsidiaries. Intercompany transactions and balances have been eliminated in consolidation. The financial results of the Company's Canadian and Mexican subsidiaries are included in the consolidated financial statements for the twelve months ended May 31.\n\n## Statements of Consolidated Comprehensive Income\n\nAccounting Standards Codification (ASC) Topic 220 \"Comprehensive Income\" requires the reporting of comprehensive income in addition to net income. Effective for fiscal 2012 and retrospective for fiscal 2011 and 2010, the Company has elected to include a statement of consolidated comprehensive income as part of its basic consolidated financial statements. Prior to inclusion of the statement of consolidated comprehensive income, comprehensive income, other comprehensive income and the components of other comprehensive income were reported as part of the statement of consolidated shareholders' equity.\n\n## Foreign Currency\n\nThe financial statements of the Company's Canadian and Mexican subsidiaries are measured using local currencies as their functional currencies. Assets and liabilities are translated into U.S. dollars at current exchange rates, while income and expenses are translated at average exchange rates. Translation gains and losses are reported in other comprehensive income (loss) in the statements of consolidated comprehensive income. Gains and losses resulting from transactions denominated in foreign currencies are included in the statements of consolidated income as a component of other expense (income), net.\n\n## Estimates\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amount of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amount of revenues and expenses during the period. Actual results may differ from the estimates and assumptions used in preparing the consolidated financial statements.\n\n## Cash and Cash Equivalents\n\nThe Company considers all short-term, highly liquid investments with maturities of three months or less at the date of purchase to be cash equivalents. Cash and cash equivalents are carried at cost, which approximates fair value.\n\n## Marketable Securities\n\nThe primary marketable security investments of the Company include money market and mutual funds held in a rabbi trust for a non-qualified compensation plan. These are included in other assets in the consolidated balance sheets, are classified as trading securities, and reported at fair value based on quoted market prices. Unrealized gains and losses are recorded in other expense (income), net in the statements of consolidated income and reflect changes in the fair value of the investments during the period.\n\n## Concentration of Credit Risk", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## SHAREHOLDER INFORMATION\n\nApplied Industrial Technologies, Inc. common stock is listed on the New York Stock Exchange under the symbol AIT. The Company is identified in most financial listings as 'AppliedIndlTch.'\n\n## RESEARCH ON APPLIED INDUSTRIAL TECHNOLOGIES IS AVAILABLE THROUGH:\n\n## BB&T CAPITAL MARKETS\n\nHolden Lewis, 703/471-3894\n\n## CJS SECURITIES\n\nJonathan Tanwanteng, 914/287-7600\n\n## CLEVELAND RESEARCH COMPANY\n\nAdam Uhlman, 216/649-7241\n\n## KEYBANC CAPITAL MARKETS\n\nJeffrey D. Hammond, 216/689-0236\n\n## SIDOTI & CO.\n\nJoseph Mondillo, 212/894-3339\n\nGREAT LAKES REVIEW - Division of\n\nWellington Shields & Co.\n\nElliott Schlang, 216/767-1340\n\n## STEPHENS INC.\n\nMatt Duncan, 501/377-3723\n\n## WELLS FARGO SECURITIES, LLC\n\nAllison Poliniak-Cusic, 212/214-5062\n\n## WUNDERLICH SECURITIES\n\nBrent D. Rakers, 901/251-2236\n\n## SHAREHOLDER INQUIRIES\n\nRequests to transfer Applied Industrial Technologies, Inc. shares and all correspondence regarding address change information, duplicate mailings, missing certificates, failure to receive dividend checks in a timely manner or to participate in the Company's direct stock purchase program should be directed to the Company's transfer agent and registrar:\n\n## COMPUTERSHARE TRUST COMPANY, N.A.\n\n250 Royall Street Canton, MA 02021 800/988-5291\n\n## ANNUAL REPORT ON FORM 10-K\n\nThe Applied Industrial Technologies, Inc. Annual Report on Form 10-K for the fiscal year ended June 30, 2012, including the financial statements and schedules thereto, is available at our website at www.Applied.com. It is also available without charge upon written request to the Vice President - Chief Financial Officer & Treasurer at the address shown.\n\n## ANNUAL MEETING\n\nThe Annual Meeting of Shareholders will be held at 10:00 a.m., Tuesday, October 23, 2012, at the Corporate Headquarters of Applied Industrial Technologies, 1 Applied Plaza, East 36th and Euclid Avenue, Cleveland, Ohio 44115.\n\n## COMPARISON OF FIVE-YEAR CUMULATIVE TOTAL RETURN\n\nApplied Industrial Technologies, Inc., Standard & Poor's 500, and Peer Group (Performance Results from 7/1/2007 through 6/30/2012)\n\n\n\nAssumes $100 invested at the close of trading 6/30/07 in Applied Industrial Technologies, Inc. common stock, Standard & Poor's 500, and Peer Group.\n\nCumulative total return assumes reinvestment of dividends.\n\nThe returns of the companies in the Peer Group are weighted based on the companies' relative stock market capitalization.\n\nPeer Group companies selected on a line-of-business basis include: DXP Enterprises, Inc.; Fastenal Company; Genuine Parts Company; W. W. Grainger, Inc.; Kaman Corporation; Lawson Products, Inc.; MSC Industrial Direct Co., Inc.; and WESCO International, Inc.\n\n| | 2007 | 2008 | 2009 | 2010 | 2011 | 2012 |\n|---------------------------------------|---------|--------|--------|--------|---------|---------|\n| Applied Industrial Technologies, Inc. | $100.00 | $83.63 | $70.22 | $92.62 | $133.17 | $141.07 |\n| Standard & Poor's 500 | 100.00 | 86.88 | 64.11 | 73.36 | 95.88 | 101.10 |\n| Peer Group | 100.00 | 86.96 | 74.77 | 100.34 | 148.47 | 170.81 |\n\nSource: Value Line Publishing LLC\n\n## INVESTOR RELATIONS INQUIRIES SHOULD BE DIRECTED TO:\n\n## MARK O. EISELE\n\nVice President - Chief Financial Officer\n\n - & Treasurer\n\nApplied Industrial Technologies\n\n - 1 Applied Plaza\n\nCleveland, OH 44115-5014\n\nTelephone: 216/426-4000, Fax: 216/426-4845", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "In the second quarter of fiscal 2011, Applied commenced its ERP project to transform the Company's technology platforms and enhance its business information and transaction systems for future growth. Fiscal 2012 cash expenses associated with this project totaled $18,300 and were recorded as follows: $3,700 in the first quarter, $4,100 in the second quarter, $5,700 in the third quarter and $4,800 in the fourth quarter. Fiscal 2011 cash expenses associated with this project totaled $8,500 and were recorded as follows: $800 in the second quarter, $2,900 in the third quarter and $4,800 in the fourth quarter.\n\n## QUARTERLY VOLUME AND PRICE INFORMATION\n\n| | | | Price Range | Price Range |\n|----------------|---------------|----------------------|---------------|---------------|\n| | Shares Traded | Average Daily Volume | High | Low |\n| 2012 | | | | |\n| First Quarter | 26,284,500 | 410,700 | $ 36.77 | $24.50 |\n| Second Quarter | 19,521,900 | 309,900 | 36.07 | 25.63 |\n| Third Quarter | 15,756,700 | 254,100 | 42.01 | 34.78 |\n| Fourth Quarter | 16,697,600 | 265,000 | 41.79 | 34.44 |\n| 2011 | | | | |\n| First Quarter | 18,731,300 | 292,700 | $ 31.08 | $ 24.15 |\n| Second Quarter | 22,875,900 | 357,400 | 33.34 | 29.00 |\n| Third Quarter | 17,150,600 | 276,600 | 34.92 | 30.63 |\n| Fourth Quarter | 19,014,600 | 301,800 | 36.01 | 31.94 |\n| 2010 | | | | |\n| First Quarter | 12,316,800 | 192,400 | $ 23.17 | $ 18.11 |\n| Second Quarter | 13,876,700 | 216,800 | 22.91 | 18.80 |\n| Third Quarter | 11,246,000 | 184,400 | 25.20 | 21.06 |\n| Fourth Quarter | 23,193,800 | 368,200 | 33.00 | 24.80 |", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## YEAR ENDED JUNE 30, 2012 vs. 2011\n\nThe following table is included to aid in review of Applied's statements of consolidated income.\n\n| | Year Ended June 30, As a % of Net Sales | Year Ended June 30, As a % of Net Sales | Change in $'s Versus Prior Period |\n|----------------------------------------|------------------------------------------------------|------------------------------------------------------|---------------------------------------|\n| | 2012 | 2011 | % Increase |\n| Net Sales | 100.0 % | 100.0 % | 7.3 % |\n| Gross Profit | 27.6 % | 27.7 % | 6.7 % |\n| Selling, Distribution & Administrative | 20.5 % | 20.9 % | 5.1 % |\n| Operating Income | 7.1 % | 6.8 % | 11.7 % |\n| Net Income | 4.6 % | 4.4 % | 12.4 % |\n\nNet sales in fiscal 2012 were $2.4 billion, which was $162.6 million or 7.3% above the prior year, driven by improvements in the industrial economy as well as a continued focus on profitable sales growth. Incremental net sales from companies acquired since the prior year period contributed approximately $16.6 million or 0.7%. Currency translation decreased fiscal year sales by approximately $1.8 million or 0.1%. In local currency, net sales from our Canadian operations were up 12.2% from fiscal 2011, including 2.8% from acquisitions. In local currency, net sales from our Mexican operations were up 25.9%. The number of selling days in fiscal 2012 was the same as in fiscal 2011.\n\nNet sales of our Service Center Based Distribution segment increased $133.8 million, or 7.6%, compared to fiscal year 2011 led by improvements in the industrial economy as well as a continued focus on profitable sales growth, with acquisitions adding $16.6 million or 0.9%. Net sales of our Fluid Power Businesses segment increased $28.8 million or 6.5%, also driven by improvements in the industrial economy as well as a continued focus on profitable sales growth.\n\nThe sales product mix for fiscal 2012 was 70.8% industrial products and 29.2% fluid power products compared to 70.5% industrial and 29.5% fluid power in the prior year.\n\nAt June 30, 2012, we had a total of 476 operating facilities in the U.S., Canada and Mexico versus 474 at June 30, 2011.\n\n1", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## YEAR ENDED JUNE 30, 2011 vs. 2010\n\nThe following table is included to aid in review of Applied's statements of consolidated income.\n\n| | Year Ended June 30, As a % of Net Sales | Year Ended June 30, As a % of Net Sales | Change in $'s Versus Prior Period |\n|----------------------------------------|------------------------------------------------------|------------------------------------------------------|---------------------------------------|\n| | 2011 | 2010 | % Increase |\n| Net Sales | 100.0 % | 100.0 % | 16.9 % |\n| Gross Profit | 27.7 % | 27.2 % | 18.9 % |\n| Selling, Distribution & Administrative | 20.9 % | 21.4 % | 14.0 % |\n| Operating Income | 6.8 % | 5.8 % | 37.0 % |\n| Net Income | 4.4 % | 3.5 % | 46.8 % |\n\nNet sales in fiscal 2011 were $2.2 billion, which was $319.6 million or 16.9% above the prior year driven by improvements in the industrial economy. Incremental net sales from companies acquired in fiscal 2011 contributed approximately $40.8 million or 1.8%. Currency translation increased fiscal year 2012 sales by approximately $16.3 million or 0.7%. In local currency, net sales from our Canadian operations were up 23.1% from fiscal 2010, including 8.4% from acquisitions. In local currency, net sales from our Mexican operations were up 17.9%. The number of selling days in fiscal 2011 was the same as in fiscal 2010.\n\nNet sales of our Service Center Based Distribution segment increased $234.3 million, or 15.2%, compared to fiscal year 2010 led by improvements in the industrial economy, with acquisitions adding $40.8 million or 2.7%. Net sales of our Fluid Power Businesses segment increased $85.4 million or 23.9%, driven by improvements in the industrial economy.\n\nThe sales product mix for fiscal 2011 was 70.5% industrial products and 29.5% fluid power products compared to 71.7% industrial and 28.3% fluid power in the prior year.\n\nAt June 30, 2011, we had a total of 474 operating facilities in the U.S., Canada and Mexico versus 455 at June 30, 2010. The increase in operating facilities represented 11 new locations due to acquisitions, the opening of 2 new locations, the impact of redefining certain shop operations which added 11 locations, and the merger of 5 locations with other locations.\n\nOur gross profit margin increased to 27.7% in fiscal 2011 from 27.2% in fiscal 2010. LIFO benefits had a negative 1.0% impact on gross profit margin in fiscal 2011 versus fiscal 2010. LIFO benefits recorded during fiscal year 2011 totaled $5.3 million which provided an overall benefit in our gross profit percent of 0.2%. This compares to a LIFO benefit of $23.5 million in fiscal 2010 which added 1.2% to gross profit. Our focused efforts on\n\n3\n\nselling products at a higher gross profit margin led to an approximate 0.9% improvement in gross profit margins. Other positive impacts on margins were an increase of approximately 0.4% from businesses acquired during the fiscal year and an increase of approximately 0.2% due to lower scrap expense.", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "\n\n\n\nThis report contains statements that are forward-looking, as that term is defined by the Securities and Exchange Commission in its rules, regulations and releases. Applied intends that such forward-looking statements be subject to the safe harbors created thereby. All forwardlooking statements are based on current expectations regarding important risk factors, including those identified on page 12 of this report and in our Annual Report on Form 10-K for the fiscal year ended June 30, 2012. Accordingly, actual results may differ materially from those expressed in the forward-looking statements, and the making of such statements should not be regarded as a representation by Applied or any other person that results expressed therein will be achieved.\n\nPURPOSE PRODUCT PERFORMANCE PEOPLE\n\nApplied Industrial Technologies is a leading industrial distributor that offers more than four million parts to serve the needs of MRO and OEM customers in virtually every industry. In addition, Applied ® provides engineering, design and systems integration for industrial and fluid power applications, as well as customized mechanical, fabricated rubber and fluid power shop services. Applied also offers maintenance training and inventory management solutions that provide added value to its customers.\n\n## Applied at a Glance\n\nHeadquarters:\n\nCleveland, Ohio, USA\n\nOperating Facilities: More than 500 in the United States, Canada, Mexico, Puerto Rico, Australia and New Zealand\n\nE-Commerce:\n\nwww.Applied.com\n\nDistribution Centers:\n\n9\n\n## Stock Keeping Units (SKUs) Available\n\nto Customers:\n\nMore than 4 million\n\nProduct Manufacturers:\n\nMore than 2,000\n\nStock Ticker Symbol:\n\nAIT, listed on the\n\nNew York Stock Exchange\n\nEmployee Associates:\n\nApproximately 4,900\n\nData current as of August 1, 2012", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\n\n## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\n\n## To the Board of Directors and Shareholders of Applied Industrial Technologies, Inc. Cleveland, Ohio\n\n\n\nWe have audited the accompanying consolidated balance sheets of Applied Industrial Technologies, Inc. and subsidiaries (the 'Company') as of June 30, 2012 and 2011, and the related statements of consolidated income, comprehensive income, shareholders' equity, and cash flows for each of the three years in the period ended June 30, 2012. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audits.\n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, such consolidated financial statements present fairly, in all material respects, the financial position of the Company at June 30, 2012 and 2011, and the results of its operations and its cash flows for each of the three years in the period ended June 30, 2012, in conformity with accounting principles generally accepted in the United States of America.\n\nWe have also audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the Company's internal control over financial reporting as of June 30, 2012, based on the criteria established in Internal Control Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission, and our report dated August 15, 2012 expressed an unqualified opinion on the Company's internal control over financial reporting.\n\n\n\nCleveland, Ohio August 15, 2012", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_AIT_2012.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "By how much does Applied company plan to contribute to its pension benefits between 2018 and 2022 ?", - "target_page": 36, - "target_passage": "2018 through 2022 15,200", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Retirement Benefits\n\nThe Company has defined contribution profit-sharing plans covering substantially all employees who are not participants in certain defined benefit plans. The Company's annual contribution to the defined contribution plans is based on employee eligible earnings and results of operations and amounted to $26,489,000, $23,524,000, and $24,826,000 in 2003, 2002, and 2001, respectively.\n\nThe Company sponsors defined benefit plans which include a limited number of salaried and hourly employees at certain subsidiaries. The Company's funding policy is generally to contribute annually the minimum actuarially computed amount. Net pension costs relating to these plans were $176,000; $0; and $0 for 2003, 2002, and 2001, respectively. The actuarial present value of obligations, less related plan assets at fair value, is not significant.\n\nThe Company also participates in a multiemployer plan, which provides defined benefits to certain of the Company's union\n\nemployees. Pension expense for this plan amounted to $309,000, $309,000, and $310,000 in 2003, 2002, and 2001, respectively.\n\n## Postretirement Health Care\n\nIn accordance with the guidelines of revised SFAS No. 132, 'Employers' Disclosures about Pensions and other Postretirement Benefits,' the following table sets forth the funded status of the plan, reconciled to the accrued postretirement benefits cost recognized in the Company's balance sheet at:", - "page_start": 50, - "page_end": 50, - "source_file": "NYSE_HNI_2003.pdf" - }, - { - "text": "The Company recorded an additional minimum liability in the year ended December 31, 2002 to reflect the underfunded status of the plan. The accrued pension liability at December 31, 2002 represents the difference between the fair value of plan assets and the accumulated benefit obligation. The accumulated benefit obligation is the actuarial present value of benefits attributed by the pension benefit formula to employee service rendered prior to that date and based on current and past compensation levels. The accumulated benefit obligation differs from the projected benefit obligation in that it assumes no increase in future compensation. The following table details the financial statement captions affected by recording the minimum liability:\n\n| | 2002 2001 | |\n|------------------------------------------------------|--------------------------------|------------|\n| Prepaid pension asset before adjustment | $ 1,385,838 | $1,928,220 |\n| Intangible asset recorded (included in other assets) | (193,975) | - |\n| Minimum liability adjustment | (2,215,820) | - |\n| Accrued pension (liability) asset | $(1,023,957) | $1,928,220 |", - "page_start": 85, - "page_end": 85, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "| | Increase/(decrease) in accrued benefit obligation | Increase/(decrease) in accrued benefit obligation | Increase/(decrease) in pension expense | Increase/(decrease) in pension expense |\n|--------------------------------------|-----------------------------------------------------|-----------------------------------------------------|------------------------------------------|------------------------------------------|\n| | 2013 | 2012 | 2013 | 2012 |\n| Discount rate | | | | |\n| Impact of: | | | | |\n| 0.5% increase | $ (105) | $ (99) | $ (11) | $ (11) |\n| 0.5% decrease | 120 | 110 | 13 | 9 |\n| Rate of future compensation increase | | | | |\n| Impact of: | | | | |\n| 0.25% increase | $ 14 | $ 15 | $ 3 | $ 1 |\n| 0.25% decrease | (14) | (15) | (2) | (3) |\n| Mortality rate | | | | |\n| Impact of: | | | | |\n| 1 year increase | $ 26 | $ 28 | $ 4 | $ 1 |\n| 1 year decrease | (27) | (28) | (3) | (4) |\n\n## Allocation of Plan Assets", - "page_start": 122, - "page_end": 122, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "The following table provides information for pension plans with projected benefit obligations and accumulated benefit obligations in excess of plan assets:\n\n| June 30, | 2012 | 2011 |\n|---------------------------------|-----------|-----------|\n| Projected benefit obligations | $ 47,151 | $ 53,490 |\n| Accumulated benefit obligations | 47,151 | 43,528 |\n| Fair value of plan assets | 6,439 | 6,056 |\n\nThe net periodic costs are as follows:\n\n| | Pension Benefits | Pension Benefits | Pension Benefits | Retiree Health Care Benefits | Retiree Health Care Benefits | Retiree Health Care Benefits |\n|---------------------------------------------------------|--------------------|--------------------|--------------------|--------------------------------|--------------------------------|--------------------------------|\n| Year Ended June 30, | 2012-- | 2011-- | 2010-- | 2012-- | 2011-- | 2010-- |\n| Service cost | $ 289 | $ 460 | $ 574 | $ 30 | $ 39 | $ 52 |\n| Interest cost | 2,047 | 2,232 | 2,911 | 237 | 235 | 259 |\n| Expected return on plan assets | (396 ) | (385 ) | (351 ) | - | - | - |\n| Recognized net actuarial loss (gain) | 644 | 1,449 | 924 | (72 ) | (83 ) | (87 ) |\n| Amortization of prior service cost | 412 | 710 | 797 | 139 | 139 | 148 |\n| Recognition of prior service cost upon plan curtailment | 3,117 | - | - | - - | - | - |\n| Net periodic cost | $ 6,113 | $ 4,466 | $ 4,855 | $ 334 | $ 330 | $ 372 |\n\nThe estimated net actuarial loss and prior service cost for the pension plans that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $735 and $83, respectively. The estimated net actuarial gain and prior service cost for the retiree health care benefits that will be amortized from accumulated other comprehensive income (loss) into net periodic benefit cost over the next fiscal year are $(53) and $107, respectively.\n\n## Assumptions\n\nThe discount rate is used to determine the present value of future payments. In general, the Company's liability increases as the discount rate decreases and decreases as the discount rate increases. The Company computes a weighted-average discount rate taking into account anticipated plan payments and the associated interest rates from the Citigroup Pension Discount Yield Curve.\n\nThe weighted-average actuarial assumptions used to determine benefit obligations and net periodic benefit cost for the plans were as follows:", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (Continued)\n\n(In thousands, except per share amounts)\n\n## Salary Continuation Benefits\n\nThe Company has agreements with certain retirees of acquired companies to pay monthly retirement benefits through fiscal 2020.\n\n## Retiree Health Care Benefits\n\nThe Company provides health care benefits to eligible retired associates who pay the Company a specified monthly premium. Premium payments are based upon current insurance rates for the type of coverage provided and are adjusted annually. Certain monthly health care premium payments are partially subsidized by the Company. Additionally, in conjunction with a fiscal 1998 acquisition, the Company assumed the obligation for a postretirement medical benefit plan which provides health care benefits to eligible retired associates at no cost to the individual.\n\nThe Company uses a June 30 measurement date for all plans.\n\nThe following table sets forth the changes in benefit obligations and plan assets during the year and the funded status for the postemployment plans at June 30:", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "## Allocation of Plan Assets\n\n| | Percentage of plan assets | Percentage of plan assets | Target asset |\n|--------------------|-----------------------------|-----------------------------|-----------------------|\n| Asset category | December 31, 2013 | December 31, 2012 | allocation percentage |\n| Equity securities: | | | |\n| Domestic | 20.1% | 19.3% | 10% to 29% |\n| International | 40.7% | 38.3% | 29% to 48% |\n| Debt securities | 38.9% | 41.8% | 38% to 47% |\n| Other - cash | 0.3% | 0.6% | 0% to 2% |\n| | 100.0% | 100.0% | |\n\nPlan assets consist primarily of pooled funds that invest in common stocks and bonds. The pooled Canadian equity funds has investments in our equity securities. As a result, approximately $3 million (2012 $2 million) of the plans' assets are indirectly invested in our own equity securities.\n\nWe make contributions to the plans to secure the benefits of plan members and invest in permitted investments using the target ranges established by our Pension Committee, which reviews actuarial assumptions on an annual basis.\n\nThe table below shows the actual contributions to the plans for the years ended December 31:\n\n| | Employer | Employee | Total |\n|------|------------|------------|---------|\n| 2013 | $ 101 | $ 26 | $ 127 |\n| 2012 | 85 | 23 | 108 |\n\nWe estimate our 2014 employer contributions to be $96 million. The average duration of the defined benefit obligation at December 31, 2013 is 19 years.\n\nActual return on plan assets was $102 million in 2013 (2012 $75 million).\n\nWe have recognized a cumulative loss in other comprehensive income and retained earnings of $201 million at December 31, 2013 (December 31, 2012 - $299 million).", - "page_start": 122, - "page_end": 122, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n\n## 24. Employee benefits and share-based payments continued\n\nSet out below are summaries of options under the plans.\n\n\n\n| Grant date | Expiry date | Exercise price $ | Balance start of year Number | Granted during year Number | Expired during year Number | Balance end of year Number | Vested and exercisable at end of year Number |\n|-------------------------------------|-------------------------------------|-------------------------------------|-------------------------------------|---------------------------------|---------------------------------|---------------------------------|-----------------------------------------------------|\n| Year ended 30 June 2013 - Employees | Year ended 30 June 2013 - Employees | Year ended 30 June 2013 - Employees | Year ended 30 June 2013 - Employees | | | | |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 481,000 | - | (481,000) | - | - |\n| Total | | | 481,000 | - | (481,000) | - | - |\n| Weighted average exercise price | Weighted average exercise price | | $6.00 | - | $6.00 | - | - |\n| Year ended 30 June 2012 - Employees | Year ended 30 June 2012 - Employees | Year ended 30 June 2012 - Employees | Year ended 30 June 2012 - Employees | | | | |\n| 07 Jul 2006 | 01 Jul 2011 | $6.00 | 50,000 | - | (50,000) | - | - |\n| 04 Apr 2008 | 03 Apr 2013 | $4.68 | 58,535 | - | (58,535) | - | - |\n| 04 Apr 2008 | 03 Apr 2013 | $6.00 | 566,001 | - | (85,001) | 481,000 | 481,000 |\n| Total | | | 674,536 | - | (193,536) | 481,000 | 481,000 |\n| Weighted average exercise price | Weighted average exercise price | | $5.89 | - | $5.60 | $6.00 | $6.00 |", - "page_start": 97, - "page_end": 97, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## 9. RETIREMENT BENEFIT PLANS\n\nThe Company and its domestic consolidated subsidiaries have defined benefit plans, i.e., welfare pension fund plans ('WPFP'), tax-qualified pension plans and lump-sum payment plans, covering substantially all employees who are entitled to lump-sum or annuity payments, the amounts of which are determined by reference to their basic rates of pay, length of service, and the conditions under which termination occurs. Certain foreign consolidated subsidiaries have defined benefit and contribution plans.\n\nThe following table sets forth the funded and accrued status of the plans, and the amounts recognized in the consolidated balance sheets as of March 31, 2005 and 2004 for the Company's and the consolidated subsidiaries' defined benefit plans:\n\n| | Millions of yen | Millions of yen | Thousands of U.S. dollars |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------|--------------------|-----------------------------|\n| As of | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2004 Mar. 31, 2005 |\n| Retirement benefit obligation ....................................................................................................................................... | ¥(1,217,260) | ¥(1,041,483) | $(11,376,262) |\n| Plan assets at fair value .................................................................................................................................................... | 500,815 | 377,169 | 4,680,514 |\n| Unfunded retirement benefit obligation ............................................................................................................... | (716,445) | (664,314) | (6,695,748) |\n| Unrecognized net retirement benefit obligation at transition ........................................................... | 120,718 | 131,666 | 1,128,206 |\n| Unrecognized actuarial gain or loss ........................................................................................................................ | 154,689 | 152,867 | 1,445,691 |\n| Unrecognized prior service cost ................................................................................................................................. | (66,720) | (61,833) | (623,551) |\n| Net retirement benefit obligation .............................................................................................................................. | (507,758) | (441,614) | (4,745,402) |\n| Prepaid pension cost ........................................................................................................................................................... | 445 | 652 | 4,159 |\n| Accrued retirement benefits .......................................................................................................................................... | ¥ (508,203) | ¥ (442,266) | $ (4,749,561) |\n\nThe substitutional portion of the benefits under the WPFP has been included in the amounts shown in the above table.", - "page_start": 83, - "page_end": 83, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "The following table sets forth the changes in benefit obligations and plan assets during the year and the funded status for the postemployment plans at June 30:\n\n| | Pension Benefits | Pension Benefits | Retiree Health Care Benefits | Retiree Health Care Benefits |\n|------------------------------------------------|--------------------|--------------------|--------------------------------|--------------------------------|\n| | 2012 | 2011 | 2012 | 2011. |\n| Change in benefit obligation: | | | | |\n| Benefit obligation at beginning of the year | $ 53,490 | $ 51,114 | $ 4,667 | $ 4,593 |\n| Service cost | 289 | 460 | 30 | 39 |\n| Interest cost | 2,047 | 2,232 | 237 | 235 |\n| Plan participants ' contributions | - | - | 47 | 37 |\n| Benefits paid | (4,144 ) | (1,856 ) | (256 ) | (227 ) |\n| Amendments | 150 | 151 | - | - |\n| Actuarial loss (gain) during year | 4,179 | 1,389 | 423 | (10 ) |\n| Curtailment | (8,860 ) | - | - | - |\n| Benefit obligation at end of year | $ 47,151 | $ 53,490 | $ 5,148 | $ 4,667 |\n| Change in plan assets: | | | | |\n| Fair value of plan assets at beginning of year | $ 6,056 | $ 5,229 | $ - | $ - |\n| Actual (loss) gain on plan assets | (30 ) | 984 | - | - |\n| Employer contributions | 4,557 | 1,699 | 209 | 190 |\n| Plan participants ' contributions | - | - | 47 | 37 |\n| Benefits paid | (4,144 ) | (1,856 ) | (256 ) | (227 ) |\n| Fair value of plan assets at end of year | $ 6,439 | $ 6,056 | $ - | $ - |\n| Funded status at end of year | $ (40,712 ) | $ (47,434 ) | $ (5,148 ) | $ (4,667 ) |\n\nThe amounts recognized in the consolidated balance sheets and in accumulated other comprehensive income (loss) for the postemployment plans were as follows:", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_AIT_2012.pdf" - }, - { - "text": "The accumulated benefit obligation for the pension plan was $4,801,000 and $4,170,000 at December 31, 2003 and 2002, respectively. The components of net periodic pension cost for 2003, 2002 and 2001 were as follows (in thousands):\n\n| | YEAR ENDED DECEMBER 31, | YEAR ENDED DECEMBER 31, | YEAR ENDED DECEMBER 31, |\n|------------------------------------------|---------------------------|---------------------------|---------------------------|\n| | 2003 | 2002 | 2001 |\n| COMPONENTS OF NET PERIODIC PENSION COST: | | | |\n| Service cost | $ 214 | $ 320 | $ 369 |\n| Interest cost | 298 | 307 | 296 |\n| Expected return on assets | (349) | (405) | (477) |\n| Prior service cost amortization | (37) | 7 | 6 |\n| Actuarial loss | 128 | 28 | - |\n| Transition amount amortization | (44) | (44) | (44) |\n| Net periodic pension cost | $ 210 | $ 213 | $ 150 |\n\n## Actuarial assumptions used to determine benefit obligations at December 31 were as follows:\n\n| | 2003 | 2002 |\n|-------------------------------|--------|--------|\n| Discount rate | 6.50% | 7.00% |\n| Rate of compensation increase | 5.00% | 5.00% |\n\n## Actuarial assumptions used to determine net periodic pension cost were as follows:\n\n| | YEAR ENDED DECEMBER 31, | YEAR ENDED DECEMBER 31, | YEAR ENDED DECEMBER 31, |\n|-------------------------------------|---------------------------|---------------------------|---------------------------|\n| | 2003 | 2002 | 2001 |\n| Discount rate | 7.00% | 7.25% | 7.25% |\n| Expected long-term return on assets | 8.00% | 9.00% | 9.00% |\n| Rate of compensation increase | 5.00% | 5.00% | 5.00% |\n\nThe Company's expected long-term rate of return assumption is based upon the plan's actual long-term investment results as well as the long-term outlook for investment returns in the marketplace at the time the assumption is made. The reduction in the Company's assumption for this expected return rate in the beginning of 2003 to 8 percent from 9 percent reflected the major downturn in returns on debt and equity investments that occurred in the investment markets in 2001 and 2002.\n\nThe Company's pension plan assets at December 31, 2003 and 2002 were invested in the following asset categories:\n\n| | 2003 | 2002 |\n|-------------------|--------|--------|\n| ASSET CATEGORY: | | |\n| Equity securities | 73% | 64% |\n| Debt securities | 25% | 28% |\n| Other | 2% | 8% |\n| Total | 100% | 100% |", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_ATRI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_AIT_2012.pdf", - "query": "What does Applied has to say regarding the potential creadit risk it could be exposed to ?", - "target_page": 21, - "target_passage": "The Company has a broad customer base representing many diverse industries primarily across North America. As such, the Company does not believe that a significant concentration of credit risk exists in its accounts receivable", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Liability Insurance and Bonding\n\nThe nature of our business exposes our company to the risk of liabilities arising out of our operations, including possible damages to the environment. Such potential liabilities could involve, for example, claims for remediation costs, personal injury, property damage and damage to the environment in cases where we may be held responsible for the escape of harmful materials; claims of employees, customers or third parties for personal injury or property damage occurring in the course of our operations; or claims alleging negligence in the planning or performance of work. We could also be subject to Ñnes and civil and criminal penalties in connection with alleged violations of regulatory requirements. Because of the nature and scope of the possible environmental damages, liabilities imposed in environmental litigation can be signiÑcant. Our solid waste operations have third party environmental liability insurance with limits in excess of those required by permit regulations, subject to certain limitations and exclusions. However, we cannot assure you that the limits of such environmental liability insurance would be adequate in the event of a major loss, nor can we assure you that we would continue to carry excess environmental liability insurance should market conditions in the insurance industry make such coverage costs prohibitive.\n\nWe have general liability, vehicle liability, employment practices liability, pollution liability, directors and oÇcers liability, worker's compensation and employer's liability coverage, as well as umbrella liability policies to provide excess coverage over the underlying limits contained in these primary policies. We also carry property insurance. Although we try to operate safely and prudently and while we have, subject to limitations and exclusions, substantial liability insurance, no assurance can be given that we will not be exposed to uninsured liabilities which could have a material adverse eÅect on our Ñnancial condition, results of operations or cash Öows.", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "These factors can also affect our objectives, strategies and intentions. Many of these factors are beyond our control or our current expectations. Should one or more of these risks, uncertainties or other factors materialize, our objectives, strategies or intentions change, or any other factors or assumptions underlying the forward-looking information prove incorrect, our actual results and our plans could vary significantly from what we currently foresee.\n\nAccordingly, we warn investors to exercise caution when considering statements containing forward-looking information and that it would be unreasonable to rely on such statements as creating legal rights regarding our future results or plans. We are under no obligation (and we expressly disclaim any such obligation) to update or alter any statements containing forward-looking information or the factors or assumptions underlying them, whether as a result of new information, future events or otherwise, except as required by law. All of the forward-looking information in this MD&A is qualified by the cautionary statements herein.\n\n## BEFORE MAKING AN INVESTMENT DECISION\n\nBefore making any investment decisions and for a detailed discussion of the risks, uncertainties and environment associated with our business, fully review 'Regulation in Our Industry' and 'Governance and Risk Management', in this MD&A, as well as our various other filings with Canadian and US securities regulators which can be found at sedar.com and sec.gov.\n\n## FOR MORE INFORMATION\n\nYou can find more information about us, including our Information Circular and Annual Information Form, on our website (rogers.com/ investors), on SEDAR (sedar.com) and on EDGAR (sec.gov), or you can e-mail us at investor.relations@rci.rogers.com. Information on or connected to these and any other websites referenced in this document is not part of this MD&A.\n\nYou can also go to rogers.com/investors for information about our governance practices, corporate social responsibility reporting, a glossary of communications and media industry terms, and additional information about our business.", - "page_start": 28, - "page_end": 28, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Risk Factors\n\nThis Annual Report on Form 10-K includes \"\"forward-looking statements'' within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, including, in particular, certain statements about our plans, strategies and prospects. Although we believe that our plans, intentions and expectations reÖected in or suggested by such forward-looking statements are reasonable, we cannot assure you that such plans, intentions or expectations will be achieved. Important factors that could cause our actual results to diÅer materially from our forward-looking statements include those set forth in this Risk Factors section. All forward-looking statements attributable to us or any persons acting on our behalf are expressly qualiÑed in their entirety by the cautionary statements set forth below. Unless the context requires otherwise, all references to the \"\"company,'' \"\"we,'' \"\"us'' or \"\"our'' include Republic Services, Inc. and its subsidiaries.\n\nIf any of the following risks, or other risks not presently known to us or that we currently believe to not be signiÑcant, develop into actual events, then our business, Ñnancial condition, results of operations, cash Öows or prospects could be materially adversely aÅected.\n\n## We operate in a highly competitive industry and may be unable to compete eÅectively.\n\nWe operate in a highly competitive business environment. Some of our competitors have signiÑcantly larger operations and may have signiÑcantly greater Ñnancial resources than we do. In addition, the solid waste industry is constantly changing as a result of consolidation which may create additional competitive pressures in our business environment.\n\nWe also compete with municipalities that maintain their own waste collection or disposal operations. These municipalities may have a Ñnancial advantage over us as a result of the availability of tax revenue and tax-exempt Ñnancing.\n\nWe compete for collection accounts primarily on the basis of price and the quality of services. From time to time our competitors may reduce the price of their services in an eÅort to expand their market share or to win a competitively bid municipal contract.\n\nIn each market in which we own or operate a landÑll, we compete for solid waste volume on the basis of disposal or \"\"tipping'' fees, geographical location and quality of operations. Our ability to obtain solid waste volume for our landÑlls may be limited by the fact that some major collection companies also own or operate landÑlls to which they send their waste. In markets in which we do not own or operate a landÑll, our collection operations may operate at a disadvantage to fully integrated competitors.\n\nAs a result of these factors, we may have diÇculty competing eÅectively from time to time.\n\n## Economic conditions could adversely aÅect our business, operations and internal growth.\n\nIn the past, economic slowdowns have negatively impacted the portion of our collection business servicing the manufacturing sector and the non-residential construction industry. LandÑll volumes attributable to manufacturing and construction activity were also impacted. A slowdown in the economy in any of the markets we service could adversely aÅect volumes, pricing and operating margins in our collection, transfer and disposal operations.\n\n## An increase in the price of fuel may adversely aÅect our business.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## Consequences of test results", - "page_start": 58, - "page_end": 58, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## RISKS AND UNCERTAINTIES AFFECTING OUR BUSINESS\n\nThis section describes the principal risks and uncertainties that could have a material adverse effect on our business and financial results.\n\n## GENERAL RISKS\n\n## Economic Conditions\n\nOur businesses are affected by general economic conditions and consumer confidence and spending. Recessions, declines in economic activity and economic uncertainty can erode consumer and business confidence and reduce discretionary spending. Any of these factors can negatively affect us through reduced advertising, lower demand for our products and services, decreased revenue and profitability, higher churn and bad debt expense. A significant portion of our broadcasting, publishing and digital revenues come from the sale of advertising.\n\nPoor economic conditions can also have an impact on our pension plans because there is no assurance that the plans will be able to earn the assumed rate of return. Capital market volatility may result in changes in the discount rates and other variables, requiring us to make contributions in the future that differ significantly from current contributions and assumptions being used in the actuarial valuation process.\n\n## S ubstantial Competition\n\nThere is no assurance that our current or future competitors will not provide services that are superior to ours or at lower prices, adapt more quickly to evolving industry trends or changing market requirements, enter markets we operate in, or introduce competing services. Any of these factors could reduce our business market share or revenues, or increase churn.\n\nWe expect to have ongoing re-pricing of products and services with our existing subscribers as we extend lower wireless pricing offers to attract and retain customers. As such, wireless penetration of the population deepens, new wireless customers may generate lower average monthly revenue and this could slow revenue growth.\n\nWireless could face increased competition due to recent changes to foreign ownership and control of wireless licences.\n\n - GLYPH<129> Foreign telecommunication companies could enter the Canadian market by acquiring wireless licences or a holder of wireless licences. If companies with significantly greater capital resources enter the Canadian market, it could reduce our wireless market share. See 'Foreign ownership and control' in 'Regulation in Our Industry' for details.\n - GLYPH<129> Industry Canada's new policy regarding the transfer of spectrum licenses, combined with 2012 legislation that allows foreign ownership of wireless providers with less than 10 % market share, could make it harder for incumbent wireless carriers to acquire additional spectrum, including the completion of our previously announced arrangements with Shaw and Videotron, while making it less expensive for foreign wireless carriers to enter the Canadian wireless market. This could increase the intensity of competition in the Canadian wireless sector.", - "page_start": 77, - "page_end": 77, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Particularly difficult is the assessment of the quality of risk assessments . A complete quality assessment would require specific knowledge of several aspects: of the specific topic, of the - real situation at the workplaces in an enterprise, and of the expected reduction of these risks by the proposed or recommended risk mitigation measures. This has rarely been done. Moreover, even inside one enterprise the quality of a risk assessment might differ depending on the topic , for example, between 'easier' topics as 'correct provision of warning signals' or 'adequate temperatures', and more complex topics like psychosocial, musculoskeletal, or chemical and biological risks. 414", - "page_start": 126, - "page_end": 126, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- (d) the Secretary of State has confirmed in writing that this paragraph applies in relation to P and has not withdrawn that confirmation.\n - (4) P is also a relevant person if-\n - (a) P is vulnerable as a result of a severe medical or health condition;\n - (b) P would not receive appropriate support in designated accommodation and that condition would be severely detrimentally impacted if P were required to self-isolate in such accommodation;\n - (c) P has provided evidence from a suitably qualified or registered medical practitioner of the matters specified in paragraphs (a) and (b); and", - "page_start": 78, - "page_end": 78, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Our Ñnancial statements are based upon estimates and assumptions that may diÅer from actual results.\n\nOur Ñnancial statements have been prepared in accordance with U.S. generally accepted accounting principles and necessarily include amounts based on estimates and assumptions made by us. Actual results could diÅer from these amounts. SigniÑcant items subject to such estimates and assumptions include the carrying value of long-lived assets, the depletion and amortization of landÑll development costs, accruals for Ñnal capping, closure and post-closure costs, valuation allowances for accounts receivable, liabilities for potential litigation, claims and assessments, and liabilities for environmental remediation, deferred taxes and self-insurance.\n\nWe cannot assure you that our reserves for landÑll and environmental costs will be adequate to cover the requirements of existing environmental regulations, future changes or interpretations of existing regulations, or the identiÑcation of adverse environmental conditions previously unknown to us.\n\n## Changes in insurance markets may impact our Ñnancial results.\n\nDue to the variable condition of the insurance market, we have experienced, and may continue to experience in the future, increased self-insurance retention levels and increased premiums. As we assume more risk for self-insurance through higher retention levels, we may experience more variability in our selfinsurance reserves and expense.\n\n## We depend on key personnel.\n\nOur future success depends on the continued contributions of several key employees and oÇcers. We do not maintain key man life insurance policies on any of our oÇcers. The loss of the services of key employees and oÇcers, whether such loss is through resignation or other causes, or the inability to attract additional qualiÑed personnel, could have a material adverse eÅect on our Ñnancial condition, results of operations and growth prospects.\n\n## Compliance with environmental and other laws and regulations may impede our growth.\n\nWe may need to spend considerable time, eÅort and capital to keep our facilities in compliance with federal, state and local requirements regulating health, safety, environment, zoning, land use and transportation. In addition, some of our waste operations that cross state boundaries could be adversely aÅected if the federal government, or the state or locality in which these waste operations are located, imposes fees on, or otherwise limits or prohibits, the transportation or disposal of solid waste. If environmental laws become more stringent, our environmental capital expenditures and costs for environmental compliance may increase in the future. In addition, due to the possibility of unanticipated events or regulatory developments, the amounts and timing of future environmental expenditures could vary substantially from those we currently anticipate. Because of the nature of our operations, we have in the past, currently are, and may in the future be named as a potentially responsible party in connection with the investigation or remediation of environmental conditions. We cannot assure you that the resolution of any such investigations will not have a material adverse eÅect on our Ñnancial condition, results of operations or cash Öows. A signiÑcant judgment or Ñne against our company, or our loss of signiÑcant permits or licenses, could have a material adverse eÅect on our Ñnancial condition, results of operations, cash Öows or prospects.\n\n## Regulatory approval to develop or expand our landÑlls and transfer stations may be delayed or denied.", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## Item 7A. Quantitative and Qualitative Disclosures About Market Risk.\n\nDollars in millions\n\n## INTEREST RATE RISK\n\nWe are exposed to interest rate risk primarily from changes in short-term interest rates. As of January 31, 2015, we had cash and cash equivalents of $827, which generate interest income at variable rates, and gross credit card receivables of $2,284, which generate finance charge income at a combination of fixed and variable rates. Interest rate fluctuations can affect our interest income, credit card revenues and interest expense. See Note 3: Accounts Receivable in Item 8: Financial Statements and Supplementary Data for additional information.\n\nWe use sensitivity analyses to measure and assess our interest rate risk exposure. For purposes of presenting the potential earnings effect of a reasonably possible hypothetical change in interest rates from our reporting date, we utilized two sensitivity scenarios: (i) linear growth of approximately 225 basis points over the year and (ii) linear decline of approximately 15 basis points over the year, due to the fact that current interest rates are near historically low levels. Other key parameters and assumptions in our sensitivity analyses include the average cash and cash equivalents balance, average credit card receivables balance and no new floating rate debt. The first hypothetical scenario would result in an approximate $15 increase in future earnings, while the second hypothetical scenario would not have a material effect on future earnings.\n\nFor our long-term fixed-rate debt of $3,131, our exposure to interest rate risk is limited to changes in the fair value of our debt. As our debt is primarily fixed-rate, changes in interest rates do not impact our cash flows. However, changes in interest rates increase or decrease the fair value of our debt, depending on whether market rates are lower or higher than our fixed-rates. As of January 31, 2015, the fair value of our fixed-rate debt was $3,693. See Note 8: Debt and Credit Facilities and Note 9: Fair Value Measurements in Item 8: Financial Statements and Supplementary Data for additional information.\n\n## FOREIGN CURRENCY EXCHANGE RISK\n\nThe majority of our revenues, expenses and capital expenditures are transacted in U.S. Dollars. Our U.S. operation periodically enters into merchandise purchase orders denominated in British Pounds or Euros. From time to time, we may use forward contracts to hedge against fluctuations in foreign currency prices. As of January 31, 2015, our outstanding forward contracts did not have a material impact on our consolidated financial statements.\n\nAs of January 31, 2015, we have opened one full-line store in Canada and have announced plans to open five additional full-line stores in Canada over the next few years. The functional currency of our Canadian operations is the Canadian Dollar. We translate assets and liabilities into U.S. Dollars using the exchange rate in effect at the balance sheet date, while we translate revenues and expenses using a weighted-average exchange rate for the period. We record these translation adjustments as a component of accumulated other comprehensive loss on the Consolidated Balance Sheets in Item 8: Financial Statements and Supplementary Data. Our Canadian operations enter into merchandise purchase orders denominated in U.S. Dollars for approximately half of its inventory. As sales in Canada are denominated in the Canadian Dollar, gross profit for our Canadian operations can be impacted by foreign currency fluctuations.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "on occupation and sector, between 15% and 30% of workers are exposed to such risks. No or very minor decreases of these risks could be seen during the past 15 years.\n\nIn both the ESENER and the EWCS surveys 52 there is a similar share of 'Yes responses' when asked for the presence of such risks. 53 In ESENER a set of questions is related to the risks present in the enterprise. The figure below shows the responses from ESENER 2014 and ESENER 2019 regarding physical health risks. 54\n\nFigure 16: Exposure to physical risks - ESENER, EWCS and LFS\n\n", - "page_start": 38, - "page_end": 38, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "To what system of logic do OWL ontologies belong to ?", - "target_page": 7, - "target_passage": "OWL ontologies are an implementation of Description Logic (DL) which is a decidable subset of First Order Logic", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n## 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see:\n\nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n## 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this . The term used for any such construct in Protégé and in this document is an Entity . Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## A Practical Guide to Building OWL Ontologies\n\n## Using Protégé 5.5 and Plugins\n\nEdition 3.0\n\n## 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "\n\nSee discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nPreprint · April 2021\n\nCITATIONS\n\n0\n\n## 1 author:\n\n\n\nREADS 36,030", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| | Hierarchisation | Axiom Ontology | Artifact | | CAPTION | CAPTION | CAPTION |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that these superclass-subclass relationships (aka subsumption relationships) can be computed automatically by a reasoner - more on this later. Figure 3.3 shows a representation of some classes containing individuals classes are represented as ovals, like sets in Venn diagrams.\n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an individual for it to be a member of the class. How to formulate these descriptions will be explained as the tutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 4 Building an OWL Ontology\n\nThis chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost everyone is familiar with.\n\n## Exercise 1: Create a new OWL Ontology\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n- 1. Start Protégé. When Protégé opens for the first time each day it puts up a screen of all the available plugins. You can also bring this up at any time by using File>Check for plugins. You won't need any plugins at this point of the tutorial so just click the Not now button.\n- 2. The Protégé user-interface consists of several tabs such as Active ontology, Entities, etc. When you start Protégé you should be in the Active Ontology tab. This is for overview information about the entire ontology. Protégé always opens with a new untitled ontology you can start with. Your ontology should have an IRI something like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology27 Edit the name of the ontology (the part after the last '/' in this case untitled-ontology-27) and change it to something like PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the IRI after I edited the default that Protégé generated for me. Your IRI will look different and will be based on your name or the name of your organization.\n- 3. Now you want to save your new ontology. Select File>Save. This should bring up a window that says: Choose a format to use when saving the 'PizzaTutorial' ontology. There is a drop down menu of formats to use. The default RDF/XML Syntax should be selected by clicking the OK button. This should bring up the standard dialog your operating system uses for saving files. Navigate to the folder you want to use and then type in the file name, something like Pizza Tutorial and select Save.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if something goes wrong you don ' t lose your work. At certain points in the tutorial where saving is especially important the tutorial will prompt you to do so but it is a good idea to save your work often, not just when prompted.\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé any class, individual, object property, data property, annotation property, or rule is referred to as an entity. The term name in OWL can actually refer to two different concepts. It can be the last part of the IRI 3 or it can refer to the annotation property (usually rdfs:label ) used to provide a more user friendly name for the entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the parameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will work appropriately.", - "page_start": 10, - "page_end": 10, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "We designed the proposed framework focusing on automation with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the learned ontology final production use case . We implement the framework as an open-source and openaccess python library. We aim to gather feedback and grow a community to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing axiom extraction and automatic ontology evaluation . One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\n- Cimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n- Drymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n- Paola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665-707. DOI: 10.1162/COLI\\_a\\_00146 3.\n- Muhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n## OLAF : Ontology Learning Applied Framework\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology learning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an opensource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "- 5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all possible inferences because some inferences can take a long time for large and complex ontologies. In this tutorial we will always be dealing with small and simple ontologies so we want to see everything the reasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of inferences that the reasoner can perform. If they aren't all checked then check them all. You may receive a warning that some inferences can take a lot of time, but you can ignore those since your ontology will be small.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n## 4.3 Disjoint Classes\n\nHaving added the classes Pizza , PizzaTopping , and PizzaBase to the ontology, we now want to say that these classes are disjoint . I.e., no individual can be an instance of more than one of those classes. In set theory terminology the intersection of these three classes is the empty set: owl:Nothing .\n\n## Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select the class Pizza in the class hierarchy.\n\n\n\n - 2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red circle in figure 4.6.\n - 3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class hierarchy for now (we will use the expression editor later). This gives you an interface to select a class that is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and select PizzaBase and PizzaTopping. Select OK.\n - 4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping . You should see that they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint with the other two.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 9 Queries: Description Logic and SPARQL\n\nNow that we have some individuals in our ontology, we can do some interesting queries. There are several tools for doing queries in Protégé.\n\n## 9.1 Description Logic Queries\n\nTo start with the most straight forward one based on what you have already learned are Description Logic (DL) queries. These are essentially the same kind of statements you have been using to define classes. However, in addition to using such statements to define a class you can use it as a query.\n\n## Exercise 33: Try Some Description Logic Queries\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. To begin with navigate to the DL Query tab. If it doesn't exist create it using: Window>Tabs>DL Query.\n - 2. At the top right of this tab you should see a view that says DL query: and below it Query (class expression).\n - 3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, superclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping some (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness Hot . At first you may not see anything but don't worry there is one more step.\n - 4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it should already be checked by default) and Instances. Now your UI should look like figure 9.1. You may notice that owl:Nothing shows up as a subclass. Don't worry that is actually expected. Remember that owl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as owl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don't want to see owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing.\n - 5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with this last query you are taking advantage of the transitive order you defined for the instances of the Spiciness class in chapter 6.\n - 6. You can also do queries for strings in the names of your entities. For example, first do a query simply with Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the classes and individuals with Hot in their name.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "Concerning ontologies, what is an anonymous class ?", - "target_page": 30, - "target_passage": "They are created by the reasoner when you use class expressions. For example, if you define the range of a property to be PizzaTopping or PizzaBase then the reasoner will create an anonymous class representing the intersection of those two classes", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n## 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see:\n\nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n## 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this . The term used for any such construct in Protégé and in this document is an Entity . Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "\n\nSee discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nPreprint · April 2021\n\nCITATIONS\n\n0\n\n## 1 author:\n\n\n\nREADS 36,030", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 8 A Larger Ontology with some Individuals\n\nThe rest of the tutorial requires some data loaded into your ontology. So far, we have mostly been dealing with defining classes and properties. This type of information is known in the semantic web community as T-Box information. The T stands for Terminological. Individuals or instances are known as A-Box. The A stands for Assertional as in specific facts that are asserted about the domain. Typically, there will be a much larger amount of A-Box information than T-Box. The A-Box information is often uploaded from spreadsheets, relational databases or other sources. One tool that is not covered in this tutorial that is useful is called Cellfie. Cellfie is a tool that can take data from spreadsheets and upload it into an ontology mapping the table-based data into objects and property values. For a tutorial on Cellfie see: https://github.com/protegeproject/cellfie-plugin/wiki/Grocery-Tutorial\n\nIn addition to using Cellfie, you can use the Individuals by class tab introduced in chapter 5 to create new instances and to create object and data property values for those instances as you did with the Hot and Medium individuals in chapter 6. However, that can be tedious so to spare you that uninteresting work I've developed a version of the Pizza ontology that has many individuals already created. That ontology should be identical to the ontology you have developed so far except with many additional individuals. You can find this populated Pizza ontology at: https://tinyurl.com/PizzaWDataV2 Go to this URL and download the file to your local machine and then use File>Open. Before you do that, it is probably a good idea to close the current file so that there is no possible confusion between the Pizza ontology you developed and the new one with extra data.", - "page_start": 62, - "page_end": 62, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## A Practical Guide to Building OWL Ontologies\n\n## Using Protégé 5.5 and Plugins\n\nEdition 3.0\n\n## 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## 4.10.4 Detecting a Class that can't Have Members\n\nNext, we are going to use the reasoner to detect a class with a definition that means it can never have any members. In the current version of Protégé when the reasoner detects an inconsistency or problem on some operating systems the UI can occasionally lock up and be hard to use. So to make sure you don't lose any of your work save your ontology using File>Save.\n\nSometimes it can be useful to create a class that we think should be impossible to instantiate to make sure the ontology is modeled as we think it is. Such a class is called a Probe Class.\n\n## Exercise 19: Add a Probe Class called ProbeInconsistentTopping\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select the class CheeseTopping from the class hierarchy.\n - 2. Create a subclass of CheeseTopping called ProbeInconsistentTopping.\n - 3. Click on the Add icon (+) next to the SubClass Of field in the Description view for ProbeInconsistentTopping .\n - 4. Select the Class hierarchy tab from the dialogue that pops up. This will bring up a small view that looks like the class hierarchy tab you have been using to add new classes. Use this to navigate to and select the class VegetableTopping. Click on OK.\n - 5. Make sure to save your current ontology file. Now run the reasoner. You should see that ProbeInconsistentTopping is now highlighted in red indicating it is inconsistent.\n - 6. Click on ProbeInconsistentTopping to see why it is highlighted in red. Notice that at the top of the Description view you should now see owl:Nothing under the Equivalent To field. This means that the probe class is equivalent to owl:Nothing . The owl:Nothing class is the opposite of owl:Thing . Whereas all individuals are instances of owl:Thing , no individual can ever be an instance of owl:Nothing . The owl:Nothing class is equivalent to the empty set in set theory.\n - 7. There should be a ? icon just to the right of owl:Nothing. As with any inference of the reasoner it is possible to click on the new information and generate an explanation for it. Do that now, click on the ? icon. This should generate a new window that looks like figure 4.20. The explanation is that ProbeInconsistentTopping is a subclass of CheeseTopping and VegetableTopping but those two classes are disjoint.\n - 8. Click OK to dismiss the window. Delete the class ProbeInconsistentTopping by selecting it and then clicking on the delete class icon at the top of the classes view (see figure 4.4).\n - 9. Synchronize the reasoner.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 37, - "page_end": 37, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "We have described the class Pizza to be to be a subclass of Thing and a subclass of the things that have a base which is some kind of PizzaBase . Notice that these are necessary conditions - if something is a Pizza it is necessary for it to be a member of the class Thing (in OWL, everything is a member of the class Thing ) and necessary for it to have a kind of PizzaBase . More formally, for something to be a Pizza it is necessary for it to be in a relationship with an individual that is a member of the class PizzaBase via the property hasBase .\n\n## 4.10.3 Creating Subclasses of Pizza\n\nIt's now time to add some different kinds of pizzas to our ontology. We will start off by adding a MargheritaPizza , which is a pizza that has toppings of mozzarella and tomato. In order to keep our ontology tidy, we will group our different pizzas under the class NamedPizza .\n\n## Exercise 14: Create Subclasses of Pizza: NamedPizza and MargheritaPizza\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select Pizza from the class hierarchy on the Classes tab.\n - 2. Click on the Add subclass icon at the top left of the Classes tab (look back at figure 4.4 if you aren't certain). You can also move your mouse over the icons and you will see a little pop-up hint for each icon.\n - 3. Protégé will prompt you for the name of the new subclass. Call it NamedPizza.\n - 4. Repeat steps 1-3 this time starting with NamedPizza to create a subclass of NamedPizza. Call it MargheritaPizza.\n - 5. Add a comment to the class MargheritaPizza using the Annotations view. This is above the Description view. Add the comment: A pizza that only has Mozzarella and Tomato toppings. Remember that annotation properties are meta-data that can be asserted about any entity whereas object and data properties can only be asserted about individuals. There are a few predefined annotation properties that are included in all Protégé ontologies such as the comment property.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nHaving created the class MargheritaPizza we now need to specify the toppings that it has. To do this we will add two restrictions to say that a MargheritaPizza has the toppings MozzarellaTopping and TomatoTopping.\n\n## Exercise 15: Create Restrictions that define a MargheritaPizza\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 33, - "page_end": 33, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "The restrictions for a class are displayed and edited using the Class Description View shown in Figure 4.17. The Class Description View holds most of the information used to describe a class. The Class Description View is a powerful way of describing and defining classes. It is one of the most important differences between describing classes in OWL and in other models such as most object-oriented programming languages. In other models there is no formal definition that describes why one class is a subclass of another, in OWL there is. Indeed, the OWL classifier can actually redefine the class hierarchy based on the logical restrictions defined by the user. We will see an example of this later in the tutorial.\n\n\n\nRestrictions are also called axioms in OWL. This has the same meaning as in logic. An axiom is a logical formula defined by the user rather than deduced by the reasoner. As described above, in Protégé all axioms are shown in normal font whereas all inferences inferred by the reasoner are highlighted in yellow.\n\n## 4.10.2 Existential Restrictions\n\nAn existential restriction describes a class of individuals that have at least one (some) relationship along a specified property to an individual that is a member of a specified class or datatype. For example, hasBase some PizzaBase describes all of the individuals that have at least one relationship along the hasBase property to an individual that is a member of the class PizzaBase - in more natural English, all of the individuals that have at least one pizza base.\n\n## Exercise 13: Add a restriction to Pizza that specifies a Pizza must have a PizzaBase\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select Pizza from the class hierarchy on the Classes tab.\n - 2. Click on the Add icon (+) next to the SubClass Of field in the Description view for Pizza.\n\n\n\n - 3. This will bring up a new window with several tab options to define a new restriction. Select the Object restriction creator. This tab has the Restricted property on the left and the Restriction filler on the right.\n - 4. Expand the property hierarchy on the left and select hasBase as the property to restrict. Then in the Restriction filler on the right select the class PizzaBase. Finally, the Restriction type at the bottom should be set to Some (existential). This should be the default so you shouldn't have to change anything but double check that this is the case. Your window should look like figure 4.16 now.\n - 5. When your UI looks like figure 4.16 click on the OK button. That should close the window. Run the reasoner to make sure things are consistent. Your main window should now look like figure 4.17.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 31, - "page_end": 31, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- 5. One last thing we want to do is to configure the reasoner. By default, the reasoner does not perform all possible inferences because some inferences can take a long time for large and complex ontologies. In this tutorial we will always be dealing with small and simple ontologies so we want to see everything the reasoner can do. Go to: Reasoner>Configure. This will bring up a dialog with several check boxes of inferences that the reasoner can perform. If they aren't all checked then check them all. You may receive a warning that some inferences can take a lot of time, but you can ignore those since your ontology will be small.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n## 4.3 Disjoint Classes\n\nHaving added the classes Pizza , PizzaTopping , and PizzaBase to the ontology, we now want to say that these classes are disjoint . I.e., no individual can be an instance of more than one of those classes. In set theory terminology the intersection of these three classes is the empty set: owl:Nothing .\n\n## Exercise 6: Make Pizza, PizzaTopping, and PizzaBase disjoint from each other\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select the class Pizza in the class hierarchy.\n\n\n\n - 2. Find the Disjoint With option in the Description view and select the (+) sign next to it. See the red circle in figure 4.6.\n - 3. This should bring up a dialog with two tabs: Class hierarchy and Expression editor. You want Class hierarchy for now (we will use the expression editor later). This gives you an interface to select a class that is identical to the Class hierarchy view. Use it to navigate to PizzaBase. Hold down the shift key and select PizzaBase and PizzaTopping. Select OK.\n - 4. Do a Reasoner>Synchronize reasoner. Then look at PizzaBase and PizzaTopping . You should see that they each have the appropriate disjoint axioms defined to indicate that each of these classes is disjoint with the other two.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 16, - "page_end": 16, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "To understand what is going on you first need to understand that each SPARQL query consists of two parts. The first part at the beginning consists of several namespace prefixes. These statements consist of the prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that these concepts were described in chapter 7. You may be wondering where all these prefixes came from since you didn't add them to your ontology. The answer is that every OWL ontology comes with a set of namespaces and prefixes that are required to define the ontology.\n\nAlso, to understand SPARQL you need to 'peak under the hood' of OWL. So far, we have been discussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any language or database there is a lower level that describes how the concepts are mapped to actual data. In a relational database the fundamental construct to represent data is a table. In OWL the fundamental construct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF (Resource Description Framework) is a language to describe graphs (in the mathematical sense of the term). I.e., to describe nodes and links.\n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in what is called an undirected or network graph because objects can be subjects and vice versa. Whenever you define a property in OWL you are defining a predicate. An individual can be a subject or an object (or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1 . In this example Customer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object.\n\nHowever, classes and properties themselves are also represented as triples. So for example, when you create the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to the ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class . Similarly when you add NamedPizza as a subclass of Pizza , Protégé adds the triple: NamedPizza rdfs: s ubClassOf Pizza .\n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities that are the subjects of triples where the predicate is rdfs: s ubClassOf and the object is any other entity. The ? before a name indicates that the name is a wildcard that can match anything that fits with the rest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate or even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this case our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the name of a class while in others it is a class expression with an orange circle in front of it. This is because when defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL axioms.\n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query determines what to match in the query. If you want to display everything matched in the WHERE clause you can just use a * for the SELECT clause. The initial default query in this tab is set up with no knowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes regardless of the ontology. To get information about Pizzas the first thing we need to do is to add another prefix to the beginning of the query. In our case the Pizza ontology has been set up with a mapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab discussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement:\n\n## PREFIX pizza: ", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "\n\nFigure 4.10 The New PizzaTopping Class Hierarchy\n\n\n\nSo far, we have created some simple named classes and subclasses which hopefully seem intuitive and obvious. However, what does it actually mean to be a subclass of something in OWL? For example, what does it mean for VegetableTopping to be a subclass of PizzaTopping ? In OWL subclass means necessary implication . I.e., if VegetableTopping is a subclass of PizzaTopping then all instances of VegetableTopping are also instances of PizzaTopping . It is for this reason that we try to have standards such as having all PizzaTopping classes end with the word ' Topping ' . Otherwise, it might seem we are saying that anything that is a kind of Ham like the Ham in your sandwich is a kind of MeatTopping or PizzaTopping which is not what we mean. For large ontologies strict attention to the naming of classes and other entities can prevent potential confusion and bugs.", - "page_start": 21, - "page_end": 21, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf", - "query": "When to use an enumerated class in OWL ontologies ?", - "target_page": 46, - "target_passage": "When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "\n\nSee discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nPreprint · April 2021\n\nCITATIONS\n\n0\n\n## 1 author:\n\n\n\nREADS 36,030", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Figure 4.23 The Reasoner Inferred that Margherita and Soho Pizzas are subclasses of VegetarianPizza\n\n\n\n## 4.14 Defining an Enumerated Class\n\nA powerful tool in the object-oriented programming (OOP) community is the concept of design patterns. The idea of a design pattern is to capture a reusable model that is at a higher level of abstraction than a specific code library. One of the first and most common design patterns was the Model-View-Controller pattern first used in Smalltalk and now almost the default standard for good user interface design. Since there are significant differences between OWL and standard OOP the many excellent books on OOP design patterns don't directly translate into OWL design patterns. Also, since the use of OWL is more recent than OOP there does not yet exist the excellent documentation of OWL patterns that the OOP community has. However, there are already many design patterns that have been documented for OWL and that can provide users with ways to save time and to standardize their designs according to best practices.\n\nOne of the most common OWL design patterns is an enumerated class. When a property has only a few possible values it can be useful to create a class to represent those values and to explicitly define the class by listing each possible value. We will show an example of such an enumerated class by creating a new", - "page_start": 44, - "page_end": 44, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 6 Adding Order to an Enumerated Class\n\nIn this chapter we will expand on the enumerated class that we created to model spiciness in chapter 4.14. This chapter will highlight some of the power of object properties in OWL. We are going to create an ordering for the instances of Spiciness . I.e., Hot isSpicierThan Medium which isSpicierThan Mild . To start go to the Object properties tab. Create a new property that is a sub-property of owl:topObjectProperty. Call this property isSpicierThan. Make its domain and range the Spiciness class. Make the property transitive. Transitive means that if X isSpicierThan Y and Y isSpicierThan Z then X isSpicierThan Z. This is of course similar to the greater than and less than relations in math. Create another property called isMilderThan. Make one property the inverse of the other. It doesn't matter which one, you only have to specify that one property is the inverse of another, and the reasoner will realize that both are inverses. Run the reasoner. You will see that the reasoner has inferred the domain and range for isMilderThan than as well as the fact that it is transitive and the inverse of isSpicierThan .\n\nFigure 6.1 Setting isSpicierThan property in the Individuals by class tab\n\n", - "page_start": 58, - "page_end": 58, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n## 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see:\n\nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n## 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this . The term used for any such construct in Protégé and in this document is an Entity . Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 9 Queries: Description Logic and SPARQL\n\nNow that we have some individuals in our ontology, we can do some interesting queries. There are several tools for doing queries in Protégé.\n\n## 9.1 Description Logic Queries\n\nTo start with the most straight forward one based on what you have already learned are Description Logic (DL) queries. These are essentially the same kind of statements you have been using to define classes. However, in addition to using such statements to define a class you can use it as a query.\n\n## Exercise 33: Try Some Description Logic Queries\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. To begin with navigate to the DL Query tab. If it doesn't exist create it using: Window>Tabs>DL Query.\n - 2. At the top right of this tab you should see a view that says DL query: and below it Query (class expression).\n - 3 You can enter any DL statement you want in this box and then see all the entities that are subclasses, superclasses, and instances of it. As an example, enter: Customer and purchasedPizza some (hasTopping some (hasSpiciness value Hot)). I.e., all Customers who have purchased a Pizza that hasSpiciness Hot . At first you may not see anything but don't worry there is one more step.\n - 4. Look at the check boxes on the right under Query for. Check Superclasses, Subclasses (although it should already be checked by default) and Instances. Now your UI should look like figure 9.1. You may notice that owl:Nothing shows up as a subclass. Don't worry that is actually expected. Remember that owl:Nothing is the empty set and the empty set is a subset of every set (including itself) so just as owl:Thing is a superclass of every class owl:Nothing is a subclass of every class. If you don't want to see owl:Nothing you can uncheck the box toward the bottom right that says Display owl:Nothing.\n - 5. Try some additional DL queries such as: hasTopping some (hasSpiciness value Hot) and VegetarianPizza and (hasTopping some (hasSpiciness some (isMilderThan value Hot))). Note that with this last query you are taking advantage of the transitive order you defined for the instances of the Spiciness class in chapter 6.\n - 6. You can also do queries for strings in the names of your entities. For example, first do a query simply with Pizza in the query window. Then type in Hot in the Name contains field. This should give you all the classes and individuals with Hot in their name.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 66, - "page_end": 66, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "\n\nThere are no mandatory naming conventions for OWL entities. In chapter 7, we will discuss names and labels in more detail. A best practice is to select one set of naming conventions and then abide by that convention across your organization. For this tutorial we will follow the standard where class and individual names start with a capital letter for each word and do not contain spaces. This is known as CamelBack notation. For example: Pizza , PizzaTopping , etc. Also, we will follow the standard that class names are always singular rather than plural. E.g., Pizza rather than Pizzas, PizzaTopping rather than PizzaToppings .\n\n## 4.2 Using a Reasoner\n\nYou may notice that one or more of your classes is highlighted in red as in Figure 4.5. This is because we haven't run the reasoner yet so Protégé has not been able to verify that our new classes have no inconsistencies. When just creating classes and subclasses in a new ontology there is little chance of an inconsistency. However, it is a good idea to run the reasoner often. When there is an inconsistency the sooner it is discovered the easier it is to fix. One common mistake that new users make is to do a lot of development and then run the reasoner only to find that there are multiple inconsistencies which can make debugging significantly more difficult. So let's get into the good habit of running the reasoner often. Protégé comes with some reasoners bundled in and others available as plugins. Since we are going to write some SWRL rules later in the tutorial, we want to use the Pellet reasoner. It has the best support for SWRL at the time this tutorial is being written.\n\n## Exercise 5: Install and Run the Pellet Reasoner\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Check to see if the Pellet reasoner is installed. Click on the Reasoner menu. At the bottom of the menu there will be a list of the installed reasoners such as Hermit and possibly Pellet. If Pellet is visible in that menu then select it and skip to step 3.\n - 2. If Pellet is not visible then do File>Check for plugins and select Pellet from the list of available plugins and then select Install. This will install Pellet and you should get a message that says it will take effect the next time you start Protégé. Do a File>Save to save your work then quit Protégé and restart it. Then go to File>Open recent. You should see your saved Pizza tutorial in the list of recent ontologies. Select it to load it. Now you should see Pellet under the Reasoner menu and be able to select it so do so.\n - 3. With Pellet selected in the Reasoner menu execute the command Reasoner>Start reasoner. The reasoner should run very quickly since the ontology is so simple. You will notice that the little text message in the lower right corner of the Protégé window has changed to now say Reasoner active. The next time you make a change to the ontology that text will change to say: Reasoner state out of sync with active ontology. With small ontologies the reasoner runs very quickly, and it is a good idea to get into the habit of running it often, as much as after every change.\n - 4. It is possible that one or more of your classes will still be highlighted in red after you run the reasoner. If that happens do: Window>Refresh user interface and any red highlights should go away. Whenever your user interface seems to show something you don't expect the first thing to do is to try this command.", - "page_start": 15, - "page_end": 15, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## A Practical Guide to Building OWL Ontologies\n\n## Using Protégé 5.5 and Plugins\n\nEdition 3.0\n\n## 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "provide a language that is called Description Logic or DL for short. One of the key features of DL is that these superclass-subclass relationships (aka subsumption relationships) can be computed automatically by a reasoner - more on this later. Figure 3.3 shows a representation of some classes containing individuals classes are represented as ovals, like sets in Venn diagrams.\n\nIn OWL classes can be built up of descriptions that specify the conditions that must be satisfied by an individual for it to be a member of the class. How to formulate these descriptions will be explained as the tutorial progresses.", - "page_start": 9, - "page_end": 9, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 4 Building an OWL Ontology\n\nThis chapter describes how to create an ontology of Pizzas. We use Pizzas because it is something almost everyone is familiar with.\n\n## Exercise 1: Create a new OWL Ontology\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n- 1. Start Protégé. When Protégé opens for the first time each day it puts up a screen of all the available plugins. You can also bring this up at any time by using File>Check for plugins. You won't need any plugins at this point of the tutorial so just click the Not now button.\n- 2. The Protégé user-interface consists of several tabs such as Active ontology, Entities, etc. When you start Protégé you should be in the Active Ontology tab. This is for overview information about the entire ontology. Protégé always opens with a new untitled ontology you can start with. Your ontology should have an IRI something like: http://www.semanticweb.org/yourname/ontologies/2020/4/untitled-ontology27 Edit the name of the ontology (the part after the last '/' in this case untitled-ontology-27) and change it to something like PizzaTutorial. Note: the Pizza ontology IRIs shown below (e.g., figure 4.3) show the IRI after I edited the default that Protégé generated for me. Your IRI will look different and will be based on your name or the name of your organization.\n- 3. Now you want to save your new ontology. Select File>Save. This should bring up a window that says: Choose a format to use when saving the 'PizzaTutorial' ontology. There is a drop down menu of formats to use. The default RDF/XML Syntax should be selected by clicking the OK button. This should bring up the standard dialog your operating system uses for saving files. Navigate to the folder you want to use and then type in the file name, something like Pizza Tutorial and select Save.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n\n\nAs with any file you work on it is a good idea to save your work at regular intervals so that if something goes wrong you don ' t lose your work. At certain points in the tutorial where saving is especially important the tutorial will prompt you to do so but it is a good idea to save your work often, not just when prompted.\n\nThe next step is to set some preferences related to the names of new entities. Remember than in Protégé any class, individual, object property, data property, annotation property, or rule is referred to as an entity. The term name in OWL can actually refer to two different concepts. It can be the last part of the IRI 3 or it can refer to the annotation property (usually rdfs:label ) used to provide a more user friendly name for the entity. We will discuss this in more detail below in chapter 7. For now, we just want to set the parameters correctly so that future parts of the tutorial (especially the section on SPARQL queries) will work appropriately.", - "page_start": 10, - "page_end": 10, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| 4.14 Defining an Enumerated Class ........................................................................................................ 44 |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 4.15 Adding Spiciness as a Property ....................................................................................................... 45 |\n| 4.16 Cardinality Restrictions .................................................................................................................. 46 |\n| Chapter 5 Datatype Properties .................................................................................................................... 48 |\n| 5.1 Defining a Data Property .................................................................................................................. 48 |\n| 5.2 Customizing the Protégé User Interface ........................................................................................... 50 |\n| Chapter 6 Adding Order to an Enumerated Class ....................................................................................... 58 |\n| Chapter 7 Names: IRI's, Labels, and Namespaces ..................................................................................... 60 |\n| Chapter 8 A Larger Ontology with some Individuals ................................................................................. 62 |\n| 8.1 Get Familiar with the Larger Ontology ............................................................................................. 63 |\n| Chapter 9 Queries: Description Logic and SPARQL ................................................................................. 66 |\n| 9.1 Description Logic Queries ................................................................................................................ 66 |\n| 9.2 SPARQL Queries .............................................................................................................................. 67 |\n| 9.21 Some SPARQL Pizza Queries ........................................................................................................ 67 |\n| 9.22 SPARQL and IRI Names ................................................................................................................ 70 |\n| Chapter 10 SWRL and SQWRL ................................................................................................................. 72 |\n| Chapter 11 SHACL ..................................................................................................................................... 76 |\n| 11.1 OWA and Monotonic Reasoning .................................................................................................... 76 |\n| 11.2 The Real World is Messy ................................................................................................................ 76 |\n| 11.3 Basic SHACL Concepts .................................................................................................................. 77 |\n| 11.4 The Protégé SHACL Plug-In .......................................................................................................... 77 |\n| Chapter 12 Web Protégé ............................................................................................................................. 83 |\n| Chapter 13 Conclusion: Some Personal Thoughts and Opinions ............................................................... 88 |", - "page_start": 3, - "page_end": 3, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Howcan I specify to Content Manager OnDemand to store the data on the server on which the program runs ?", - "target_page": 121, - "target_passage": "Local: Content Manager OnDemand stores data in a primary storage node on the server on which the data loading program runs", - "chunk_present": { - "presence": true, - "index": 9 - } - }, - "top_chunk": [ - { - "text": "- /SM590000 If the data source is on a remote system, you can load the data into Content Manager OnDemand on the remote system and directly store the export data to the specified Content Manager OnDemand library and object server.\n - Or, if the data source is on a remote system, you also can upload the data to the specified Content Manager OnDemand server through FTP and then load the data on the selected Content Manager OnDemand system.", - "page_start": 326, - "page_end": 326, - "source_file": "sg246915.pdf" - }, - { - "text": "## 10.2.3 Storing the resource data\n\nIf data caching is enabled, Content Manager OnDemand stores resources in the cache. Two locations on the Storage Management tab affect how resources are stored:\n\n - /SM590000 Resource Data\n - /SM590000 Document Data", - "page_start": 247, - "page_end": 247, - "source_file": "sg246915.pdf" - }, - { - "text": "For the configuration of Content Manager OnDemand repositories, you need the following parameters:", - "page_start": 219, - "page_end": 219, - "source_file": "sg246915.pdf" - }, - { - "text": "To configure Content Manager OnDemand on the object servers, complete the following steps:\n\n - 1. Create a group and user for the Content Manager OnDemand instance owner.\n - 2. Give ownership of the cache storage file systems that are listed in the ARS.CACHE file to the group and user for the Content Manager OnDemand instance owner.", - "page_start": 42, - "page_end": 42, - "source_file": "sg246915.pdf" - }, - { - "text": "For more information about ARSJESD, see the IBM Content Manager OnDemand for Multiplatforms Administration Guide, SC19-3352.\n\n - /SM590000 Run the indexing and load program on the remote system. In this case, the load program sends the documents and indexes to the Content Manager OnDemand System through the TCP/IP network. To run the index and load programs on the remote system, you must copy the appropriate Content Manager OnDemand product code to that system.\n\nYou can choose to use either or both of these methods for your remote data loading.\n\n## 7.1.2 Understanding input data types\n\nIt is important to know the data type of the documents that you load into Content Manager OnDemand. By data types , we mean document formats, such as Line Data, SCS, AFP, or PDF. In addition to knowing the data type, if you are loading line data, it has the following characteristics:", - "page_start": 186, - "page_end": 186, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Content Manager OnDemand server hangs or crashes", - "page_start": 413, - "page_end": 413, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Each Content Manager OnDemand server has its own set of configuration files.\n - /SM590000 The parameters in all configuration files must be set so that all of the servers are part of the same instance.\n - /SM590000 The Content Manager OnDemand clients connect to the IP address listening port of the Content Manager OnDemand server (library server module).", - "page_start": 314, - "page_end": 314, - "source_file": "sg246915.pdf" - }, - { - "text": "Content Manager OnDemand servers manage control information and index data, store and retrieve documents and resource group files, and process query requests from Content Manager OnDemand Client programs. The documents can be on disk and tape storage volumes. New reports can be loaded into Content Manager OnDemand every day. This way, Content Manager OnDemand can retrieve the latest information that is generated by application programs.\n\nWhen a user submits a query, the client program sends a search request to the Content Manager OnDemand library server. The library server returns a list of the documents that match the query to the user. When the user selects a document for viewing, the client program retrieves a copy of the document from the object server where the document is stored, opens a viewing window, and displays the document.\n\nFull text search allows users to search the full content of stored documents. For example, users can perform wildcard searches, fuzzy (or similar) searches, proximity searches, and boolean searches.\n\nDocuments or reports can also be automatically distributed to users through email or network printers. The distributions can be scheduled to occur at the time that the data is loaded or at specific times during the day.\n\n## 1.2 Content Manager OnDemand concepts\n\nIn this section, we examine basic concepts of Content Manager OnDemand:\n\n - /SM590000 Report and document\n - /SM590000 Application, application group, folder, and cabinet\n\n## 1.2.1 Background information of an example company\n\nAs we examine these concepts, we use an example company. Our fictitious company is called AFinancial Co. AFinancial Co is one of the largest custodians of financial transactions in the world. It is one of the leaders in managing customer assets, providing financial services and foreign exchange services. It is also one of the leading credit card providers in the world.\n\nThe timely delivery of information and reports is fundamental to maintaining this leadership status. Products and services that provide real-time, online access to a customer's account and fund information are key to competitive differentiation and are key to customer retention. AFinancial Co's customers want personalized fund information, in various standard formats, which are delivered through both web and desktop interfaces.\n\n## 1.2.2 Reports and documents\n\nA report is one or more pages of data that is typically generated on a periodic basis by a computer software system. Content Manager OnDemand documents represent indexed groups of pages from a report. A Content Manager OnDemand document can be a logical section of a large report, such as an individual account statement within a report of thousands of statements. A Content Manager OnDemand document can also represent a physical portion of a large report. For example, if a large report does not contain logical groups of pages, such as transaction logs, Content Manager OnDemand can divide the report into groups of pages. The groups of pages are individually indexed and can be retrieved much more efficiently than the entire report.", - "page_start": 29, - "page_end": 29, - "source_file": "sg246915.pdf" - }, - { - "text": "XML steeliest (resource) archiving is critical. Content Manager OnDemand optimizes the storage of XML data by storing only a single version of a resource and then associating it with all of the archived documents. Document resources can be automatically collected and managed.", - "page_start": 205, - "page_end": 205, - "source_file": "sg246915.pdf" - }, - { - "text": "The Content Manager OnDemand administrator defines and maintains storage sets (Figure 5-5). The load type is the storage set parameter that we examine.\n\nFigure 5-5 Storage set definition\n\n\n\n## Load Type parameter\n\nThe Load Type parameter determines where Content Manager OnDemand stores data. Two values are possible (Figure 5-5):\n\n - /SM590000 Fixed: Content Manager OnDemand stores data in the primary storage node that has the load data field selected. When Load Type is set to Fixed , you must select the load data check box for one primary storage node. Content Manager OnDemand loads data to only one primary storage node regardless of the number of primary nodes that are defined in the storage set.\n - /SM590000 Local: Content Manager OnDemand stores data in a primary storage node on the server on which the data loading program runs. When the Load Type is Local , the load data check box must be selected for a primary storage node on each of the object servers that is identified in the storage set. A storage set can contain one or more primary storage nodes that are on one or more object servers.\n\nNext, we examine several parameters on the Add a Primary Node window (Figure 5-6 on page 98).", - "page_start": 120, - "page_end": 120, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Does the XML indexer of Content Manager OnDemand support large objects ?", - "target_page": 188, - "target_passage": "No", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- - The XML Indexer allows the rapid increase in XML archiving mandates that are based on ISO 20022 standards with XML (including SEPA in Europe). The XML Indexer is optimized for high-volume batch archiving of XML, batch PDF, AFP, Line Data, and check images.\n - - The Full Text Indexer provides the capability to index the full text of a document (or report). You can search through an indexed document.\n - /SM590000 Data loading programs can be set up to automatically store report data into application groups and update the database. The data loading programs can run on any Content Manager OnDemand server.\n - /SM590000 Report Distribution Facility provides an easy way to automatically group reports and portions of reports and distribute the reports to multiple users. Distributions can be printed, created as an output file, or emailed as an attachment.\n - /SM590000 Both the archived reports and their resources are stored in the Content Manager OnDemand Archive. The Content Manager OnDemand system manages the stored data throughout its lifetime. It provides authorized users rapid access to the data and allows the data to be converted into different formats for display or print.\n - /SM590000 A server print facility allows users to reprint a large volume of documents at high speed. Print servers, such as Infoprint (on AIX), can be started to manage the server print devices. These print servers are not part of Content Manager OnDemand and must be purchased separately.\n - /SM590000 Content Manager OnDemand management programs maintain the Content Manager OnDemand database and documents in cache storage.\n - /SM590000 A system logging facility provides administrators with tools to monitor server activity and respond to specific events as they occur. The interface to the system logging facility is through the system log folder and the system log user exit.", - "page_start": 35, - "page_end": 35, - "source_file": "sg246915.pdf" - }, - { - "text": "XML steeliest (resource) archiving is critical. Content Manager OnDemand optimizes the storage of XML data by storing only a single version of a resource and then associating it with all of the archived documents. Document resources can be automatically collected and managed.", - "page_start": 205, - "page_end": 205, - "source_file": "sg246915.pdf" - }, - { - "text": "You must consider several factors when you use large object support:\n\n - /SM590000 The report must be indexed with an indexing program that generates a large object by dividing large documents into smaller parts and defining the indexing information that is used to retrieve the documents.\n - /SM590000 The amount of data per page and the number of pages that you divide documents into affects retrieval and viewing response time. The number of bytes per page typically dictates the number of pages that you can divide documents into. In general, the larger the page size in bytes, the smaller the number of pages that you can divide your documents into. For example, if the average page in the document contains 2.5 KB of data, choose 100 - 1000 pages per Large Object (LO) segment; if the average page in the document contains 50 KB of data, choose 1 - 100 pages per LO segment.\n - /SM590000 The capacity of your network and the traffic in the network might determine the number of pages that you need to divide your documents into. Larger document sizes (large byte size even when compressed) require more network bandwidth (or more time if the bandwidth is not available) to transfer from a Content Manager OnDemand server to a client. The number of users that are concurrently accessing Content Manager OnDemand and the sizes of the documents that are being retrieved determine the overall load in the network.\n - /SM590000 Response time requirements. The goal of Content Manager OnDemand large objects is to provide better performance and usability. Large object support clearly provides enhanced usability. However, you must implement large object support so that dividing your documents into parts provides better overall performance than other methods of segmenting the input data.\n\nWhen you choose a large object, Content Manager OnDemand displays the Number of Pages field. Specify the number of pages that you want Content Manager OnDemand to divide documents into in the Number of Pages field.\n\nTo generate large objects, the indexer that is specified on the Indexing Information page must be AFP Conversion and Indexing Facility (ACIF), OS/390, or OS/400. When you select the Large Object check box, Content Manager OnDemand automatically adds the INDEXOBJ=ALL parameter to the indexing parameters (which causes the indexing program to generate the large object indexing information).\n\n## Exporting an application\n\nIt is not possible to export an application to application groups with different database fields or attributes. However, you can export applications to a different server if the application group on the target server is identical to the application group on the source server (the server on which the applications are defined).", - "page_start": 76, - "page_end": 76, - "source_file": "sg246915.pdf" - }, - { - "text": "Because this architecture enables a system to create tables when the maximum table size is reached, no logical limitation exists to the system; rather, the limitation is on the physical resources, such as processing power, disk space, object servers, and storage hardware.\n\n## 4.4 Search sequence\n\nTo better understand the relationship between the various Content Manager OnDemand tables, we describe a search sequence within a Content Manager OnDemand system in this section. A search sequence scans through multiple Content Manager OnDemand tables. We describe the logical flow that the system goes through during a Content Manager OnDemand search.\n\nBy using the Content Manager OnDemand standard Windows client, you can open a search criteria window (see Figure 4-3). In our example, four index fields exist: Name, Account, Statement Date, and Balance. The example shows a search for a specific date and balance amount.\n\nFigure 4-3 Content Manager OnDemand Client search criteria window\n\n\n\nAfter you enter these values, Content Manager OnDemand uses the date information and searches the segment table ARSEG to find the application group data table that contains that date. Content Manager OnDemand then searches the identified table\\_name (in our example HAA1) for the index values (1994-03-07 and 104.18) and finds the matching Statement\\_date and the Balance and returns these values to the client in a search result list.\n\nAny individual document from within this result list can then be retrieved for display on the client. Content Manager OnDemand locates the document in the archive by using the object name, document offset, and length. In the background, the document data is automatically decompressed before it is displayed.\n\nFigure 4-4 on page 85 shows the details of this search sequence from a folder.", - "page_start": 107, - "page_end": 107, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Problem : Content Manager OnDemand indexing fails when only one field is defined for an application group.\n\nReason or resolution : The Content Manager OnDemand file name indexing feature needs at minimum one index and a field value that are defined in the application indexer parameters.\n\nVerify that you are using a file name index with one field that is defined in the application group and no field or indexing parameter defined for the application. If these conditions are true, you must use a field. You can define a dummy literal index and field value in the application indexing parameter as a placeholder. This dummy value is not processed, but it allows the file name to be indexed successfully.\n\n - /SM590000 Problem : Content Manager OnDemand does not break up the PDF file into separate reports when TRIGGERs are defined correctly and indexing is successful. For certain reports, the trigger is not honored and the reports are grouped.\n\nReason or resolution : The field value must change for Content Manager OnDemand to indicate a report break. In Figure 18-2, there are several pages of a document. Page 1 is the TRIGGER, and the name is the field that is placed into the index.\n\n```\nPage 1 John Doe Page 2 John Doe ... ... Page 1 John Doe ... Page 1 John Smith\n```\n\nFigure 18-2 Sample document for indexing\n\nIn this example, because the string Page 2 does not match the TRIGGER, it is ignored, and that page is included in report 1. Moreover, the report does not break until the name John Smith is read because it is different from the name John Doe .", - "page_start": 403, - "page_end": 403, - "source_file": "sg246915.pdf" - }, - { - "text": "\n\nChapter 7.\n\n## Indexing and loading\n\nIn this chapter, we describe the various indexers that are available for IBM Content Manager OnDemand (Content Manager OnDemand).\n\nIn this chapter, we cover the following topics:", - "page_start": 184, - "page_end": 184, - "source_file": "sg246915.pdf" - }, - { - "text": "XML data is loaded into Content Manager OnDemand by using the arsload command. For example, the following statement loads the bamboo.in file and its .res file (if found):\n\narsload -I localhost -u userName -p load.stach -g ci\\_stmts bamboo,in\n\nThe XML indexer uses the 'Generic XML Index File Format' (GXIFF). The GXIFF format is functionally similar to the Generic Index File Format in that it allows the loading of any type of data into Content Manager OnDemand.\n\nFor more information about using the XML indexer, see IBM Content Manager OnDemand Indexing Reference , SC19-3354.\n\n## 7.8 User exits\n\nA user exit is a point during processing where control is handed from the indexer program to a user-written program. After the user-written program finishes, the control is handed back to the indexer program.\n\nThe ACIF indexer and the OS/390 indexer support multiple user exits. The OS/400, PDF, XML, and Generic indexers do not support any user exits.\n\nFor a description of the ACIF user exits in detail, see 11.2, 'ACIF exits' on page 242.\n\nFor a description of the OS/390 indexer user exits, see 11.3, 'OS/390 indexer exits' on page 248.\n\n## 7.9 Additional references\n\nFor more information, see the following IBM developerWorksfi articles:", - "page_start": 206, - "page_end": 206, - "source_file": "sg246915.pdf" - }, - { - "text": "## 7.1 Introduction\n\nBefore documents can be loaded into Content Manager OnDemand, they must be indexed. These indexes can be created during the load process (OS/390 indexer), directly before the load process (Advanced Function Presentation (AFP) Conversion and Indexing Facility (ACIF), OS/400, XML, and Portable Document Format (PDF) indexers), or before the load process (Generic indexer). When the indexes are not created as part of the load process, they are stored in an index file . The index file contains the index values that are associated with the document and 'pointers' to the documents. You cannot load documents into Content Manager OnDemand without index values.\n\nThe index values are text strings that occur in the documents, for example, 'John Doe', or 'Account 1234'. One or more index values identify a unique document in Content Manager OnDemand.\n\nAn indexer extracts the index values and optionally stores them in the index file by examining the documents and copying the index values into the index file according to criteria that are specified by the user. Depending on the indexer that is used, the data and indexes are either directly loaded into Content Management OnDemand or are stored in a set of files that are then read by the load process to store the data to Content Manager OnDemand. The indexer creates the following files:\n\n - /SM590000 Output file (. out file extension), which contains the documents to load\n - /SM590000 Index file (. ind file extension), which contains the index values for the documents\n\nThe indexer might also create a resource file with a .res extension, which contains the resources that are extracted from the documents.\n\nOperationally, the loading process arsload calls the indexer that is specified on the Indexer Information tab for the specified application. Depending on the indexer type, arsload performs one of the following tasks:", - "page_start": 185, - "page_end": 185, - "source_file": "sg246915.pdf" - }, - { - "text": "## Document indexing\n\nDocument indexing is used for reports that contain logical items, such as customer name or number. Each of the items in a report can be individually indexed on values, such as account number, customer name, and balance. Content Manager OnDemand supports up to 128 index values per item. With document indexing, the user is not necessarily required to know about reports or report cycles to retrieve a document from Content Manager OnDemand.\n\n## Report indexing\n\nReport indexing is used for reports that contain many pages of the same type of data, such as a transaction log. Each line in the report usually identifies a specific transaction, and it is not cost-effective to index each line. Content Manager OnDemand stores the report as groups of pages and indexes each group.\n\nWhen reports include a sorted transaction value (for example, transaction date and number), Content Manager OnDemand can index the data on the transaction value. This indexing is done by extracting the beginning and ending transaction values for each group of pages and storing the values in the database. This type of indexing lets users retrieve a specific transaction value directly.\n\n## 1.3 Content Manager OnDemand server and its components\n\nOn IBM z/OSfi and Multiplatforms (MP) systems, the Content Manager OnDemand server can be implemented as a library server and one or more object servers that are on one or more nodes that are connected to a Internet Protocol network. For the Content Manager OnDemand system overview, see Figure 1-1 on page 5.\n\n## 1.3.1 Library server and object server\n\nA Content Manager OnDemand library server maintains two sets of database tables:\n\n - /SM590000 The first set of database tables contains indexes about the reports that are stored in the Content Manager OnDemand Archive.\n - /SM590000 The second set of database tables contains information about the objects that are defined to the system, such as users, groups, printers, application groups, applications, folders, cabinets, and storage sets.\n\nThe database manager provides the database engine and utilities to administer the database. The library server processes client logons, queries, and print requests and updates to the database. The major functions that run on the library server are the request manager, the database manager, and the server print manager.\n\nA Content Manager OnDemand object server maintains documents on cache storage volumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM on z/OS systems, or ASM on IBM i systems, allow hierarchical storage management techniques to be applied to the stored documents. An object server loads data, retrieves documents, and expires documents. The major functions that run on an object server are the cache storage manager, data loading and maintenance programs, and optionally, the ASM.\n\nThe basic Content Manager OnDemand configuration is a library server and an object server on the same physical system or node. This single library or object server configuration supports the database functions and cache storage on one system. You can add an ASM to the single library or object server configuration to maintain documents on archive media.", - "page_start": 33, - "page_end": 33, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Introduction to Content Manager OnDemand Distribution Facility\n - /SM590000 Defining the objects with the Administrator Client", - "page_start": 338, - "page_end": 338, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "sg246915.pdf", - "query": "Considering storage efficiency, should I store my AFP documents as PDF to distribute them over the web ?", - "target_page": 232, - "target_passage": "If a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval tim", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 9.1.2 When to convert data streams\n\nThe decision of when to convert data streams relies mainly on the use of the system. Typically, converting data at load time requires more time to process the print stream file, and converting data at retrieval time causes the user retrieval to be a little slower. The decision might depend on how many documents are retrieved, compared to how many documents are loaded daily. It might also depend on legal requirements about the format of stored data.\n\n## AFP to PDF\n\nIf a requirement exists to present AFP documents in the Portable Document Format (PDF) format over the web, from a storage perspective, it is more efficient to store the documents in their native format and then convert them to PDF at retrieval time. AFP documents are stored more efficiently than PDF documents.\n\nThe PDF print stream, when it is divided into separate customer statements, is larger than AFP because each statement contains its own set of structures that are required by the PDF architecture to define a document.\n\nElapsed time and processor time are also essential factors in the decision-making process. The amount of time (elapsed and CPU) that is needed to convert the document depends on how large the document is and how many resources or fonts are associated with the document.", - "page_start": 231, - "page_end": 231, - "source_file": "sg246915.pdf" - }, - { - "text": "- - Resource collection for AFP and Portable Document Format (PDF).\n - - Document compressibility, which is a function of document data complexity and data type. Text (such as Line Data or SCS) is typically more compressible than AFP, which is typically more compressible than PDF.", - "page_start": 325, - "page_end": 325, - "source_file": "sg246915.pdf" - }, - { - "text": "On Multiplatforms and z/OS, you can aggregate documents that are loaded from Content Manager OnDemand Web Enablement Kit (ODWEK) before you store them in the archive. The document is stored to cache where it is appended to the storage object until the object reaches 10 MB (defined storage object size), at which point it is migrated to a storage manager, such as Tivoli Storage Manager. For more information about this topic, see the following website:\n\nhttp://www.ibm.com/support/docview.wss?uid=swg21587507", - "page_start": 310, - "page_end": 310, - "source_file": "sg246915.pdf" - }, - { - "text": "- - The AFP plug-in is the best choice, because it is almost identical to the client. However, it does not support annotations.\n - The only viewers that use this functionality are the line data applet, the AFP plug-in viewer, and the Content Manager OnDemand Windows client.\n - - AFP to PDF is a choice that does not require a plug-in rollout at the users' computers if the Acrobat plug-in is installed on their workstations. Font mappings must be configured at a central location. The additional workload on a rendering system and additional license costs must be considered. Large reports might not be able to be rendered or viewed.", - "page_start": 212, - "page_end": 212, - "source_file": "sg246915.pdf" - }, - { - "text": "From a performance perspective, the use of the transaction data field for transaction-style line data optimizes indexing performance by reducing the number of index values to be inserted into the database. Therefore, the process of loading and retrieving these large reports is faster and the Content Manager OnDemand database is many times smaller.\n\n## 13.4.3 AFP data\n\nAFP data is a multi-part data type. In addition to the variable data, external resources, such as images, fonts, and logos, are also referenced by the AFP data stream. When Content Manager OnDemand stores AFP data, the resources are also archived. When the data is viewed, the referenced resources are displayed.\n\nIt is a common misconception that if fonts are collected when the data is loaded, they are available for viewing in the Windows client. However, Windows does not recognize AFP fonts. It is not possible to use these fonts even if they are sent to the client as part of the resource. Windows clients require a mapping from AFP fonts to Adobe Type Manager (ATM) fonts or TrueType (TT) fonts. Content Manager OnDemand provides this mapping for most standard fonts. For more information about mapping custom fonts, see IBM Content Manager Windows Client Customization Guide and Reference , SC27-0837.\n\nOne possibly useful implementation of storing fonts with the resource group is when server reprint is necessary. If the fonts are stored with the resource group, they can be retrieved from Content Manager OnDemand and used by AFP printers. However, if fonts are collected, they are also sent to the client as part of the resources group and then discarded. Storing the fonts with the resource group serves only to increase network traffic when transferring the resource to the workstation. A more practical option for server printing is to store the font in a fontlib and to keep only the reference (path) to the fontlib . Although the font is accessible on the server, Print Services Facility (PSF) or InfoPrint does not need the font to be inline (stored in the resource group). The use of this approach also allows all AFP data that references the font to use the single instance of the font without redundant inline storage.\n\nFigure 13-5 on page 311 shows the indexer information in the application where you can select the resources to collect with the Restype= parameter. Unless reprints to AFP printers with 100% fidelity is a requirement, do not collect the fonts.", - "page_start": 333, - "page_end": 333, - "source_file": "sg246915.pdf" - }, - { - "text": "Example 7-4 shows a portion of the arsafpd output of a fully composed AFP file in the correct format to load into Content Manager OnDemand.\n\nExample 7-4 Portion of the arsafpd output of a fully composed AFP file\n\n```\n1 BDT Begin Document 2 BNG Begin Named Page Group 00000001 3 TLE Tag Logical Element 4 TLE Tag Logical Element 5 TLE Tag Logical Element 6 TLE Tag Logical Element 7 IMM Invoke Medium Map ABBB 8 BPG Begin Page 00000001 9 BAG Begin Active Environment Group 10 MCF2 Map Coded Font2 11 NOP No Operation 12 PGD Page Descriptor 13 PTD2 Presentation Text Desc2\n```", - "page_start": 201, - "page_end": 201, - "source_file": "sg246915.pdf" - }, - { - "text": "Another benefit to using ODF is that you can select and combine documents from different reports and organize them by defining their order and separating them by using banner pages.\n\nFigure 14-2 is an overview of the OnDemand Distribution Facility and its interaction with the Content Manager OnDemand server.\n\nFigure 14-2 Content Manager OnDemand Distribution Facility overview\n\n\n\nFigure 14-2 shows that the Content Manager OnDemand server and its operation did not change. Reports and documents are loaded into the server, and system users continue to view and print their documents normally. The only addition to the library server is a set of ODF tables that define the documents that are to be distributed to which users and when. The ODF process reads the ODF tables and collects the required documents and bundles them for each recipient. ODF then send out the 'bundles' to the appropriate destinations (email, file, and print). Alternatively, ODF can send each recipient (based on system definitions) an email notification that the report and document were loaded and are available for viewing.\n\nDifferent organizations have different report and document load and retrieval patterns. In certain cases, documents are loaded and never retrieved. In other cases, a loaded document is retrieved multiple times by multiple users. In other cases, it is known that when a specific report or document is loaded, one or more copies must be distributed to one or more destinations. What benefit does automating this distribution process provide?\n\nThe biggest benefit is that as reports are loaded into Content Manager OnDemand regularly, they can be delivered automatically to one or more users as they are loaded. Also, after the distribution is set up, no other changes are required, such as changing the document selection criteria to identify the latest data that is loaded.\n\nFor example, suppose that your organization generates monthly statements for your customers. You must store these documents in Content Manager OnDemand, and you must print the statements and mail them to the customers. With ODF, you can set up a distribution that automatically retrieves these documents as they are loaded into Content Manager OnDemand and sends them to a spool file for printing.", - "page_start": 340, - "page_end": 340, - "source_file": "sg246915.pdf" - }, - { - "text": "| 7.3 Performance considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166 |\n| 7.3.2 Reducing output file size with PDF documents. . . . . . . . . . . . . . . . . . . . . . . . . . 167 |\n| 7.3.3 PDF indexing: Using PDF metadata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 168 |\n| 7.3.4 PDF indexing: Using the report wizard (graphical indexer). . . . . . . . . . . . . . . . . 168 |\n| 7.3.5 PDF indexing: Using internal indexes (Page Piece Dictionary) . . . . . . . . . . . . . 173 |\n| 7.4 Getting started with ACIF indexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173 |\n| 7.4.1 Understanding the input data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175 |\n| 7.4.2 The index file. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 177 |\n| 7.5 OS/390 indexer on z/OS and AIX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 179 |\n| 7.6 OS/400 indexer on Content Manager OnDemand on IBM i . . . . . . . . . . . . . . . . . . . . 180 |\n| 7.7 Getting started with XML Indexing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182 |\n| 7.8 User exits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 |\n| 7.9 Additional references . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183 |\n| Chapter 8. User clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 185 |\n| 8.1 Choosing the correct client for your implementation . . . . . . . . . . . . . . . . . . . . . . . . . . 186 |\n| 8.1.1 Viewer options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186 |\n| 8.1.2 Client infrastructure options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190 |\n| 8.1.3 Client compatibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 191 |\n| 8.2 Content Manager OnDemand Client options . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193 |\n| 8.2.2 Content Manager OnDemand Windows client . . . . . . . . . . . . . . . . . . . . . . . . . . 197 |\n| 8.2.3 CICS Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199 |", - "page_start": 6, - "page_end": 6, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 For IBM i, depending on your retrieval patterns and system hardware configuration, it might be advantageous to not store a duplicate set of documents in the Content Manager OnDemand cache when you use ASM because ASM might already be using disk space. If the application group uses ASM, caches the data, and specifies the migration of data at load time, two copies of the data are stored during the load. One copy is stored in cache, and one copy is stored in the ASMREQUEST directory.\n - To avoid storing a duplicate set of documents in cache for non-AFP data, change Cache Data to No on the Storage Management tab of your application group definition. To avoid storing a duplicate set of documents in cache for AFP data, you might change Document Data to No Cache but leave Resource Data in cache for faster retrieval.\n - /SM590000 For IBM i, every user that loads data must have a home directory. If users do not have a home directory, the temporary files are stored in the root directory of the integrated file system (IFS).", - "page_start": 326, - "page_end": 326, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Transforms, such as the Ricoh AFP2PDF or other vendor-provided transforms, result in a PDF document that is viewed in the Acrobat viewer. Although this viewer is deployed on most user PCs, the rendering consumes processing power on the mid-tier system. Also, large documents cannot be rendered into PDFs. Because the PDF is displayed by an external application, it cannot communicate with the Content Manager OnDemand server like the line data applet.", - "page_start": 211, - "page_end": 211, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200438_en.pdf", - "query": "Where can I consult a summary of the impact of the International tax compliance regulations ?", - "target_page": 3, - "target_passage": "A Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-the- uks-automatic-exchange-of-information-agreements", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 438\n\n## TAXES\n\n## The International Tax Compliance (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n20th April 2020\n\nLaid before the House of Commons\n\n21st April 2020\n\nComing into force\n\n- -\n\n13th May 2020\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the Finance Act 2013( a ):\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the International Tax Compliance (Amendment) Regulations 2020 and come into force on 13th May 2020.\n\n## Amendments to the International Tax Compliance Regulations 2015\n\n- 2. -(1) The International Tax Compliance Regulations 2015( b ) are amended as follows.\n- (2) In regulation 1(3)(b)(i), for '16th May 2019' substitute '19th April 2020'( c ).\n- (3) In regulation 3(4A)(a), at the beginning insert 'subject to regulation 24(3)'.\n- (4) In regulation 24-\n- (a) in the table in paragraph (2), in the column headed 'the CRS'-\n- (i) at the beginning of the entry for 'new account' insert 'subject to paragraph (3)', and\n- (ii) at the beginning of the entry for 'pre-existing account' insert 'subject to regulation 3(4A)(a) and paragraph (3)', and\n- (b) after paragraph (2) insert-\n- '(3) In respect of the accounts listed in paragraph (4)-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "accounts so that these terms are defined by reference to the date that those accounts ceased to be excluded accounts. Regulation 2(3) and (4)(a) make consequential amendments.\n\nRegulation 3 makes a transitional provision for the calendar year 2020 in relation to accounts which were previously excluded accounts.\n\nA Tax Information and Impact Note covering the International Tax Compliance Regulations 2015 was published on 18th March 2015 and is available on the HMRC website at https://www.gov.uk/government/publications/tax-administration-regulations-to-implement-theuks-automatic-exchange-of-information-agreements. It remains an accurate summary of the impacts that apply to this instrument.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200438_en.pdf" - }, - { - "text": "retrospectively. We are assessing the impact of this amendment on our consolidated financial statements.\n\n - GLYPH<129> IFRIC 21, Levies (IFRIC 21) - In May 2013, the IASB issued a new accounting guidance IFRIC 21, which provides guidance on when to recognize a liability for a levy imposed by a government, both for levies that are accounted for in accordance with IAS 37 Provisions, Contingent Liabilities and Contingent Assets and those where the timing and amount of the levy is certain. The Interpretation identifies the obligating event for the recognition of a liability as the activity that triggers the payment of the levy in accordance with the relevant legislation. It provides the following guidance on recognition of a liability to pay levies (i) the liability is recognized progressively if the obligating event occurs over a period of time, and (ii) if an obligation is triggered on reaching a minimum threshold, the liability is recognized when that minimum threshold is reached. The standard is effective for annual periods beginning on or after January 1, 2014, with early adoption permitted. We are assessing the impact of this new standard on our consolidated financial statements.\n - GLYPH<129> IFRS 9, Financial Instruments (IFRS 9) In October 2010, the IASB issued IFRS 9, which replaces IAS 39, Financial Instruments: Recognition and Measurement, establishes principles for the financial reporting of financial assets and financial liabilities that will present relevant and useful information to users of financial statements for their assessment of the amounts, timing and uncertainty of an entity's future cash flows. This new standard also includes a new general hedge accounting standard which will align hedge accounting more closely with risk management. It does not fundamentally change the types of hedging relationships or the requirement to measure and recognize ineffectiveness, however it will provide more hedging strategies that are used for risk management to qualify for hedge accounting and introduce more judgment to assess the effectiveness of a hedging relationship. The mandatory effective date of IFRS 9 has not yet been communicated by the IASB. We are assessing the impact of this new standard on its consolidated financial statements.\n\n## KEY PERFORMANCE INDICATORS\n\nWe measure the success of our strategy using a number of key performance indicators, which are outlined below. We believe these key performance indicators allow us to appropriately measure our performance against our operating strategy as well as against the results of our peers and competitors. The following key performance indicators are not measurements in accordance with IFRS and should not be considered as an alternative to net income or any other measure of performance under IFRS.\n\n## S ubscriber Counts", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- 318 Eurofound and the ILO have jointly produced a pilot report on worldwide working conditions to achieve a better evidence base for actions and policies, see: Eurofound & ILO, 2019: Working conditions in a global perspective\n - 319 See: https://www.globalreporting.org/ or UN-PRI (UN Principles of responsible investment) https://www.unpri.org/\n - 320 United Nations, Global Compact, here\n - 321 European Commission: Corporate sustainability due diligence\n - 322 Regulation (EU) 2017/821 of the European Parliament and of the Council of 17 May 2017 laying down supply chain due diligence obligations for Union importers of tin, tantalum and tungsten, their ores, and gold originating from conflict-affected and high-risk areas, here\n - 323 Centennial Declaration of the International Commission on Occupational Health, ICOH\n - 324 ILO: Monitoring Compliance with International Labour Standards The key role of the ILO Committee of Experts on the Application of Conventions and Recommendations, here\n - 325 ILO: Conventions and Recommendations\n - 326 ILO : Convention C-155", - "page_start": 152, - "page_end": 152, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "The tax effect of temporary diff e rences and carry forw a rds that give rise to deferred tax assets and liabilities are as follows:\n\n| | December 31, | December 31, |\n|------------------------------------------------|-----------------|-----------------|\n| | 2 0 0 0 | 1 9 9 9 |\n| | (in thousands) | (in thousands) |\n| D e f e rred tax assets: | | |\n| F o reign tax loss carry forw a rd s | $ 1 4 , 3 2 5. | $ 1 1 , 5 26 . |\n| Stock compensation expense | 1 , 1 3 0. | 1 , 1 30. |\n| U n realized exchange rate diff e re n c e s | 4 , 6 1 4. | 2 , 5 59. |\n| I n t e rest expense | 7 , 1 6 4. | 4 , 3 27. |\n| A c c rued expenses | 1 , 5 4 8. | 2 , 9 36. |\n| Billings in excess of earn i n g s | 1 , 1 0 8. | 1 , 0 36. |\n| O t h e r | 2 , 1 4 5. | 16. |\n| Total deferred tax assets | 3 2 , 0 3 4. | 2 3 , 5 30 . |\n| Valuation allowance | ( 3 0 , 6 8 9 ) | ( 1 9 , 7 4 1 ) |\n| Total deferred tax assets | 1 , 3 4 5. | 3 , 7 89. |\n| D e f e rred tax liabilities: | | |\n| P ro p e rty and equipment | 2 6. | 6 60. |\n| Non-goodwill intangible assets | -. | 2 , 3 33. |\n| Capitalized re s e a rch and development costs | 5 1 5. | 1 09. |\n| E a rnings in excess of billings | 3 8 0. | 2 27. |\n| Total deferred tax liabilities | 9 2 1. | 3 , 3 29. |\n| Net deferred tax assets | $ 4 2 4. | $ 4 60. |\n\nThe valuation allowance for deferred tax assets as of January 1, 2000, 1999 and 1998 was $19.7 million, $14.3 million and $4.8 million, re s p e c t i v e l y. The net change in the total valuation allowance for the years ended December 31, 2000, 1999, and 1998 were increases of $10.9 million, $5.4 million and $9.5 million, re s p e c t i v e l y.\n\nThe valuation allowance relates primarily to deferred tax assets established under SFAS No. 109 for loss carry f o rw a rds at December 31, 2000, 1999 and 1998 of $46.9 million, $45.0 million and $32.9 million, re s p e c t i v e l y. The tax operating loss carry f o rw a rds will expire t h rough 2004 for EFT-Uslage d o.o., The tax operating loss carry f o rw a rds will expire through 2005 for Euronet Adminisztracios Szolgaltato Kft., Euronet Banktechnikai Szolgaltato Kft.,Bankomat 24/Euronet Sp. z o.o., Euronet SRL, and 2007 for Euronet Services spol. sro. The tax operating losses for Euronet Services Inc. and Euronet USA can be carried back two years and forw a rd twenty years. The tax operating losses for Euronet Services Inc. and Euronet USA can be carried back two years and forw a rd twenty years. The tax operating losses for E u ronet GmbH and Euronet Services Ltd. can be carried forw a rd indefinitely.", - "page_start": 39, - "page_end": 39, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "## NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS\n\n## NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued\n\n## u) Adoption of New and Revised Accounting Standards\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n## AASB 2011-4 Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel\n\n## Disclosure\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n## Amendments to IAS 32 Offsetting Financial Assets and Financial Liabilities\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n## Recently issued accounting standards to be applied in future reporting periods:\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n## AASB 9/IFRS 9 Financial Instruments\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "- · Impact of international and global supply chains on OSH: Does it improve or worsen the working conditions in the EU? Research could try to estimate the risk-reducing impact of the shift of some high-risk productions to enterprises outside the EU, for example, mining, base chemicals, recycling and so on (export of risks), and to estimate the OSH impact of EU export production, for example, vehicles, specialty chemicals, machines for risks at work inside the EU (import of risks).\n - · It would also be a big step forward if research could achieve an agreed standard value or a standard range (as reliable as possible) for the attributable fraction of work to widespread diseases, that is, cardiovascular diseases, mental and behavioural disorders, musculoskeletal diseases and cancer.\n - · Compliance with and impact of legislation. Currently, there are data on the percentage of enterprises with a risk assessment but very limited information about the quality of these risk assessments and of implemented risk management and reduction measures . Previous studies indicate that in many cases the risk assessment is conducted by an enterprise just to comply with legal obligations (paper compliance). A possible approach could be an anonymous evaluation of the quality of a representative share of risk assessments.", - "page_start": 139, - "page_end": 139, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## Impact of New Accounting Pronouncements Not Yet Adopted\n\nS FAS 133 The Company is re q u i red to adopt Statement of Financial Accounting Standard (SFAS) No. 133 'Accounting for Derivative I n s t ruments and Hedging Activities' as amended by SFAS No. 138 for US GAAP re p o rting as of 1 January 2001. SFAS 133 and 138 establish accounting and re p o rting standards for derivative instruments, including certain derivative instruments embedded in other contracts (collectively re f e rred to as derivatives).\n\nIn accordance with SFAS No. 133, entities are re q u i red to carry all derivative instruments on the balance sheet at fair value. The accounting for movements in fair value of derivatives depends upon whether it has been designated and qualifies as part of a hedging relationship and, if so, the reason for holding it. If certain conditions are met, the Company may elect to designate a derivative instrument as a hedge of exposures. If the hedged exposure is a fair value exposure, movements in fair value are recognized in earnings with the offsetting gain or loss on the hedged item attributable to the hedged risk. If the hedged exposure is a cash flow exposure, the effective portion of the movement in fair value of the derivative i n s t rument is initially re p o rted as a component of other comprehensive income and subsequently reclassified into earnings at the time the f o recasted transaction impacts earnings. Amounts excluded from the assessment of hedge effectiveness as well as the ineffective portion of movements in fair value of the derivative instrument are re p o rted in earnings in the current period. Accounting for foreign currency hedges is similar to the accounting for fair value and cash flow hedges. If a derivative instrument is not designated as a hedge, movements in the fair value of derivative instruments are recognized in earnings.\n\nUnder the provisions of SFAS No. 133, the method that the Company will use to assess effectiveness of a hedge, as well as the measure m e n t a p p roach for determining the ineffectiveness of a hedge, must be established at the inception of a hedge. The Company formally documents all relationships between hedging instruments and hedged items as well as its risk management objective and strategy for entering into the transaction. This process includes linking derivatives designated as fair value or cash flow hedges to specific assets, liabilities or firm commitments on forecasted transactions. This process is repeated on a periodic basis. If at any time the Company determines a hedge is no longer eff e c t i v e , hedge accounting is immediately discontinued and the derivative is marked to market with any gain or loss re c o rded in earnings.\n\nThe Company adopted the provisions of SFAS No. 133 on 1 January 2001 and this had no impact on the Company's consolidated financial statements as the Company does not have any derivative financial instruments. Future changes in the fair value for any remaining trading securities will be re c o rded through earnings. Changes in fair value of available for sale securities will be re c o rded in other comprehensive income.", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "Notes to the Financial Statements\n\n## Movement in deferred tax balances\n\n| 2013 | Balance at 1 July | Recognised in profit or loss | Recognised in other comprehensive income | Foreign exchange | Balance at 30 June |\n|----------------------------------------------|-----------------------|---------------------------------|------------------------------------------------|---------------------|------------------------|\n| Deferred tax assets / liabilities: | | | | | |\n| Derivatives | 808 | (424) | - | - | 384 |\n| Employee benefits | 1,571 | 124 | - | 94 | 1,789 |\n| Provision for restoration and rehabilitation | 3,390 | 1,428 | - | 349 | 5,167 |\n| Provision for obsolescence | 278 | (5) | - | 36 | 309 |\n| Unrealised exchange losses | 2,790 | (2,979) | (566) | - | (755) |\n| Other items | 1,096 | (428) | - | 12 | 680 |\n| Tax losses | 36,334 | (36,334) | - | - | - |\n| Mine properties and exploration | (65,205) | 57,921 | - | (457) | ( 7, 741) |\n| Available-for-sale financial assets | 39 | 256 | 39 | - | 334 |\n| Net deferred tax assets | (18,899) | 19,559 | (527) | 34 | 167 |", - "page_start": 84, - "page_end": 84, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "| Year ended 31 December | Year ended 31 December | 2014 US$'000 | 2013 US$'000 |\n|--------------------------|-----------------------------------------------------------------------------------------------------------------------|----------------|----------------|\n| a) | The components of income tax expense comprise: | | |\n| | Current tax benefit/(expense) | (17) | 21,398 |\n| | Deferred tax benefit/(expense) | 858 | (26,965) |\n| | Total income tax benefit/(expense) | 841 | (5,567) |\n| b) | The prima facie tax on income from ordinary activities before income tax is reconciled to the income tax as follows: | | |\n| | Profit before income tax | 14,480 | 21,509 |\n| | Prima facie tax expense at the Group's statutory | | 6,453 |\n| | income tax rate of 30% (2013:30%) | 4,344 | |\n| | - Difference of tax rate in US controlled entities | 220 | |\n| | Increase (decrease) in tax expense resulting from: | | |\n| | | | 1,607 |\n| | - Impact of direct accounting from US controlled entities (1) | (3,044) | 72 |\n| | - Employee options | 428 | - |\n| | - Excess depletion | (489) | - |\n| | - Other allowable items | 295 | 144 |\n| | - Tax adjustments relating to prior years | (1,063) | (984) |\n| | - Change in apportioned state tax rates in US controlled entities (2) | (992) | (1,520) |\n| | - Tax consolidation election (3) | (3,058) | - |\n| | - Change in unrecognized tax losses | 2,518 | (205) |", - "page_start": 77, - "page_end": 77, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What was the muscle volume of the knee flexors of the 2024 word's strongest man ?", - "target_page": 7, - "target_passage": "Knee flexors 3,060 ", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "\n\nTable 2. Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a World ' s Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained control participants", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "Individual measurements are the average of both sides/legs (i.e., unilateral). All muscles are the sum of muscle volumes from all the individual muscles/compartments listed. Muscle volume data are presented as group means ± SD, except for the WSM ( n ¼ 1). Untrained control participants from Miller et al. (13).\n\nassessed (Fig. 5 B ). BFsh volume (135 cm 3 )oftheWSMwasa modest 26% greater than that of our pool of untrained control participants (107 ± 31 cm 3 ; Fig. 5 E ) but smaller than that of both long-term resistance-trained individuals ( /C0 1%; 136±27 cm 3 ) and elite sprinters ( /C0 19%; 167 ± 26 cm 3 ; Fig. 5 E ).\n\n## Patella Tendon Cross-Sectional Area and Moment Arm\n\nThe patellar tendon mean CSA of the WSM (133.8 mm 2 )was larger than that of average untrained ( þ 30%; 103.2±12.5 mm 2 ) and long-term resistance-trained individuals ( þ 27%; 105.4 ± 13.0 mm 2 ; Fig. 6 A )butwassmallerthanthelargest individual we have measured from these groups (149.5 mm 2 ). The WSM ' s patellar tendon moment arm (51.5 mm) was also larger than that of average untrained ( þ 18%; 43.8 ± 2.7 mm) or long-term resistance-trained groups ( þ 12%; 45.8 ± 2.5 mm; Fig. 6 B ) as well as being 3% greater than the highest individual moment arm we have previously assessed within these groups (49.9 mm).\n\n## DISCUSSION\n\nThis study is the /uniFB01 rst to document the lower-body muscle and tendon morphology of a World ' s Strongest Man and deadlift champion (i.e., an exceptionally strong individual), and these are presented alongside functional whole body assessments, which exceeded the highest IMTP force (gross\n\nand net) and CMJ power values previously reported by 54%, 100%, and 164%, respectively. The WSM had overall lowerbodymuscularityapproximatelytwicethatofuntrainedcontrols ( þ 96%) and 32% greater than that of elite 100-m sprinters. However, there was substantial anatomical variability in the magnitude of the differences, ranging from the plantar /uniFB02 exors ( þ 120% vs. untrained) to the hip /uniFB02 exors ( þ 65% vs. untrained). Similarly, some speci /uniFB01 c muscles, such as the guy rope muscles that stabilize the femur and pelvis, were 2.5 -3.0 times the volume of untrained individuals (gracilis þ 140%, semitendinosus þ 157%, and sartorius þ 202%) but others displayed more marginal differences (BFsh þ 23%, iliopsoas þ 32% vs. untrained). Considering the knee extensors, the WSM had both quadriceps femoris volume greater than or equal to twofold that of untrained controls and a greater patella tendon moment arm than we have previously measured ( þ 18% vs. untrained), which would be expected to combine to facilitate extraordinary strength. Furthermore, despite the WSM ' sextremelylargequadricepsfemoris,theirpatellartendonCSAwasonly30%greaterthanthatofuntrainedcontrols and not outside the range of tendons we have previously assessed. The results of this study provide novel insights into the muscle and tendon characteristics, as well as the strength and power capabilities, of an extraordinarily strong individual that may be toward the upper limit of human variation in these characteristics.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "A\n\nFigure 4. Quadriceps femoris (QF; A ), vastus medialis (VM; B ), vastus lateralis (VL; C ), vastus intermedius (VI; D ), and rectus femoris (RF; E ) muscle volume of a World ' s Strongest Man and deadlift champion (WSM) compared with long-term resistance-trained ( n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [ n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [ n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [ n ¼ 102, pooled population from the works by Miller et al. (13)( n ¼ 11), Balshaw et al. (11) ( n ¼ 52), and Balshaw et al. (14)(pretest data n ¼ 39)].\n\n\n\n\n\n\n\n\n\nAlthough it was anticipated that the WSM would possess a larger total lower-body muscle volume/mass than untrained controls and other athletic/trained groups we have previously measured, the magnitude and pattern of the differences were unknown. The results indicated that the total volume of the measured muscles was almost twice that of average untrained participants and 32 -63%larger than subelite and elite sprinters. Pronounced development of the antigravity muscles (i.e., hip extensors, knee extensors, and plantar /uniFB02 exors) was perhaps not that surprising given the WSM ' s background in heavy lifting events (including being a double deadlift world champion and record holder). However, the hip /uniFB02 exors appear less important in these tasks, possibly explaining their more modest size, which was inferior to that of three elite 100-m sprinters we have previously assessed. The WSM ' splantar /uniFB02 exors were particularly large relative to untrained controls ( þ 120%). This could be due to the plantar /uniFB02 exors being the smallest of the antigravity muscle groups that may experience very high mechanical stress and, thus, a pronounced adaptive stimulus during heavy lifting, carrying, and pulling tasks. Furthermore, the very heavy and, therefore, low-velocity nature of these tasks may limit the contribution of the stretch-shortening cycle and tendon recoil to the positive/concentric work done by the plantar\n\n\n\n/uniFB02 exors, potentially placing a higher demand on the contractile apparatus than for running and jumping tasks.\n\nConsidering individual muscles/compartments, the muscular development of the WSM was distinctly nonuniform. It is striking that the largest muscles relative to the untrained control population were the three ' guy ropes ' (sartorius, gracilis, and semitendinosus: þ 140 -202%). These three muscles provide stability to the pelvis and femur by having origins at diverse points around the pelvis while sharing a common insertion onto the anteromedial tibia [via pes anserinus, the conjoined tendons of these three muscles (39)]. Large guy rope muscles likely enhance stabilization of the femur and pelvis and would be expected to be critical during heavy weight-bearing tasks. In contrast, the WSM ' s /uniFB01 ve smallest muscles (relative to untrained controls) consisted of two hip /uniFB02 exors (iliopsoas and RF) and two monoarticular knee /uniFB02 exors; actions that appear far less important for lifting, carrying, and pulling tasks.\n\nThe WSM ' s quadriceps volume and patellar tendon moment arm were both greater than that of untrained controls and indeed any individual we have previously measured. However, the magnitude of difference, relative to the untrained controls, was noticeably larger for quadriceps femoris volume (greater than or equal to twice as large) than for", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nsprinters (3,218 ± 400 cm 3 ; Fig. 4 A ). Moreover, the WSM ' s quadriceps femoris was 18% larger than the most muscular individual we have previously assessed (elite sprinter: 3,716 cm 3 ). The volumes of the individual vasti muscles of the WSM (VL: 1,508 cm 3 ;VI:1,336cm 3 ;VM:1,088cm 3 )were130 -138% larger than untrained controls (VL: 633 ± 117 cm 3 ;VI:581±120 cm 3 ;VM:461±89cm 3 ) and also greater than any trained/athletic individual we have previously assessed (Fig. 4, B -D ). However, the WSM ' sRF(453cm 3 )wasnotquitesolarge,being 76% greater than untrained controls (257 ± 57 cm 3 )butsmaller thantheaverageelitesprinter( /C0 5%; Fig. 4 E ), 13% greater than subelite sprinters, and 21% greater than long-term resistancetrained individuals.\n\nOverall hamstring volume of the WSM (1,545 cm 3 ) was 109% greater than a large pooled population of untrained controls (739 ± 142 cm 3 ; n ¼ 50), 44% greater than subelite sprinters (1,075 ± 178 cm 3 ), 53% greater than long-term resistancetrained individuals (1,011 ± 142 cm 3 ), and 17% greater than elite sprinters (1,315 ± 130 cm 3 ; Fig. 5 A ). The WSM ' shamstringvolume was also marginally larger ( þ 3%) than the most muscular individual we have previously assessed (subelite sprinter, 1,495 cm 3 ). The ST (563 cm 3 )andBFlh(454cm 3 )volumesof the WSM were 132 -182% larger than that of the pooled population of untrained controls (ST: 200 ± 48 cm 3 ;BFlh:196±47 cm 3 ; Fig. 5, C and D ) and greater than the mean of any trained/athletic group we have previously assessed (Fig. 5, C and D ). SM (392 cm 3 ) volume of the WSM was 66% greater than untrained controls (SM 236 ± 46 cm 3 )andgreaterthan the mean for trained/athletic groups we have previously", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\n## RESEARCH ARTICLE\n\n## Muscle and tendon morphology of a world strongman and deadlift champion\n\n- Thomas G. Balshaw, 1 Garry J. Massey, 1,2 Robert Miller, 1,3,4 Emmet J. McDermott, 1,5\n- Thomas M. Maden-Wilkinson, 6 and Jonathan P. Folland 1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Shef /uniFB01 eld Hallam University, Shef /uniFB01 eld, United Kingdom\n\n## Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World ' sStrongestMananddeadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1 )3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2 ) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM ' s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM ' s overall measured leg muscle volume was approximately twice that of untrained controls ( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar /uniFB02 exor group ( þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM ' s pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM ' s very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World ' s Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23 -202%): the plantar /uniFB02 exor group and guy rope muscles demonstrating the largest differences. The WSM ' s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\npredictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of speci /uniFB01 c individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9 -11), pronounced muscle size seems likely to be critical to extreme human strength; however, the speci /uniFB01 c muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the /uniFB01 ndings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World ' s Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13 -15).\n\n## MATERIALS AND METHODS\n\n## Participant\n\nThe WSM ' s achievements included one World ' sStrongest Man title (14 mo prior to measurement), /uniFB01 ve Britain ' s Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift WorldRecordholder(500kg;atthetimeofmeasurement), and second place at Europe ' s Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and bene /uniFB01 ts of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n## Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant ' s resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant ' s training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1 -5 repetition maximum (RM)]: 10%; heavy loads (6 -14 RM): 80%; and moderate loads ( /C21 15 RM): 10%. The participant reported only occasional ( < 1 /C2 /week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently ( > 3 /C2 / week) executed training repetitions with the intention to move the load as fast as possible. The WSM ' snutritional\n\nsupplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n## Overview", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "- 8. Abe T , Buckner SL , Mattocks KT , Jessee MB , Dankel SJ , Mouser JG , Bell ZW , Loenneke JP. Skeletal muscle mass and architecture of the world ' s strongest raw powerlifter: a case study. Asian J Sports Med 9: e61763, 2018. doi:10.5812/asjsm.61763.\n - 9. Powell PL , Roy RR , Kanim P , Bello MA , Edgerton VR. Predictability of skeletal muscle tension from architectural determinations in guinea pig hindlimbs. J Appl Physiol Respir Environ Exerc Physiol 57: 1715 -1721, 1984. doi:10.1152/jappl.1984.57.6.1715.\n - 10. Maden-Wilkinson TM , Balshaw TG , Massey G , Folland JP. What makes long-term resistance-trained individuals so strong? A comparison of skeletal muscle morphology, architecture, and joint mechanics. J Appl Physiol (1985) 128: 1000 -1011, 2019. doi:10.1152/ japplphysiol.00224.2019.\n - 11. Balshaw TG , Maden-Wilkinson TM , Massey GJ , Folland JP. The human muscle size and strength relationship: effects of architecture, muscle force, and measurement location. Med Sci Sports Exerc 53: 2140 -2151, 2021. doi:10.1249/mss.0000000000002691.\n - 12. Baxter JR , Piazza SJ. Plantar /uniFB02 exor moment arm and muscle volume predict torque-generating capacity in young men. J Appl Physiol (1985) 116: 538 -544, 2014. doi:10.1152/japplphysiol.01140.2013.\n - 13. Miller R , Balshaw TG , Massey GJ , Maeo S , Lanza MB , Johnston M , Allen SJ , Folland JP. The muscle morphology of elite sprint running. Med Sci Sports Exerc 53: 804 -815, 2021. doi:10.1249/ mss.0000000000002522.\n - 14. Balshaw TG , Funnell MP , McDermott E , Maden-Wilkinson TM , Abela S , Quteishat B , Edsey M , James LJ , Folland JP. The effect of speci /uniFB01 c bioactive collagen peptides on function and muscle remodeling during human resistance training. Acta Physiol (Oxf) 237: e13903, 2023 [Erratum in Acta Physiol (Oxf) 237:e13952, 2023]. doi:10.1111/apha.13903.\n - 15. Massey GJ , Balshaw TG , Maden-Wilkinson TM , Folland JP. Tendinous tissue properties after short- and long-term functional overload: differences between controls, 12 weeks and 4 years of resistance training. Acta Physiol (Oxf) 222: e13019, 2018. doi:10.1111/ apha.13019.\n - 16. Sugisaki N , Kobayashi K , Tsuchie H , Kanehisa H. Associations between individual lower-limb muscle volumes and 100-m sprint time in male sprinters. Int J Sports Physiol Perform 13: 214 -219, 2018. doi:10.1123/ijspp.2016-0703.\n - 17. Seynnes OR , Erskine RM , Maganaris CN , Longo S , Simoneau EM , Grosset JF , Narici MV. Training-induced changes in structural and mechanical properties of the patellar tendon are related to muscle hypertrophy but not to strength gains. J Appl Physiol (1985) 107: 523 -530, 2009. doi:10.1152/japplphysiol.00213.2009.\n - 18. Beckham GK , Sato K , Santana HAP , Mizuguchi S , Haff GG , Stone MH. Effect of body position on force production during the isometric midthigh pull. JStrengthCondRes 32: 48 -56, 2018. doi:10.1519/ jsc.0000000000001968.\n - 19. Travis SK , Goodin JR , Beckham GK , Bazyler CD. Identifying a test to monitor weightlifting performance in competitive male and female weightlifters. Sports 6: 46, 2018. doi:10.3390/sports6020046.\n - 20. Beckham G , Mizuguchi S , Carter C , Sato K , Ramsey M , Lamont H , Hornsby G , Haff G , Stone M. Relationships of isometric mid-thigh pull variables to weightlifting performance. J Sports Med Phys Fit 53: 573 -581, 2013.\n - 21. Hornsby WG , Gentles JA , MacDonald CJ , Mizuguchi S , Ramsey MW , Stone MH. Maximum strength, rate of force development, jump height, and peak power alterations in weightlifters across /uniFB01 ve months of training. Sports 5: 78, 2017. doi:10.3390/sports5040078.\n - 22. Beckham GK , Lamont HS , Sato K , Ramsey MW , Gh G , Stone MH. Isometric strength of powerlifters in key positions of the conventional deadlift. J Trainology 1: 32 -35, 2012. doi:10.17338/trainology.1.2\\_32.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "| | Muscle Volume, cm 3 | Muscle Volume, cm 3 | Muscle Volume, cm 3 | Muscle Volume, cm 3 |\n|------------------------------------------|-----------------------|--------------------------|------------------------------|-----------------------|\n| Muscle Group/Muscle or Compartment | WSM | Elite Sprinters ( n 5 5) | Subelite Sprinters ( n 5 26) | Untrained ( n 5 11) |\n| All muscles | 14,922 | 11,323 ± 1,328 | 9,164 ± 1,207 | 7,628 ± 1,548 |\n| Hip /uniFB02 exors | 1,704 | 1,620 ± 200 | 1,314 ± 216 | 1,031 ± 151 |\n| Hip extensors | 4,724 | 4,002±489 | 3,029±422 | 2,257 ± 220 |\n| Knee /uniFB02 exors | 3,060 | 2,304 ± 178 | 1,859 ± 301 | 1,460 ± 196 |\n| Knee extensors | 4,386 | 3,218 ± 400 | 2,636±401 | 2,202±315 |\n| Plantar /uniFB02 exors | 1,888 | 1,112 ± 181 | 943±156 | 860±172 |\n| Iliopsoas | 681 | 702±97 | 618±101 | 514 ± 75 |\n| Sartorius | 429 | 306±46 | 209±50 | 142 ± 25 |\n| Tensor fasciae latae | 142 | 135 ± 41 | 86±25 | 73±24 |\n| Adductor magnus | 1,334 | 1,056 ± 83 | 828±128 | 624±81 |\n| Gracilis | 235 | 180±37 | 142 ± 37 | 98±23 |\n| Gluteus maximus | 1,980 | 1,797 ± 376 | 1,257 ± 197 | 931 ± 108 |\n| Gluteus medius and minimus | 1,172 | 626±129 | 575±97 | 583±76 |\n| Rectus femoris | 453 | 476±45 | 401±78 | 303±55 |\n| Vastus lateralis | 1,508 | 1,132 ± 180 | 925±156 | 743±98 |\n| Vastus intermedius | 1,336 | 962±145 | 789±140 | 680±115 |\n| Vastus medialis | 1,088 | 649±97 | 521±79 | 476±111 |\n| Semimembranosus | 392 | 359±60 | 327±59 | 262±18 |\n| Semitendinosus | 563 | 449±70 | 350±79 | 219 ± 39 |\n| Biceps femoris long head | 454 | 340±31 | 267±47 | 221±42 |\n| Biceps femoris short head | 135 | 167 ± 26 | 131 ± 34 | 110 ± 28 |\n| Popliteus | 27 | 23±5 | 17 ± 5 | 19 ± 6 156±41 |\n| Lateral gastrocnemius | 310 | 202±34 | 170 ± 37 | |", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "isometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codi /uniFB01 ed and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put).Inaddition,professionalstrongmancompetitions,such as the annually contested ' World ' s Strongest Man ' event, generate extensive global interest (2). Moreover, scienti /uniFB01 c understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and\n\n\n\nhealthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scienti /uniFB01 c information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6)examinedthe body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153±19 kg) and lean mass (118±12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nTable 1. Descriptive characteristics of a World ' s Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data\n\n| | n | Age, yr | Height, m | Body Mass, kg | Source of Comparative Data |\n|--------------------------------------|-----|------------|-------------|-----------------|---------------------------------------------------------------------------------------------------------------------------|\n| WSM | 1 | 30.6 | 1.90 | 172.0 | |\n| Overall muscle morphology | | | | | |\n| Elite sprint runners | 5 | 27.4 ± 4.1 | 1.83 ± 0.06 | 86.4 ± 6.7 | Miller et al. (13) |\n| Subelite sprint runners | 26 | 22.0 ± 2.2 | 1.78 ± 0.06 | 75.4 ± 7.3 | |\n| Untrained controls | 11 | 25.8 ± 2.6 | 1.80 ± 0.08 | 75.2 ± 5.6 | |\n| Quadriceps femoris muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 91 ± 10 | Maden-Wilkinson et al. (10) |\n| Untrained controls | 102 | 25±3 | 1.78 ± 0.08 | 73±10 | Pooled sample from Miller et al. (13)( n ¼ 11), Balshaw et al. (11)( n ¼ 52), and pretest of Balshaw et al. (14)( n ¼ 39) |\n| Hamstrings muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 91 ± 10 | Unpublished observations from the sample in Maden-Wilkinson et al. (10) |\n| Untrained controls | 50 | 26±4 | 1.79 ± 0.08 | 75±11 | Pooled sample from Miller et al. (13)( n ¼ 11) and pretest of Balshaw et al. (14)( n ¼ 39) |\n| Patellar tendon CSA and moment arm | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 90±10 | Massey et al. (15) |\n| Untrained controls | 39 | 25±2 | 1.76 ± 0.06 | 72±9 | |\n\nValues for comparative populations are means ± SD. CSA, cross-sectional area.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "What are the nutritionnal added components to the word's strongest man regime ?", - "target_page": 2, - "target_passage": "The WSM’s nutritional supplement consumption included protein, branched-chain amino acids, and electrolytes", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "isometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codi /uniFB01 ed and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put).Inaddition,professionalstrongmancompetitions,such as the annually contested ' World ' s Strongest Man ' event, generate extensive global interest (2). Moreover, scienti /uniFB01 c understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and\n\n\n\nhealthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scienti /uniFB01 c information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6)examinedthe body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153±19 kg) and lean mass (118±12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "## DATA AVAILABILITY\n\nData will be made available upon reasonable request.\n\n## SUPPLEMENTAL MATERIAL\n\nSupplemental Material: https://doi.org/10.6084/m9. /uniFB01 gshare. 26152939.\n\n## ACKNOWLEDGMENTS\n\nThe authors thank radiographer Julie Thompson.\n\n## DISCLOSURES\n\nNo con /uniFB02 icts of interest, /uniFB01 nancial or otherwise, are declared by the authors.\n\n## AUTHOR CONTRIBUTIONS\n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., R.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., E.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted results of experiments; T.G.B. prepared /uniFB01 gures; T.G.B. and J.P.F. drafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; T.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved /uniFB01 nal version of manuscript.\n\n## REFERENCES\n\n - 1. Crowther NB. Weightlifting in antiquity: achievement and training. Greece Rome 24: 111 -120, 1977. doi:10.1017/s0017383500018416.\n - 2. Dixon E. How Wave.tv is making the World ' s Strongest Man think bigger with its digital plans (Online). SportsPro, 2020.https://www. sportspromedia.com/insights/analysis/worlds-strongest-man-wavetvthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024].\n - 3. Suchomel TJ , Nimphius S , Stone MH. The importance of muscular strength in athletic performance. Sports Med 46: 1419 -1449, 2016. doi:10.1007/s40279-016-0486-0.\n - 4. Opar DA , Williams MD , Timmins RG , Hickey J , Duhig SJ , Shield AJ. Eccentric hamstring strength and hamstring injury risk in Australian footballers. Med Sci Sports Exerc 47: 857 -865, 2015. doi:10.1249/ mss.0000000000000465.\n - 5. McLeod M , Breen L , Hamilton DL , Philp A. Live strong and prosper: the importance of skeletal muscle strength for healthy ageing. Biogerontology 17: 497 -510, 2016. doi:10.1007/s10522-015-9631-7.\n - 6. Kraemer WJ , Caldwell LK , Post EM , DuPont WH , Martini ER , Ratamess NA , Szivak TK , Shurley JP , Beeler MK , Volek JS , Maresh CM , Todd JS , Walrod BJ , Hyde PN , Fairman C , Best TM. Body composition in elite strongman competitors. JStrengthCondRes 34: 3326 -3330, 2020. doi:10.1519/jsc.0000000000003763.\n - 7. Abe T , Buckner SL , Dankel SJ , Jessee MB , Mattocks KT , Mouser JG , Loenneke JP. Skeletal muscle mass in human athletes: what is the upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ ajhb.23102.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nTable 1. Descriptive characteristics of a World ' s Strongest Man and deadlift champion and populations featured within this study for the purposes of providing comparative muscle and tendon morphology data\n\n| | n | Age, yr | Height, m | Body Mass, kg | Source of Comparative Data |\n|--------------------------------------|-----|------------|-------------|-----------------|---------------------------------------------------------------------------------------------------------------------------|\n| WSM | 1 | 30.6 | 1.90 | 172.0 | |\n| Overall muscle morphology | | | | | |\n| Elite sprint runners | 5 | 27.4 ± 4.1 | 1.83 ± 0.06 | 86.4 ± 6.7 | Miller et al. (13) |\n| Subelite sprint runners | 26 | 22.0 ± 2.2 | 1.78 ± 0.06 | 75.4 ± 7.3 | |\n| Untrained controls | 11 | 25.8 ± 2.6 | 1.80 ± 0.08 | 75.2 ± 5.6 | |\n| Quadriceps femoris muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 91 ± 10 | Maden-Wilkinson et al. (10) |\n| Untrained controls | 102 | 25±3 | 1.78 ± 0.08 | 73±10 | Pooled sample from Miller et al. (13)( n ¼ 11), Balshaw et al. (11)( n ¼ 52), and pretest of Balshaw et al. (14)( n ¼ 39) |\n| Hamstrings muscle morphology | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 91 ± 10 | Unpublished observations from the sample in Maden-Wilkinson et al. (10) |\n| Untrained controls | 50 | 26±4 | 1.79 ± 0.08 | 75±11 | Pooled sample from Miller et al. (13)( n ¼ 11) and pretest of Balshaw et al. (14)( n ¼ 39) |\n| Patellar tendon CSA and moment arm | | | | | |\n| Long-term resistance-trained | 16 | 22±2 | 1.83 ± 0.06 | 90±10 | Massey et al. (15) |\n| Untrained controls | 39 | 25±2 | 1.76 ± 0.06 | 72±9 | |\n\nValues for comparative populations are means ± SD. CSA, cross-sectional area.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\n## RESEARCH ARTICLE\n\n## Muscle and tendon morphology of a world strongman and deadlift champion\n\n- Thomas G. Balshaw, 1 Garry J. Massey, 1,2 Robert Miller, 1,3,4 Emmet J. McDermott, 1,5\n- Thomas M. Maden-Wilkinson, 6 and Jonathan P. Folland 1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Shef /uniFB01 eld Hallam University, Shef /uniFB01 eld, United Kingdom\n\n## Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World ' sStrongestMananddeadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1 )3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2 ) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM ' s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM ' s overall measured leg muscle volume was approximately twice that of untrained controls ( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar /uniFB02 exor group ( þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM ' s pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM ' s very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World ' s Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23 -202%): the plantar /uniFB02 exor group and guy rope muscles demonstrating the largest differences. The WSM ' s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "- 8. Abe T , Buckner SL , Mattocks KT , Jessee MB , Dankel SJ , Mouser JG , Bell ZW , Loenneke JP. Skeletal muscle mass and architecture of the world ' s strongest raw powerlifter: a case study. Asian J Sports Med 9: e61763, 2018. doi:10.5812/asjsm.61763.\n - 9. Powell PL , Roy RR , Kanim P , Bello MA , Edgerton VR. Predictability of skeletal muscle tension from architectural determinations in guinea pig hindlimbs. J Appl Physiol Respir Environ Exerc Physiol 57: 1715 -1721, 1984. doi:10.1152/jappl.1984.57.6.1715.\n - 10. Maden-Wilkinson TM , Balshaw TG , Massey G , Folland JP. What makes long-term resistance-trained individuals so strong? A comparison of skeletal muscle morphology, architecture, and joint mechanics. J Appl Physiol (1985) 128: 1000 -1011, 2019. doi:10.1152/ japplphysiol.00224.2019.\n - 11. Balshaw TG , Maden-Wilkinson TM , Massey GJ , Folland JP. The human muscle size and strength relationship: effects of architecture, muscle force, and measurement location. Med Sci Sports Exerc 53: 2140 -2151, 2021. doi:10.1249/mss.0000000000002691.\n - 12. Baxter JR , Piazza SJ. Plantar /uniFB02 exor moment arm and muscle volume predict torque-generating capacity in young men. J Appl Physiol (1985) 116: 538 -544, 2014. doi:10.1152/japplphysiol.01140.2013.\n - 13. Miller R , Balshaw TG , Massey GJ , Maeo S , Lanza MB , Johnston M , Allen SJ , Folland JP. The muscle morphology of elite sprint running. Med Sci Sports Exerc 53: 804 -815, 2021. doi:10.1249/ mss.0000000000002522.\n - 14. Balshaw TG , Funnell MP , McDermott E , Maden-Wilkinson TM , Abela S , Quteishat B , Edsey M , James LJ , Folland JP. The effect of speci /uniFB01 c bioactive collagen peptides on function and muscle remodeling during human resistance training. Acta Physiol (Oxf) 237: e13903, 2023 [Erratum in Acta Physiol (Oxf) 237:e13952, 2023]. doi:10.1111/apha.13903.\n - 15. Massey GJ , Balshaw TG , Maden-Wilkinson TM , Folland JP. Tendinous tissue properties after short- and long-term functional overload: differences between controls, 12 weeks and 4 years of resistance training. Acta Physiol (Oxf) 222: e13019, 2018. doi:10.1111/ apha.13019.\n - 16. Sugisaki N , Kobayashi K , Tsuchie H , Kanehisa H. Associations between individual lower-limb muscle volumes and 100-m sprint time in male sprinters. Int J Sports Physiol Perform 13: 214 -219, 2018. doi:10.1123/ijspp.2016-0703.\n - 17. Seynnes OR , Erskine RM , Maganaris CN , Longo S , Simoneau EM , Grosset JF , Narici MV. Training-induced changes in structural and mechanical properties of the patellar tendon are related to muscle hypertrophy but not to strength gains. J Appl Physiol (1985) 107: 523 -530, 2009. doi:10.1152/japplphysiol.00213.2009.\n - 18. Beckham GK , Sato K , Santana HAP , Mizuguchi S , Haff GG , Stone MH. Effect of body position on force production during the isometric midthigh pull. JStrengthCondRes 32: 48 -56, 2018. doi:10.1519/ jsc.0000000000001968.\n - 19. Travis SK , Goodin JR , Beckham GK , Bazyler CD. Identifying a test to monitor weightlifting performance in competitive male and female weightlifters. Sports 6: 46, 2018. doi:10.3390/sports6020046.\n - 20. Beckham G , Mizuguchi S , Carter C , Sato K , Ramsey M , Lamont H , Hornsby G , Haff G , Stone M. Relationships of isometric mid-thigh pull variables to weightlifting performance. J Sports Med Phys Fit 53: 573 -581, 2013.\n - 21. Hornsby WG , Gentles JA , MacDonald CJ , Mizuguchi S , Ramsey MW , Stone MH. Maximum strength, rate of force development, jump height, and peak power alterations in weightlifters across /uniFB01 ve months of training. Sports 5: 78, 2017. doi:10.3390/sports5040078.\n - 22. Beckham GK , Lamont HS , Sato K , Ramsey MW , Gh G , Stone MH. Isometric strength of powerlifters in key positions of the conventional deadlift. J Trainology 1: 32 -35, 2012. doi:10.17338/trainology.1.2\\_32.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\npredictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of speci /uniFB01 c individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9 -11), pronounced muscle size seems likely to be critical to extreme human strength; however, the speci /uniFB01 c muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the /uniFB01 ndings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World ' s Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13 -15).\n\n## MATERIALS AND METHODS\n\n## Participant\n\nThe WSM ' s achievements included one World ' sStrongest Man title (14 mo prior to measurement), /uniFB01 ve Britain ' s Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift WorldRecordholder(500kg;atthetimeofmeasurement), and second place at Europe ' s Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and bene /uniFB01 ts of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n## Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant ' s resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant ' s training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1 -5 repetition maximum (RM)]: 10%; heavy loads (6 -14 RM): 80%; and moderate loads ( /C21 15 RM): 10%. The participant reported only occasional ( < 1 /C2 /week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently ( > 3 /C2 / week) executed training repetitions with the intention to move the load as fast as possible. The WSM ' snutritional\n\nsupplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n## Overview", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "A\n\nFigure 4. Quadriceps femoris (QF; A ), vastus medialis (VM; B ), vastus lateralis (VL; C ), vastus intermedius (VI; D ), and rectus femoris (RF; E ) muscle volume of a World ' s Strongest Man and deadlift champion (WSM) compared with long-term resistance-trained ( n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [ n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [ n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [ n ¼ 102, pooled population from the works by Miller et al. (13)( n ¼ 11), Balshaw et al. (11) ( n ¼ 52), and Balshaw et al. (14)(pretest data n ¼ 39)].\n\n\n\n\n\n\n\n\n\nAlthough it was anticipated that the WSM would possess a larger total lower-body muscle volume/mass than untrained controls and other athletic/trained groups we have previously measured, the magnitude and pattern of the differences were unknown. The results indicated that the total volume of the measured muscles was almost twice that of average untrained participants and 32 -63%larger than subelite and elite sprinters. Pronounced development of the antigravity muscles (i.e., hip extensors, knee extensors, and plantar /uniFB02 exors) was perhaps not that surprising given the WSM ' s background in heavy lifting events (including being a double deadlift world champion and record holder). However, the hip /uniFB02 exors appear less important in these tasks, possibly explaining their more modest size, which was inferior to that of three elite 100-m sprinters we have previously assessed. The WSM ' splantar /uniFB02 exors were particularly large relative to untrained controls ( þ 120%). This could be due to the plantar /uniFB02 exors being the smallest of the antigravity muscle groups that may experience very high mechanical stress and, thus, a pronounced adaptive stimulus during heavy lifting, carrying, and pulling tasks. Furthermore, the very heavy and, therefore, low-velocity nature of these tasks may limit the contribution of the stretch-shortening cycle and tendon recoil to the positive/concentric work done by the plantar\n\n\n\n/uniFB02 exors, potentially placing a higher demand on the contractile apparatus than for running and jumping tasks.\n\nConsidering individual muscles/compartments, the muscular development of the WSM was distinctly nonuniform. It is striking that the largest muscles relative to the untrained control population were the three ' guy ropes ' (sartorius, gracilis, and semitendinosus: þ 140 -202%). These three muscles provide stability to the pelvis and femur by having origins at diverse points around the pelvis while sharing a common insertion onto the anteromedial tibia [via pes anserinus, the conjoined tendons of these three muscles (39)]. Large guy rope muscles likely enhance stabilization of the femur and pelvis and would be expected to be critical during heavy weight-bearing tasks. In contrast, the WSM ' s /uniFB01 ve smallest muscles (relative to untrained controls) consisted of two hip /uniFB02 exors (iliopsoas and RF) and two monoarticular knee /uniFB02 exors; actions that appear far less important for lifting, carrying, and pulling tasks.\n\nThe WSM ' s quadriceps volume and patellar tendon moment arm were both greater than that of untrained controls and indeed any individual we have previously measured. However, the magnitude of difference, relative to the untrained controls, was noticeably larger for quadriceps femoris volume (greater than or equal to twice as large) than for", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nTable 2. Muscle volume of all muscles, 5 functional muscle groups, and 22 individual muscles/compartments of a World ' s Strongest Man and deadlift champion and comparative elite sprinters, subelite sprinters, and untrained control participants", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 5. Overall hamstrings (HAMS; A ), semimembranosus (SM; B ), semitendinosus (ST; C ), biceps femoris long head (BFlh; D ), and biceps femoris short head (BFsh; E ) muscle volume of a World ' s Strongest Man and deadlift champion (WSM) compared with long-term resistance trained [ n ¼ 16, from the work by Maden-Wilkinson et al. (10)], elite sprint runners [ n ¼ 5, from the work by Miller et al. (13)], subelite sprint runners [ n ¼ 26, from the work by Miller et al. (13)], and untrained control populations [ n ¼ 50, pooled population from the works by Miller et al. (13)( n ¼ 11) and Balshaw et al. (14) (pretest data n ¼ 39)].\n\n\n\n\n\n\n\n\n\n\n\npatellar tendon moment arm ( þ 18%). Therefore, of these two key strength determinants, muscle size, rather than joint leverage, appeared to be the predominant factor responsible for the WSM ' s extraordinary strength. Indeed, when we previously compared the muscle morphology and joint mechanics of individuals with distinct maximum strength capacity (long-term resistance-trained individuals vs. untrained controls), muscle size was the primary factor separating the groups with much more subtle differences in moment arm (10). The extreme exampleofmusclesizeprovidedbytheWSM ' squadriceps\n\nfemoris also gave the opportunity to investigate the scaling of tendon size to muscle size; extreme muscular size (greater than or equal to twice that for untrained controls) might be expected to be accompanied by comparable tendinous tissue size to effectively transmit high muscular forces to the skeleton. However, the WSM ' s patellar tendon CSA was only 30% larger than untrained controls and within the range of individuals we have previously measured (Fig. 6 A ). This observation supports the notion that tendon structure may be largely /uniFB01 xed by adulthood (40), with only slow/limited\n\n\n\nFigure 6. Patellar tendon mean cross-sectional area ( A ) and patellar tendon moment arm ( B )ofaWorld ' sStrongestManand deadlift champion (WSM) compared with long-term resistance trained [ n ¼ 16, from theworkbyMasseyetal.(15)] and untrained control populations [ n ¼ 39, from the work by Massey et al. (15)].\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nchanges in response to functional overload/resistance training. For example, we previously found patellar tendon CSA to show very subtle changes after 15 wk (45 training sessions) of heavy resistance training [ þ 1.4% (41)] and no differences between long-term resistance-trained individuals and untrained controls (15).\n\n## Limitations\n\nAlthough the current investigation provides a detailed assessment of an individual at/toward the upper limit of human strength performance, it is important to appreciate study limitations. First, the participant was not measured immediately before their World ' sStrongestManchampionship success or other landmark performances, and it is entirely possible the functional and structural characteristics we assessed mayhavebeenevenhigherdirectlypriortopeakperformances. Despite using a wide-bore MRI scanner, due to the size of the WSM ' s shoulders and arms, it was not possible to scan their upperbody.Thus,wewerenotabletoinvestigatethisaspectof the WSM ' s muscle morphology; although given that greater hypertrophy occurs in the upper body compared with the lower body (42), it is possible that the WSM ' s upper-body muscle size relative to untrained controls may have been even more pronounced than what we have documented for the lower body. In the current study to provide the most representative data on untrained control participants, the largest available untrained control populations were used for each category of measurements. Thus, different untrained control populations were used [e.g., comparison of quadricep and hamstring size ( n ¼ 102) vs. comparison of all the leg muscles ( n ¼ 11)], which led to some subtle discrepancies in the contrasts between these groups and the WSM [e.g., quadriceps femoris/knee extensors, þ 127% and þ 99% relative to our large pooled ( n ¼ 102) and smaller ( n ¼ 11) untrained control samples, respectively]. Importantly, however, this discrepancy does not appear to meaningfully affect the interpretation of the /uniFB01 ndings. There were subtle differences in the precise scanning and analysis approaches used with the reference populations featured in this study, including 1 )magnetic /uniFB01 eld strength [1.5 T (10, 11, 15) vs. 3.0 T, WSM and (13, 14)]; 2 ) the interslice distance used to quantify quadriceps femoris and hamstrings muscle volume [1.5 cm (10, 11, 14)vs.2.0cm,WSMand(13)]; 3 )thecalculation of muscle volume [area under the cubic spline ACSA-muscle length curve: (10, 11, 14) vs. the equation detailed earlier: WSM and (13)]; and 4 )theuseofunilateralMRImeasuresderived from one limb (10, 11, 14, 15) or collapsed across two limbs [WSM and (13)]. However, it seems likely that these subtle differences would have had at most a very minor effect on the /uniFB01 ndings.Finally,itisalsoimportanttohighlightthatthedifferences documented between the WSM and comparative populations for the various measures included in the current study cannot be assumed to be anything other than a combination of both innate (genetic) and environmental (training and nutrition) factors.\n\n## Conclusions\n\nIn conclusion, this novel investigation documented the muscle and tendon morphology and whole body strength and power characteristics of an exceptionally strong individual, relative to comparative athletic, trained, and untrained\n\npopulations. Overall leg muscle volume of the WSM was approximately twice that of untrained controls but with pronounced anatomical variability in the extent of muscular development. The plantar /uniFB02 exor muscle group and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140 to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences. The pronounced quadriceps femoris size of the WSM (greater than or equal to twice that of untrained) was accompanied by a more modest difference in patella tendon moment arm ( þ 18%) and was not matched by a proportional difference in tendon size ( þ 30%).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed12.pdf", - "query": "Why constraint made the scanning of the word's strongest man's upper body impossible using a MRI ?", - "target_page": 10, - "target_passage": "Despite using a wide-bore MRI scanner, due to the size of the WSM’s shoulders and arms, it was not possible to scan their upper body", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "isometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION\n\nFeats of strength have fascinated man since the early stages of human civilization, as shown by the archeological evidence of inscribed heavy stones at Olympia and Thera in Greece, dated to the 6th century BC, detailing the way they were lifted by Bybon and Eumastus, respectively (1). Over the centuries, many types of strength competitions have existed; some of which have been codi /uniFB01 ed and endured within modern sporting competitions (e.g., weightlifting, powerlifting, and shot put).Inaddition,professionalstrongmancompetitions,such as the annually contested ' World ' s Strongest Man ' event, generate extensive global interest (2). Moreover, scienti /uniFB01 c understanding of muscular strength is important because of its role in athletic performance (3), injury prevention (4), and\n\n\n\nhealthy aging (5). However, our knowledge of extreme human strength is limited.\n\nTo date, there is little scienti /uniFB01 c information on the characteristics of extremely strong humans in terms of laboratorybased tests of strength and power, particularly the size and distribution of their muscle mass, as well as tendon size and joint mechanics (moment arm). Kraemer et al. (6)examinedthe body composition of elite strongman competitors using dualenergy X-ray absorptiometry scanning and found that they had a body mass (153±19 kg) and lean mass (118±12 kg) approximately twice that of an average untrained healthy young man. Whole body skeletal muscle mass of athletes from strength- and power-based sports has also been estimated using ultrasound measurements at a limited number of anatomical locations (7, 8). However, neither ultrasound-derived\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "Figure 1. Example axial MRI images from the World ' s Strongest Man and deadlift champion (WSM; A -C ) and an untrained control participant ( D -F ) from the hip ( A and D ), thigh ( B and E ), and lower leg ( C and F ). Image location relative to femur and shank length was matched between the WSM and the untrained control as follows: hip image is at approximately midfemoral head, thigh image is at /C24 52% of femur length (0% is distal end of femur, 100% is greater trochanter), and lower leg image is at /C24 70% of shank length (0% is lateral malleolus, 100% is proximal end of tibia). The untrained control participant displayed was from the work by Miller et al. (13) and had a total measured muscle volume of all measured muscles that was 5.1% smaller than the mean of the untrained group within that study.\n\n\n\n\n\nadjustment to different heights. A bar height producing a knee joint angle of 145 /C14 (measured by a manual goniometer) was selected, and the participant was instructed to keep his torso upright while completing the IMTP efforts. Two calibrated 10-kN-capacity force platforms (model 9286B, Kistler Instruments, Ltd., London, UK), one underneath each foot, were placed on top of the isometric rig ' sbaseplate,andvertical force signals from the eight individual load cells across the two force platforms were outputted (External Control Unit model 5233 A, Kistler Instruments, Ltd.) and sampled at 2,000 Hz using an external analog-to-digital converter (Micro 1401;\n\nCED, Cambridge, UK) and recorded with Spike 2 computer software (CED, Cambridge, UK).\n\nFollowing a warm-up consisting of a series of incremental warm-up contractions of /C24 5 s duration ranging from 50% to 90% of maximum perceived effort, two maximum IMTP efforts of 3 -5 s duration were performed under the instruction to ' pull as hard as possible. ' Six minutes separated the maximum efforts, based on a self-selected recovery period. Wrist wraps were worn to remove the in /uniFB02 uence of grip strength from the assessment. Real-time overall feedback from the force platforms (the sum of the force signals from", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed12.pdf" - }, - { - "text": "## DATA AVAILABILITY\n\nData will be made available upon reasonable request.\n\n## SUPPLEMENTAL MATERIAL\n\nSupplemental Material: https://doi.org/10.6084/m9. /uniFB01 gshare. 26152939.\n\n## ACKNOWLEDGMENTS\n\nThe authors thank radiographer Julie Thompson.\n\n## DISCLOSURES\n\nNo con /uniFB02 icts of interest, /uniFB01 nancial or otherwise, are declared by the authors.\n\n## AUTHOR CONTRIBUTIONS\n\nT.G.B. and J.P.F. conceived and designed research; T.G.B., G.J.M., R.M., E.J.M., and J.P.F. performed experiments; T.G.B., G.J.M., R.M., E.J.M., and T.M.M.-W. analyzed data; T.G.B. and J.P.F. interpreted results of experiments; T.G.B. prepared /uniFB01 gures; T.G.B. and J.P.F. drafted manuscript; T.G.B. and J.P.F. edited and revised manuscript; T.G.B., G.J.M., R.M., E.J.M., T.M.M.-W., and J.P.F. approved /uniFB01 nal version of manuscript.\n\n## REFERENCES\n\n - 1. Crowther NB. Weightlifting in antiquity: achievement and training. Greece Rome 24: 111 -120, 1977. doi:10.1017/s0017383500018416.\n - 2. Dixon E. How Wave.tv is making the World ' s Strongest Man think bigger with its digital plans (Online). SportsPro, 2020.https://www. sportspromedia.com/insights/analysis/worlds-strongest-man-wavetvthe-pump-snapchat-brian-verne-interview/ [Apr 6, 2024].\n - 3. Suchomel TJ , Nimphius S , Stone MH. The importance of muscular strength in athletic performance. Sports Med 46: 1419 -1449, 2016. doi:10.1007/s40279-016-0486-0.\n - 4. Opar DA , Williams MD , Timmins RG , Hickey J , Duhig SJ , Shield AJ. Eccentric hamstring strength and hamstring injury risk in Australian footballers. Med Sci Sports Exerc 47: 857 -865, 2015. doi:10.1249/ mss.0000000000000465.\n - 5. McLeod M , Breen L , Hamilton DL , Philp A. Live strong and prosper: the importance of skeletal muscle strength for healthy ageing. Biogerontology 17: 497 -510, 2016. doi:10.1007/s10522-015-9631-7.\n - 6. Kraemer WJ , Caldwell LK , Post EM , DuPont WH , Martini ER , Ratamess NA , Szivak TK , Shurley JP , Beeler MK , Volek JS , Maresh CM , Todd JS , Walrod BJ , Hyde PN , Fairman C , Best TM. Body composition in elite strongman competitors. JStrengthCondRes 34: 3326 -3330, 2020. doi:10.1519/jsc.0000000000003763.\n - 7. Abe T , Buckner SL , Dankel SJ , Jessee MB , Mattocks KT , Mouser JG , Loenneke JP. Skeletal muscle mass in human athletes: what is the upper limit? Am J Hum Biol 30: e23102, 2018. doi:10.1002/ ajhb.23102.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "supplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n## Overview\n\nThe WSM reported for a single test session that involved the following assessments (listed in order): axial T1 weighted 3.0-T MRI scans from T12 to the lateral malleolus [to assess muscle size throughout the lower body (left and right sides)], axial and sagittal T1-weighted MRI scans of both knees [to assess patellar tendon cross-sectional area (CSA) and patellar tendon moment arm], maximum countermovement jumps (CMJ), and maximum isometric midthigh pulls (IMTPs). The muscle size, patellar tendon CSA, and patellar tendon moment arm of the WSM were compared with various populations measured within our laboratory, as indicated in Table 1,alongsideparticipantdescriptives(10, 11, 13 -15). In addition, the IMTP and CMJ measures were compared with existing published literature (included studies are summarized in Supplemental Materials 1 and 2, alongside participant descriptives).\n\n## MRI Measurement of Muscle Tendon Unit Morphology and Moment Arm\n\nThe participant reported for their MRI scan [3.0-T Discovery MR750W (70-cm-wide bore), GE Medical] having not completed any strenuous physical activity in /C21 24 h and had received prior instruction to arrive in a relaxed state having eaten and drunk normally. The participant sat quietly for 15 min prior to their scan. The participant lay supine for the MRI scan of the lower-body musculature from T12 to the lateral malleolus. A body coil (GE Medical) allowed axial T1weighted images (time of repetition/time to echo 600/8.144 ms, image matrix 512 /C2 512, /uniFB01 eld of view 500 /C2 500 mm, pixel size 0.9766 /C2 0.9766 mm, slice thickness 5 mm, and interslice gap 5 mm) to be acquired in /uniFB01 ve overlapping blocks. Images of both sides of the body were acquired within a single scan for blocks 1 (T12 to pelvis), 4 (knee joint space to midshank), and 5 (midshank to lateral malleolus). However, due to the size of the participant ' s thighs, it was necessary to scan each thigh individually for blocks 2 (pelvis to midthigh) and 3 (midthigh to knee joint space); this involved the radiographer repositioning the /uniFB01 eld of view between scanning the /uniFB01 rst and the second thigh but not physically moving the coil or the participant. Oil/uniFB01 lled capsules were secured to the surface of the participant ' sskin with Transpore tape at intervals along the length of the lower body prior to the scan and in an of /uniFB02 ine analysis used to verify the alignment of the blocks (Horos software, Version 3.36, https://horosproject.org/).\n\nThe of /uniFB02 ine analysis was of the following muscles/compartments (Fig. 1): iliopsoas (psoas major and iliacus combined); sartorius; tensor fasciae latae; adductor magnus; gracilis; gluteus maximus; gluteus medius and minimus (combined, due to dif /uniFB01 culty separating the two muscles); rectus femoris (RF); vastus lateralis (VL), medialis (VM), and intermedius (VI); semimembranosus (SM); semitendinosus (ST); biceps femoris long (BFlh) and short heads (BFsh); popliteus; lateral and medial gastrocnemius; soleus; and the anterior, lateral, and deep posterior compartments of the shank. The anterior shank compartment consisted of the", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\nchanges in response to functional overload/resistance training. For example, we previously found patellar tendon CSA to show very subtle changes after 15 wk (45 training sessions) of heavy resistance training [ þ 1.4% (41)] and no differences between long-term resistance-trained individuals and untrained controls (15).\n\n## Limitations\n\nAlthough the current investigation provides a detailed assessment of an individual at/toward the upper limit of human strength performance, it is important to appreciate study limitations. First, the participant was not measured immediately before their World ' sStrongestManchampionship success or other landmark performances, and it is entirely possible the functional and structural characteristics we assessed mayhavebeenevenhigherdirectlypriortopeakperformances. Despite using a wide-bore MRI scanner, due to the size of the WSM ' s shoulders and arms, it was not possible to scan their upperbody.Thus,wewerenotabletoinvestigatethisaspectof the WSM ' s muscle morphology; although given that greater hypertrophy occurs in the upper body compared with the lower body (42), it is possible that the WSM ' s upper-body muscle size relative to untrained controls may have been even more pronounced than what we have documented for the lower body. In the current study to provide the most representative data on untrained control participants, the largest available untrained control populations were used for each category of measurements. Thus, different untrained control populations were used [e.g., comparison of quadricep and hamstring size ( n ¼ 102) vs. comparison of all the leg muscles ( n ¼ 11)], which led to some subtle discrepancies in the contrasts between these groups and the WSM [e.g., quadriceps femoris/knee extensors, þ 127% and þ 99% relative to our large pooled ( n ¼ 102) and smaller ( n ¼ 11) untrained control samples, respectively]. Importantly, however, this discrepancy does not appear to meaningfully affect the interpretation of the /uniFB01 ndings. There were subtle differences in the precise scanning and analysis approaches used with the reference populations featured in this study, including 1 )magnetic /uniFB01 eld strength [1.5 T (10, 11, 15) vs. 3.0 T, WSM and (13, 14)]; 2 ) the interslice distance used to quantify quadriceps femoris and hamstrings muscle volume [1.5 cm (10, 11, 14)vs.2.0cm,WSMand(13)]; 3 )thecalculation of muscle volume [area under the cubic spline ACSA-muscle length curve: (10, 11, 14) vs. the equation detailed earlier: WSM and (13)]; and 4 )theuseofunilateralMRImeasuresderived from one limb (10, 11, 14, 15) or collapsed across two limbs [WSM and (13)]. However, it seems likely that these subtle differences would have had at most a very minor effect on the /uniFB01 ndings.Finally,itisalsoimportanttohighlightthatthedifferences documented between the WSM and comparative populations for the various measures included in the current study cannot be assumed to be anything other than a combination of both innate (genetic) and environmental (training and nutrition) factors.\n\n## Conclusions\n\nIn conclusion, this novel investigation documented the muscle and tendon morphology and whole body strength and power characteristics of an exceptionally strong individual, relative to comparative athletic, trained, and untrained\n\npopulations. Overall leg muscle volume of the WSM was approximately twice that of untrained controls but with pronounced anatomical variability in the extent of muscular development. The plantar /uniFB02 exor muscle group and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140 to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences. The pronounced quadriceps femoris size of the WSM (greater than or equal to twice that of untrained) was accompanied by a more modest difference in patella tendon moment arm ( þ 18%) and was not matched by a proportional difference in tendon size ( þ 30%).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\n## RESEARCH ARTICLE\n\n## Muscle and tendon morphology of a world strongman and deadlift champion\n\n- Thomas G. Balshaw, 1 Garry J. Massey, 1,2 Robert Miller, 1,3,4 Emmet J. McDermott, 1,5\n- Thomas M. Maden-Wilkinson, 6 and Jonathan P. Folland 1\n\n1 School of Sport, Exercise, and Health Sciences, Loughborough University, Loughborough, United Kingdom; 2 College of Life and Environmental Sciences, University of Exeter, Exeter, United Kingdom; 3 UK Athletics, Loughborough University, Loughborough, United Kingdom; 4 Department of Sport Science, Aspire Academy, Doha, Qatar; 5 Department of Physical Education and Sport Sciences, University of Limerick, Limerick, Ireland; and 6 Academy of Sport and Physical Activity, Faculty of Health and Wellbeing, Shef /uniFB01 eld Hallam University, Shef /uniFB01 eld, United Kingdom\n\n## Abstract\n\nThis study compared the muscle and tendon morphology of an extraordinarily strong individual, a World ' sStrongestMananddeadlift champion (WSM), with that of various other athletic, trained, and untrained populations. The WSM completed the following: 1 )3.0-T MRI scans, to determine the volume of 22 individual lower limb muscles, 5 functional muscle groups, patellar tendon (PT) cross-sectional area (CSA), and PT moment arm; and 2 ) countermovement jumps (CMJ) and isometric midthigh pull (IMTP) contractions. The WSM was compared with previously assessed groups from our laboratory (muscle and tendon) and the wider research literature (CMJ and IMTP). The WSM ' s CMJ peak power (9,866 W) and gross (9,171 N) and net (7,480 N) IMTP peak forces were higher than any previously published values. The WSM ' s overall measured leg muscle volume was approximately twice that of untrained controls ( þ 96%) but with pronounced anatomical variability in the extent of muscular development. The plantar /uniFB02 exor group ( þ 120%) and the guy rope muscles (sartorius, gracilis, and semitendinosus: þ 140% to þ 202%), which stabilize the pelvis and femur, demonstrated the largest differences relative to that of untrained controls. The WSM ' s pronounced quadriceps size (greater than or equal to twofold vs. untrained) was accompanied by modest PT moment arm differences and, notably, was not matched by an equivalent difference in PT CSA ( þ 30%). These results provide novel insight into the musculotendinous characteristics of an extraordinarily strong individual, which may be toward the upper limit of human variation, such that the WSM ' s very pronounced lower limb muscularity also exhibited distinct anatomical variability and with muscle size largely uncoupled from tendon size.\n\nNEW & NOTEWORTHY Lower-body muscle size of an extraordinarily strong individual, a World ' s Strongest Man and deadlift champion (WSM), was approximately twice that of controls but was underpinned by pronounced anatomical variability in the extent of muscular development ( þ 23 -202%): the plantar /uniFB02 exor group and guy rope muscles demonstrating the largest differences. The WSM ' s quadriceps size (more than or equal to twice that of controls) contrasted with modest differences in patella tendon moment arm ( þ 18%) and was uncoupled from patellar tendon size ( þ 30%).\n\nisometric force; magnetic resonance imaging; power; strength\n\n## INTRODUCTION", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\npredictions of skeletal muscle mass nor dual-energy X-ray absorptiometry provides detailed information on the size of speci /uniFB01 c individual muscles. Given the known importance of muscle size as a determinant of muscular strength (9 -11), pronounced muscle size seems likely to be critical to extreme human strength; however, the speci /uniFB01 c muscle size of extremely strong individuals remains unknown. Similarly, a large moment arm (e.g., of the patella tendon at the knee joint) could contribute to the expression of high muscular strength (10, 12), and a large tendon may mitigate the mechanical stress it experiences with very high muscular loads, and therefore, these characteristics may also be expected in individuals selected for exceptional strength.\n\nIn this paper, we present the /uniFB01 ndings from a unique opportunity to examine the laboratory function, muscle size, and distribution of muscle mass, as well as patellar tendon size and moment arm, of a World ' s Strongest Man and deadlift champion (WSM) in comparison with existing data on untrained individuals, power athletes (100-m-track sprinters), and long-term resistance-trained populations that we have assessed previously (10, 11, 13 -15).\n\n## MATERIALS AND METHODS\n\n## Participant\n\nThe WSM ' s achievements included one World ' sStrongest Man title (14 mo prior to measurement), /uniFB01 ve Britain ' s Strongest Man titles (the most recent 6 mo prior to measurement), twice being World Deadlift Champion and Deadlift WorldRecordholder(500kg;atthetimeofmeasurement), and second place at Europe ' s Strongest Man. Prior to agreeing to participate, the purpose of the research study and the testing procedures were explained to the participant along with the risks and bene /uniFB01 ts of taking part. The participant gave his written informed consent to participate in the study that was approved by the Loughborough University Ethical Advisory Committee (Ethics Number R18-P090). Included in the written consent was a statement providing permission for publication of the collected data and the likelihood that their identity may be evident based on their achievements and characteristics, despite anonymization.\n\n## Training History\n\nThe WSM had been continuously involved in systematic, regular upper- and lower-body resistance training for 15 yr at the time of testing. In the 12 mo prior to testing, the participant ' s resistance training consisted of the following typical exercises: lower body: squats, deadlifts, leg press, and knee extension; and upper body: bench press, shoulder press, dumbbell/barbell rows, and lat pull-down. The proportion of the participant ' s training within the following repetition ranges over the last 12 mo was as follows: near maximum loads [1 -5 repetition maximum (RM)]: 10%; heavy loads (6 -14 RM): 80%; and moderate loads ( /C21 15 RM): 10%. The participant reported only occasional ( < 1 /C2 /week) use of advanced resistance training practices (i.e., complex training and accommodating resistance method) but frequently ( > 3 /C2 / week) executed training repetitions with the intention to move the load as fast as possible. The WSM ' snutritional\n\nsupplement consumption included protein, branched-chain amino acids, and electrolytes.\n\n## Overview", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed12.pdf" - }, - { - "text": "## Acknowledgements\n\nThe authors would like to thank M. Mendoza for his phlebotomy and MRI assistance at the UCSB Brain Imaging Center; C. Stark and R. Tain for MRI assistance at the UCI Facility for Imaging and Brain", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed4.pdf" - }, - { - "text": "Values for comparative populations are means ± SD. CSA, cross-sectional area.\n\ntibialis anterior, extensor digitorum longus, and extensor hallucis longus. The lateral shank compartment included the peroneus longus and brevis. The deep posterior compartment consisted of plantaris, tibialis posterior, /uniFB02 exor digitorum longus, and /uniFB02 exor hallucis longus. All muscles were manually segmented in every other image (i.e., every 20 mm) starting from the most proximal image in which the muscle appeared, except the tensor fasciae latae, gluteus medius and minimus (combined), and popliteus, which were manually segmented in every slice (i.e., every 10 mm) due to their short length. The volume of each individual muscle ( V m) was calculated using previously outlined methods (16)asfollows:\n\nV m ¼ X n /C0 1 i ¼ 1 h 2 ð A m i þ A mi þ 1 Þ\n\nwhere A m represents the muscle CSA calculated from each image, i is the image number, n is the total number of images, and h is the distance between images. The volume of /uniFB01 ve functional muscle groups was calculated as the sum of the following muscles: hip extensors (gluteus maximus, adductor magnus, BFlh, SM, and ST), hip /uniFB02 exors (iliopsoas, RF, sartorius, and tensor fasciae latae), knee extensors (RF, VI, VM, and VL), knee /uniFB02 exors (gracilis, BFlh and BFsh, SM, ST, sartorius, popliteus, and medial and lateral gastrocnemius), and plantar /uniFB02 exors (medial and lateral gastrocnemius and soleus). The sum of all the measured lower-body muscles was also quanti /uniFB01 ed as the volume of ' all muscles. '\n\nOnce muscle MRI scanning had been completed, a /uniFB02 ex coil (GE Medical) was used to acquire unilateral T1-weighted axial (time of repetition/time to echo 650/9.476 ms, image matrix 512 /C2 512, /uniFB01 eld of view 180 /C2 180 mm, pixel size 0.3516 /C2 0.3516 mm, slice thickness 2 mm, and interslice gap 0 mm) and sagittal images (time of repetition/time to echo 606/9.512 ms, image matrix 512 /C2 512, /uniFB01 eld of view 180 /C2 180 mm, pixel size 0.3516 /C2 0.3516 mm, slice thickness 2 mm, and interslice gap ¼ 0 mm) from both knee joints. The axial images were obtained perpendicular to the line of the tendon from /C24 2 cm superior to the apex of the patella to /C24 2cm\n\ninferior to the patellar tendon ' s inferior insertion. Patellar tendon CSA was measured in each contiguous image along the length of the tendon (i.e., from the /uniFB01 rst image where the patella was no longer visible to the /uniFB01 nal image before the tibial insertion). The axial images of the patellar tendon were viewed in grayscale, sharpened, and the perimeter manually outlined. The average of all measured axial patellar tendon CSAs was calculated to produce a mean tendon CSA (mm 2 ) for each leg. The moment arm length of the patellar tendon for each leg was estimated from sagittal plane images as the perpendicular distance from the patellar tendon to the midpoint of tibiofemoral contact (17).\n\n## Countermovement Jump", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed12.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\nFigure 2. Gross (including body weight) isometric midthigh pull (IMTP) peak force ( A ), net (above body weight) IMTP peak force ( B ), countermovement jump (CMJ) peak power ( C ), and CMJ height ( D ) of a World ' s Strongest Man and deadlift champion (WSM) displayed against comparative data from the existing research literature. CMJ was performed with an arm swing by WSM and within all comparative data included in the /uniFB01 gure. /C3 Athletes from different sports or disciplines featured within the sample. Descriptive information (age, height, and body mass) of the groups included as comparative data can be found in Supplemental Materials 1 (IMTP) and 2 (CMJ).\n\n\n\nthe load cells across the two platforms) was displayed in front of the participant during the IMTP efforts, and a horizontal marker was placed on the highest force obtained after the /uniFB01 rst maximum effort. In the of /uniFB02 ine analysis, the force signals were low pass /uniFB01 ltered (10 Hz using a fourth-order zero-lag Butterworth /uniFB01 lter) before summating the force output from the two platforms to derive overall force produced. The instantaneous highest force during maximum efforts was identi /uniFB01 ed as the measure of gross IMTP peak force (i.e., including body weight). Force while the WSM was standing upright on the platform at rest (i.e., body weight) was also subtracted from the peak instantaneous force to calculate net IMTP peak force.\n\n## Analysis and Comparative Data\n\nMuscle volumes, patellar tendon CSA, and patellar tendon moment arm measurements assessed on both legs of the WSM were averaged to provide unilateral criterion values; this facilitated comparisons with various untrained, resistance-trained, and athletic groups previously investigated in published works from our laboratory (10, 11, 13 -15; Table 1). IMTP and CMJ values were predominantly compared with existing research literature with the highest comparable male data [e.g., IMTP gross peak force: (18 -25); IMTP net peak force:\n\n(26 -31); CMJ performed with an arm swing on a force platform (32 -38)]. Where the numerical values (means and SD) from previously published studies were not reported, they were extracted using online software (WebPlotDigitizer, version 4.6, https://automeris.io/WebPlotDigitizer). For IMTP peak force in cases where it was not clearly stated that body weight was subtracted from gross IMTP peak force, measures were assumed to be gross IMTP peak force. Muscle and tendon morphology /uniFB01 gures display means ± SD as well as individual participant data for comparative populations, as these values are from published research from our laboratory. IMTP peak force and CMJ outcome /uniFB01 gures display only means ± SD values for comparative populations, as we relied on published values from the literature where individual participant values were not typically available.\n\n## RESULTS\n\n## Participant Descriptives and Anthropometrics\n\nThe WSM was 30.6 yr old and 1.90 m tall and his body mass was 172 kg upon reporting for the laboratory visit. The age, height, and body mass of participants from the comparative datasets featured in our previously published research are presented in Table 1. Age, height, and body mass for", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed12.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What is typical age at which multiple sclerosis is diagnosed ?", - "target_page": 2, - "target_passage": "Multiple sclerosis (MS) is a progressive inflammatory disease of the central nervous system (CNS) that is typically diagnosed at 30– 40 years of ag", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n## Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing -original draft, Writing -review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing -review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing -review & editing.\n\n## Funding\n\nThe author(s) declare that /uniFB01 nancial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## References\n\n- 1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler . (2020) 26(14):1816 -21. doi: 10.1177/1352458520970841\n- 2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28 (9):1960 -9. doi: 10.1111/sms.13214\n- 3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord . (2017) 13:38 -43. doi: 10.1016/j.msard.2017.01.016\n- 4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport . (2022) 25(2):146 -54. doi: 10.1016/j.jsams.2021.08.015\n- 5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis -time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci Rep . (2019) 19(11):1 -12. doi: 10.1007/s11910-019-1002-3\n- 6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, Gaemelke T, et al. Investigating the potential disease-modifying and neuroprotective ef /uniFB01 cacy of exercise therapy early in the disease course of multiple sclerosis: the early multiple sclerosis exercise study (EMSES). Mult Scler . (2022) 28(10):1620 -9. doi: 10. 1177/13524585221079200\n- 7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and lifestyle physical activity recommendations for people with multiple sclerosis throughout the disease course. Mult Scler . (2020) 26(12):1459 -69. doi: 10.1177/ 1352458520915629\n- 8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, et al. Test-retest reliability and known-groups validity of trunk muscle tests in people with multiple sclerosis: a cross-sectional, case-control study. Phys Ther . (2021) 101 (5):1 -9. doi: 10.1093/ptj/ptzab049\n- 9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of trunk impairments and its relationship with disability level in individuals with multiple sclerosis? Mul Scler Relat Disord . (2021) 57:103325. doi: 10.1016/j.msard. 2021.103325\n- 10. Normann B, Arntzen EC. What are the relationships between trunk control, balance and walking in individuals with multiple sclerosis with minor to moderate disability? Eur J Physiother . (2021) 23(6):377 -83. doi: 10.1080/21679169.2020.1772870\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Con /uniFB02 ict of interest", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "## 1 Introduction\n\nMultiple sclerosis (MS) is a progressive in /uniFB02 ammatory disease of the central nervous system (CNS) that is typically diagnosed at 30 -40 years of age (1). A great concern is the signi /uniFB01 cantly lower levels of physical activity (PA) in people with MS (pwMS) across disability levels than in their healthy counterparts (2, 3).\n\nEarly promotion of PA and exercise is recommended due to numerous established bene /uniFB01 ts in health, symptom management and well-being for pwMS (4). In particular, high-intensity training is endorsed, as it has possible neuroprotective effects in the disease course (5, 6). In addition, exercises addressing sensorimotor impairments (e.g., reduced muscle strength, reduced neuromuscular control) are recommended, as they target individuals ' capability to remain physically active (7). Sensorimotor impairments can in /uniFB02 uence trunk control, which is commonly disturbed in pwMS, even when disability is low (8, 9), and correlate with impaired balance, walking capacity and distance (10, 11). PwMS ' s knowledge of exercise bene /uniFB01 ts, attitudes and motivations, as well as contextual aspects such as lack of optimal exercise interventions, accessibility and support, affect the level of PA and exercise participation (12).\n\nCoreDISTparticipation (Table 1) is a new comprehensive intervention addressing sensorimotor function, trunk control, high-intensity running/walking and work participation in pwMS with low disability (13). It is based on the GroupCoreDIST 1 intervention, which has been shown to have signi /uniFB01 cant shortand long-term effects on trunk control, balance and walking among pwMS (14, 15). However, no effects of the intervention on objectively measured PA have been identi /uniFB01 ed, even though the participants reported perceptions of new possibilities to be\n\nDiscussion: High-intensity training combined with detailed exercises in a physiotherapy outdoor group was perceived to create meaningful bodily changes and enhance PA and prospects for both PA and life. Importantly, however, some negative experiences were also reported from the high-intensity training. Enactive theory allowed for the illumination of new perspectives: the importance of embodiment for self-ef /uniFB01 cacy and of tailored physiotherapy and an outdoor-group environment for exploring one ' s own limits to physical capabilities. These aspects should inform future exercise interventions in pwMS with low disability.\n\nKEYWORDS\n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, postural balance, enactive theory\n\nphysically active as their sensorimotor impairments improved (16). To address PA challenges in pwMS, GroupCoreDIST was further developed to include a four-week period of outdoor training, in which high-intensity walking/running and GroupCoreDIST exercises are integrated (Table 2). To our knowledge, combinations of high-intensity training and rehabilitation of speci /uniFB01 c sensorimotor functions have been sparsely explored. Patient perspectives are essential for the evaluation of healthcare interventions (17); however, the new outdoor component of CoreDISTparticipation has yet to be investigated from a /uniFB01 rst-person perspective. Particularly interesting is what participants perceive as meaningful regarding the intervention, as this is essential for motivation, motor learning and exercise adherence (18).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and re /uniFB02 exivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers ' closeness to the intervention and the clinical /uniFB01 eld may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of ' blind spots ' , as the researchers may prejudice participants ' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, /uniFB01 ndings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n## 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals af /uniFB01 liated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29)of ≤ 3.5, was ≥ 18 years, was employed (10% -100% of full-time) and residential address in the two prede /uniFB01 ned municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT ( n = 15) were included (Table 3).\n\n## 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were\n\nTABLE 3 Participant demographic information.TABLE 4 Interview guide.\n\n| Variable | Total ( n =15) |\n|------------------------------------|-----------------------------------------------|\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 and 2013, by age of individual at first presentation.\n\n\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age profile throughout. Rises in average age of initiation have also been reported recently in cohorts of Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible explanations.\n\n -  There is a genuine shift towards new initiates being older, and for them to present to treatment much faster than in previous years.\n -  There is a consistent, but small number of individuals who mis-report their age of onset when attending treatment i.e. who report that they have only been using opiates/crack for a short period when in fact they have been using for a far longer period, and that this is starting to really bias the numbers for recent cohorts because attendees from the original epidemic are becoming smaller.\n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of older initiates, although mis-reporting may also explain that phenomenon. Either way though, as this analysis has made clear throughout, absolute numbers of new OCUs appear to be small probably fewer than 10,000 per annum and the numbers of those involved with crime will be smaller still. In addition, despite a flattening in the probable trend in new users, there is currently no sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to resume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "- 39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J . (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n - 40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, bene /uniFB01 ts, safety, guidelines, and promotion. Int J Environ Res Public Health . (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n - 41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair . (2019) 33(1):3 -14. doi: 10.1177/1545968318818904\n - 42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in /uniFB01 tness, mobility and cognition with exercise-training in MS. Acta Neurol Scand . (2019) 139 (2):183 -91. doi: 10.1111/ane.13041\n - 43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int . (2019) 25(3):e1829. doi: 10.1002/pri.1829\n - 44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract . (2020) 36(7):769 -78. doi: 10.1080/09593985.2018.1493165\n - 45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract . (2015) 31(4):244 -52. doi: 10.3109/ 09593985.2014.1002873\n - 46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-0170981-4\n - 47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care . (2021) 23(4):186 -92. doi: 10.7224/1537-2073.2020-066\n - 48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches . 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "| Week 1: MS outpatient clinic | Consultation with the MS nurse (20 min) to address work-related issues based on a structured guide comprising the following themes: knowledge of MS at the workplace, experienced work-related challenges due to MS, potential needs and facilitators . Physiotherapy assessment (60 min) to explore the potential for changes in balance and walking aiming to turn focus toward possibilities and thus, |\n|--------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| | Based on these assessments the MS nurse and the physiotherapist indicated the aspects of importance on a standardized form to inform the municipal physiotherapist. |\n| | Standardized testing (baseline, for the RCT). |\n| Week 2 - 5: Municipality | Physiotherapy assessment (60 - 90 min) to explore the patient ' s impairments and potential for improvements in a clinical examination prior to group-training. |\n| | Indoor group (60 min × 2 weekly, for 4 weeks). There were three to /uniFB01 ve participants in each group and one physiotherapist. Trunk control, balance and physical activity were addressed (GroupCoreDIST). Participants received a link to CoreDIST digital exercise-videos and were advised to do them 1 × weekly throughout the intervention. (videos can be accessed here: https://www.nord.no/en/node/35,098) |\n| | Digital meeting with a multidisciplinary team (pwMS, employer, physiotherapist & MS nurse) (20 min) regarding barriers to work participation and needs for adaptations regarding work and physical activity, according to a structured meeting-guide (one meeting). |\n| Week 6 | Standardized testing (midway, for the RCT). |\n| Week 7 - 10: Municipality | Outdoor group (60 min × 2 weekly, for 4 weeks). A maximum of ten participants and two physiotherapists were included in each group. Trunk control and balance (GroupCoreDIST exercises) were addressed, and high-intensity walking or running was performed. The intervention was conducted in a city park where both /uniFB02 at and uneven surfaces and hilly terrain were available (Table 2). |", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed13.pdf" - }, - { - "text": "Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.\n\n| Year of first test | Age 18 - 24 | Age 25 - 29 | Age 30 - 34 | Age 35 - 39 | Age 40 over | Total |\n|-----------------------|-----------------|-----------------|-----------------|-----------------|-----------------|---------|\n| 26% | 27% | 24% | 16% | 7% | 100% | 2004 |\n| 23% | 27% | 24% | 17% | 9% | 100% | 2005 |\n| 25% | 26% | 22% | 17% | 11% | 100% | 2006 |\n| 24% | 25% | 21% | 16% | 13% | 100% | 2007 |\n| 21% | 23% | 21% | 18% | 16% | 100% | 2008 |\n| 23% | 22% | 20% | 17% | 18% | 100% | 2009 |\n| 22% | 21% | 20% | 17% | 20% | 100% | 2010 |\n| 22% | 19% | 20% | 16% | 22% | 100% | 2011 |\n| 19% | 20% | 22% | 17% | 23% | 100% | 2012 |\n| 17% | 20% | 22% | 16% | 25% | 100% | 2013 |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 'new-individuals' cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## Con /uniFB02 ict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or /uniFB01 nancial relationships that could be construed as a potential con /uniFB02 ict of interest.\n\n## Publisher ' s note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their af /uniFB01 liated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n- 11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the relationship between trunk motor control and balance, functional mobility, and gait capacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor kontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin incelenmesi. Türk Nöroloji Dergisi . (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n- 12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple sclerosis: a review and content analysis of qualitative research identifying perceived determinants and consequences. Disabil Rehabil . (2016) 38(13):1227 -42. doi: 10. 3109/09638288.2015.1077397\n- 13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing sensorimotor function, physical activity and employment for people with MS -a feasibility study. Fysioterapeuten . (2023) 90(1):32 -42. doi: 10.52705/ c14a8ca05f7546dabc18bd0275cf2edd\n- 14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, individualized, comprehensive core stability and balance intervention provides immediate and long-term improvements in walking in individuals with multiple sclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798. doi: 10.1002/pri.1798\n- 15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Groupbased individualized comprehensive core stability intervention improves balance in persons with multiple sclerosis: a randomized controlled trial. Phys Ther . (2019) 99 (8):1027 -38. doi: 10.1093/ptj/pzz017\n- 16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized exercises can provide perceived bodily changes and strengthen aspects of self in individuals with MS: a qualitative interview study. Physiother Theory Pract . (2019) 37(10):1080 -95. doi: 10.1080/09593985.2019.1683923\n- 17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The importance of the patient ' s perspective in decision-making in multiple sclerosis: results of the OwnMS patient perspectives study. Mult Scler Relat Disord . (2023) 75:104757. doi: 10.1016/j.msard.2023.104757\n- 18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: implications for rehabilitation after brain damage. J Speech Lang Hear Res . (2008) 51(1):225 -39. doi: 10.1044/1092-4388(2008/018)\n- 19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind . Cambridge, Mass: Harvard University Press (2007).\n- 20. Merleau-Ponty M. Phenomenology of Perception . London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "performed an outlier check, labeling images as a 'low-quality outlier' if the correlation coefficient was >3 s.d. from the absolute mean. None of our scans were flagged as outliers. The reconstructed participant files were aggregated into one connectometry database per metric.\n\nDay2Day control dataset . To compare our findings against a control group of nonpregnant densely-sampled individuals, we used the Day2Day dataset 23 which offered comparable whole-brain T1 and T2 MTL scans for eight participants (two male) scanned 12-50 times over 2-7 months. Each participant was run through the ANTs CT and ASHS processing pipelines as outlined above ('Cortical volume and thickness' and 'Hippocampal segmentation'). To note, for each participant, we created an SST based on their first two sessions for consistency with the primary dataset; subfield volumes for the T2 MTL scans did not undergo manual retouching. Due to missing header information on the publicly available diffusion scans, we were unable to benchmark our white matter changes with the Day2Day dataset.\n\nStatistical analysis . Statistical analyses were conducted using R (sMRI; version 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\nSummary brain metrics . To reflect the existing literature, we first explored brain metrics across the entire study duration (prepregnancy through postpartum, n = 26 scans). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, k = 10, smoothing = GCV), a method of nonparametric regression analysis (R package, mgcv 76 ), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards to (1) the choice of basis dimension ( k ) and (2) the distribution of model residuals (see mgcv documentation in ref. 76). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes 77 . To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (that is, models using only a linear term versus models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for nonlinear changes in structural brain variables over time. Determining whether these patterns replicate in larger cohorts and whether complex models are better suited to capture data patterns across individuals will be a necessary next step.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "prerecorded message then inquired whether any household member was $ 18 years of age and had experienced respiratory symptoms (eg, shortness of breath, wheezing, increased mucus or sputum, prolonged cough) within the past 6 months. Households with af /uniFB01 rmative responses were subsequently contacted by the local study coordinator for a follow-up call. The household member reporting respiratory symptoms was verbally consented and screened for eligibility to participate in the study over the telephone. 8,9\n\nExclusion criteria included the following: (1) a history of diagnosis of lung or airway disease, (2) use of respiratory inhalers aside from as-needed salbutamol, (3) contraindications for spirometry (eg, occurrences of myocardial infarction, stroke, aortic or cerebral aneurysm, eye surgery, detached retina within the last 3 months), (4) inability or refusal to provide informed consent, (5) being in the third trimester of pregnancy, and (6) being < 18 years of age.\n\nEach participant completed the Asthma Screening Questionnaire (ASQ) 10 via telephone. Individuals aged $ 60 years, and those aged < 60 years who scored < 6 points on the ASQ, also completed the COPD-Diagnostic Questionnaire. 11,12 Participants scoring $ 6 points on the ASQ or $ 20 points on the COPD-Diagnostic Questionnaire were invited to the study site for pre- and postbronchodilator (BD) spirometry.\n\nA control group without respiratory symptoms was selected randomly using identical random digit dialing methods. Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ. Participants were recruited as control patients if they could be matched with an individual from the undiagnosed group based on age ( /C6 5 years) and sex. This matching process aimed to have similar demographic pro /uniFB01 les between the control group and the newly found cases. This matching was implemented solely to ensure demographic comparability across the study groups and not for pairing patients for statistical analysis purposes.\n\nAll participants /uniFB01 lled out the COPD Assessment Test (CAT) questionnaire. Elevated CAT scores indicate a greater burden of respiratory symptoms impacting daily activities and health status. 13 The St. George ' s Respiratory Questionnaire (SGRQ) 14-16 was used to assess respiratory disease-related quality of life. Higher SGRQ scores indicate poorer health status. Both the CAT and SGRQ questionnaires were completed prior\n\nto spirometry to avoid in /uniFB02 uencing patients ' perceptions of their dyspnea.\n\n## Classi /uniFB01 cation of Undiagnosed Cases\n\nCerti /uniFB01 ed study personnel administered spirometry tests before and after BD use. Participants showing an increase of at least 12% and 200 mL in their FEV1 after receiving 400 m g of salbutamol were classi /uniFB01 ed as having spirometry indicative of asthma. 17 Those whose post-BD ratio of FEV1/FVC fell below the lower 95% con /uniFB01 dence limit (ie, FEV1/FVC < lower limit of normal) were classi /uniFB01 ed as having spirometry indicative of COPD. 18 Participants meeting the criteria for both conditions were labeled as having COPD. Those with a post-BD FEV1 < 80% of the predicted normal and a post-BD FEV1/FVC ratio > 0.70 were classi /uniFB01 ed as having spirometry indicative of preserved ratio impaired spirometry (PRISm). PRISm was de /uniFB01 ned based on post-BD spirometry values for a more speci /uniFB01 c classi /uniFB01 cation. 19 Participants not meeting criteria for asthma, COPD, or PRISm were labeled as having normal spirometry.\n\n## Assessment of the Impact of Participants ' Dyspnea", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What was the average year of the group that participated to the study concerning the impact of outdoor pysiotherapy on patient with multiple sclerosis", - "target_page": 4, - "target_passage": "Age in years Mean 47.6", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n## Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing -original draft, Writing -review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing -review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing -review & editing.\n\n## Funding\n\nThe author(s) declare that /uniFB01 nancial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## References\n\n- 1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler . (2020) 26(14):1816 -21. doi: 10.1177/1352458520970841\n- 2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28 (9):1960 -9. doi: 10.1111/sms.13214\n- 3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord . (2017) 13:38 -43. doi: 10.1016/j.msard.2017.01.016\n- 4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport . (2022) 25(2):146 -54. doi: 10.1016/j.jsams.2021.08.015\n- 5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis -time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci Rep . (2019) 19(11):1 -12. doi: 10.1007/s11910-019-1002-3\n- 6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, Gaemelke T, et al. Investigating the potential disease-modifying and neuroprotective ef /uniFB01 cacy of exercise therapy early in the disease course of multiple sclerosis: the early multiple sclerosis exercise study (EMSES). Mult Scler . (2022) 28(10):1620 -9. doi: 10. 1177/13524585221079200\n- 7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and lifestyle physical activity recommendations for people with multiple sclerosis throughout the disease course. Mult Scler . (2020) 26(12):1459 -69. doi: 10.1177/ 1352458520915629\n- 8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, et al. Test-retest reliability and known-groups validity of trunk muscle tests in people with multiple sclerosis: a cross-sectional, case-control study. Phys Ther . (2021) 101 (5):1 -9. doi: 10.1093/ptj/ptzab049\n- 9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of trunk impairments and its relationship with disability level in individuals with multiple sclerosis? Mul Scler Relat Disord . (2021) 57:103325. doi: 10.1016/j.msard. 2021.103325\n- 10. Normann B, Arntzen EC. What are the relationships between trunk control, balance and walking in individuals with multiple sclerosis with minor to moderate disability? Eur J Physiother . (2021) 23(6):377 -83. doi: 10.1080/21679169.2020.1772870\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Con /uniFB02 ict of interest", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and re /uniFB02 exivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers ' closeness to the intervention and the clinical /uniFB01 eld may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of ' blind spots ' , as the researchers may prejudice participants ' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, /uniFB01 ndings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n## 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals af /uniFB01 liated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29)of ≤ 3.5, was ≥ 18 years, was employed (10% -100% of full-time) and residential address in the two prede /uniFB01 ned municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT ( n = 15) were included (Table 3).\n\n## 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were\n\nTABLE 3 Participant demographic information.TABLE 4 Interview guide.\n\n| Variable | Total ( n =15) |\n|------------------------------------|-----------------------------------------------|\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "\n\n\n\nEDITED BY\n\nJacqui H Morris,\n\nUniversity of Dundee, United Kingdom\n\nREVIEWED BY\n\nNicola Saywell,\n\nAuckland University of Technology,\n\nNew Zealand\n\nVerna Stavric,\n\nAuckland University of Technology,\n\nNew Zealand\n\n* CORRESPONDENCE\n\nStine Susanne Haakonsen Dahl stine.s.dahl@nord.no\n\nRECEIVED 27 September 2023\n\nACCEPTED\n\n06 March 2024\n\nPUBLISHED 18 March 2024\n\nCITATION\n\nDahl SSH, Arntzen EC and Normann B (2024) The meaningfulness of exploring one ' s own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study.\n\nFront. Rehabil. Sci. 5:1303094. doi: 10.3389/fresc.2024.1303094\n\nCOPYRIGHT\n\n©2024 Dahl, Arntzen and Normann. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.\n\n|\n\nThe meaningfulness of exploring one ' s own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study\n\nStine Susanne Haakonsen Dahl 1 * , Ellen Christin Arntzen 1 and Britt Normann 1,2\n\n1 Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2 Department of Physiotherapy, Nordland Hospital Trust, Bodø, Norway\n\nBackground and purpose: Physical activity (PA) is often reduced in people with MS (pwMS), even when disability is low. Understanding the perspectives of pwMS on interventions aiming to improve PA is important to inform the development of such services. The aim of this study was to explore the experiences of pwMS participating in an outdoor, high-intensity and balance exercise group intervention.\n\nMethods: This qualitative study was nested within an RCT exploring a novel intervention integrating sensorimotor exercises with high-intensity intervals of running/walking. Individual, in-depth interviews with the intervention group ( n =15; 12 women, 3 men; age 38 -66; EDSS score 0 -3.5) were conducted postintervention (mean days = 14), analyzed using a phenomenologicalinspired approach with systematic text condensation, and interpreted based on enactive theory.\n\nResults: Four categories were generated: (1) Exploration of one ' s own physical abilities: Challenging one ' s own limits was perceived by all participants to improve movement performance and/or intensity level. Such bodily changes engendered strong positive feelings. Some negative consequences of highintensity training were described, increasing a feeling of loss. (2) New insights and beliefs: Participants experienced enhanced beliefs in their own capabilities, which they integrated in activities outside the intervention. (3) An engaging environment: The group setting was perceived as supportive, and the outdoor environment was perceived as stimulating activity. (4) Professional leadership, tailoring and co-creation of enjoyment: Physiotherapist-led, individualized interactions were regarded as necessary to safely revisit prior activities, such as running. Co-creating enjoyment facilitated high-intensity training and intervention adherence.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "- 39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J . (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n - 40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, bene /uniFB01 ts, safety, guidelines, and promotion. Int J Environ Res Public Health . (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n - 41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair . (2019) 33(1):3 -14. doi: 10.1177/1545968318818904\n - 42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in /uniFB01 tness, mobility and cognition with exercise-training in MS. Acta Neurol Scand . (2019) 139 (2):183 -91. doi: 10.1111/ane.13041\n - 43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int . (2019) 25(3):e1829. doi: 10.1002/pri.1829\n - 44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract . (2020) 36(7):769 -78. doi: 10.1080/09593985.2018.1493165\n - 45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract . (2015) 31(4):244 -52. doi: 10.3109/ 09593985.2014.1002873\n - 46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-0170981-4\n - 47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care . (2021) 23(4):186 -92. doi: 10.7224/1537-2073.2020-066\n - 48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches . 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42). However, our /uniFB01 ndings illuminate qualitative aspects of how to achieve tailored and meaningful intersubjective interactions in an exercise intervention.\n\nWe consider the instances of the physiotherapist running together with the participant, which were perceived as important for participants ' performance, to be an example of ' participatory sense-making ' (22) . As participants appreciated being guided or even pushed by the physiotherapists, it appears that the physiotherapists were trusted in directing this interaction. As such, we argue that the physiotherapists ' ability to adapt to participants ' movements, speech and gestures -tailoring the interaction to their needs -was important for this ability to be perceived as purposeful. This is supported by the few negative incidents described where the participant-physiotherapist interaction seemed to not be jointly coordinated and appeared to fail. The reported mutual in /uniFB02 uences of sensorimotor capabilities and interpersonal coordination, with the physiotherapists but also the group, are in accordance with sensorimotor capacities and intersubjective interactions being important for sensemaking in the world (35). The bene /uniFB01 ts of these individualized participant-physiotherapist interactions are also described in speci /uniFB01 c core-stability exercises in indoor groups (16, 43) and are in line with the theoretical framework of facilitation of movement through hands-on interaction previously proposed (44, 45). Our study informs new knowledge of physiotherapistparticipant interactions to achieve the recommended highintensity training and calls for physiotherapy clinical reasoning through bodily and verbal communication skills adapted to the participants ' responses in an ongoing and situated way.\n\nEnjoyment has previously been reported to promote PA in pwMS, and our study brings requested knowledge of what can constitute enjoyment in an exercise intervention (46): playful group-exercise tasks, a cheerful physiotherapist, and the outdoor environment.\n\nThe appreciation of being active outdoors in the study sample aligns with that in the general population (47). The outdoors provided a natural environment, which both invited participants to actively explore abilities thought of as left behind after their diagnosis with MS, such as running, and provided an appreciated break from focusing on MS symptoms. We also suggest that the positive experiences of mastering the challenging weather conditions and the added meaning of exercising among other people in the city park can be explained according to such terms. These positive experiences show how we are enmeshed in our history, context and social encounters (35) and how these aspects should also be accounted for when designing exercise interventions.\n\n## 4.3 Methodological considerations\n\nThe design and methods were adequate for deriving knowledge from individuals ' experiences. The participants selfreferred to the intervention and were recruited based on pre-set criteria. This approach yielded rich information from people with mild to moderate disabilities due to MS who were\n\nmotivated for physical activity (PA), employed, and residing in northern Norway. Ethnicity or socio-economic class were not recorded. However, considering that all these factors can in /uniFB02 uence PA engagement (46), it is possible that additional aspects of the phenomenon could be uncovered in a different sample (48). There was a higher percentage of women participating than men; however, this corresponds to the gender distribution in the MS population (1).\n\nThe use of enactive theory was innovative within the /uniFB01 eld and allowed for, in particular, new aspects of importance for selfef /uniFB01 cacy to be identi /uniFB01 ed. Transference of our results to similar populations can be achieved through theoretical generalization (28).\n\n## 4.4 Implications for clinical practice", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "## 1 Introduction\n\nMultiple sclerosis (MS) is a progressive in /uniFB02 ammatory disease of the central nervous system (CNS) that is typically diagnosed at 30 -40 years of age (1). A great concern is the signi /uniFB01 cantly lower levels of physical activity (PA) in people with MS (pwMS) across disability levels than in their healthy counterparts (2, 3).\n\nEarly promotion of PA and exercise is recommended due to numerous established bene /uniFB01 ts in health, symptom management and well-being for pwMS (4). In particular, high-intensity training is endorsed, as it has possible neuroprotective effects in the disease course (5, 6). In addition, exercises addressing sensorimotor impairments (e.g., reduced muscle strength, reduced neuromuscular control) are recommended, as they target individuals ' capability to remain physically active (7). Sensorimotor impairments can in /uniFB02 uence trunk control, which is commonly disturbed in pwMS, even when disability is low (8, 9), and correlate with impaired balance, walking capacity and distance (10, 11). PwMS ' s knowledge of exercise bene /uniFB01 ts, attitudes and motivations, as well as contextual aspects such as lack of optimal exercise interventions, accessibility and support, affect the level of PA and exercise participation (12).\n\nCoreDISTparticipation (Table 1) is a new comprehensive intervention addressing sensorimotor function, trunk control, high-intensity running/walking and work participation in pwMS with low disability (13). It is based on the GroupCoreDIST 1 intervention, which has been shown to have signi /uniFB01 cant shortand long-term effects on trunk control, balance and walking among pwMS (14, 15). However, no effects of the intervention on objectively measured PA have been identi /uniFB01 ed, even though the participants reported perceptions of new possibilities to be\n\nDiscussion: High-intensity training combined with detailed exercises in a physiotherapy outdoor group was perceived to create meaningful bodily changes and enhance PA and prospects for both PA and life. Importantly, however, some negative experiences were also reported from the high-intensity training. Enactive theory allowed for the illumination of new perspectives: the importance of embodiment for self-ef /uniFB01 cacy and of tailored physiotherapy and an outdoor-group environment for exploring one ' s own limits to physical capabilities. These aspects should inform future exercise interventions in pwMS with low disability.\n\nKEYWORDS\n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, postural balance, enactive theory\n\nphysically active as their sensorimotor impairments improved (16). To address PA challenges in pwMS, GroupCoreDIST was further developed to include a four-week period of outdoor training, in which high-intensity walking/running and GroupCoreDIST exercises are integrated (Table 2). To our knowledge, combinations of high-intensity training and rehabilitation of speci /uniFB01 c sensorimotor functions have been sparsely explored. Patient perspectives are essential for the evaluation of healthcare interventions (17); however, the new outdoor component of CoreDISTparticipation has yet to be investigated from a /uniFB01 rst-person perspective. Particularly interesting is what participants perceive as meaningful regarding the intervention, as this is essential for motivation, motor learning and exercise adherence (18).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "It was an added positive experience to use our city park and notice all the other people who were there … it is something about challenging our comfort-zone . (ID4, EDSS: 0)\n\nThe natural environment was also described as taking focus away from MS symptoms. Cold, rainy or snowy weather conditions required planning of adequate clothing; in addition, these conditions led some participants to use cautious behavior when the ground was slippery and led a few to omit sessions. However, mastering outdoor exercise was highlighted in positive terms, such as discovering new ways to become active.\n\n## 3.4 Professional leadership, tailoring and co-creation of enjoyment\n\nThe way the physiotherapists led the group and, in particular, interacted with each participant were regarded as helpful for improving their bodily functions and activity levels. Some participants reported being afraid to try out new activities or training at high intensities after being diagnosed with MS but felt safe to explore when supervised by the physiotherapist because of their trust in the relationship between them and in the physiotherapist ' s professional knowledge.\n\nHow the physiotherapist approached the participants individually was described as important from this perspective. In particular, bodily interactions in which the physiotherapist demonstrated with his or her own body or placed his or her hands on the participant ' s body to correct a movement were reported to be successful, as it helped to increase speed and gave participants a sense of performing better or for a longer duration. If they did an exercise in a suboptimal way, participants reported receiving precise supervision, or if they expressed pain or were injured, the physiotherapist was supportive, assessed them and", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed13.pdf" - }, - { - "text": "## Con /uniFB02 ict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or /uniFB01 nancial relationships that could be construed as a potential con /uniFB02 ict of interest.\n\n## Publisher ' s note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their af /uniFB01 liated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n- 11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the relationship between trunk motor control and balance, functional mobility, and gait capacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor kontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin incelenmesi. Türk Nöroloji Dergisi . (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n- 12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple sclerosis: a review and content analysis of qualitative research identifying perceived determinants and consequences. Disabil Rehabil . (2016) 38(13):1227 -42. doi: 10. 3109/09638288.2015.1077397\n- 13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing sensorimotor function, physical activity and employment for people with MS -a feasibility study. Fysioterapeuten . (2023) 90(1):32 -42. doi: 10.52705/ c14a8ca05f7546dabc18bd0275cf2edd\n- 14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, individualized, comprehensive core stability and balance intervention provides immediate and long-term improvements in walking in individuals with multiple sclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798. doi: 10.1002/pri.1798\n- 15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Groupbased individualized comprehensive core stability intervention improves balance in persons with multiple sclerosis: a randomized controlled trial. Phys Ther . (2019) 99 (8):1027 -38. doi: 10.1093/ptj/pzz017\n- 16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized exercises can provide perceived bodily changes and strengthen aspects of self in individuals with MS: a qualitative interview study. Physiother Theory Pract . (2019) 37(10):1080 -95. doi: 10.1080/09593985.2019.1683923\n- 17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The importance of the patient ' s perspective in decision-making in multiple sclerosis: results of the OwnMS patient perspectives study. Mult Scler Relat Disord . (2023) 75:104757. doi: 10.1016/j.msard.2023.104757\n- 18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: implications for rehabilitation after brain damage. J Speech Lang Hear Res . (2008) 51(1):225 -39. doi: 10.1044/1092-4388(2008/018)\n- 19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind . Cambridge, Mass: Harvard University Press (2007).\n- 20. Merleau-Ponty M. Phenomenology of Perception . London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "## 4.4 Implications for clinical practice\n\nCombining high-intensity walking/running and detailed sensorimotor exercises was valued and provided meaningful embodied experiences, improving participants ' ability to master PA and their beliefs of their own possibilities for being active in the future. However, the manner in which the content of an exercise intervention is delivered and the environment in which it is delivered should be accounted for, as these aspects were perceived to be of great importance in creating and shaping participants ' experiences. In particular, tailored physiotherapistparticipant bodily interactions and an engaging group and outdoor environment were perceived to be pertinent for exploring one ' s own potential.\n\nTo minimize negative incidents in future interventions, we suggest that (1) the effort required from one ' s leg muscles during the detailed exercises (in between the running/walking intervals) should be low to minimize the negative consequences of leg muscle fatigue prior to high-intensity running/walking, (2) the capacity for running/walking at highintensity should be explored in one-to-one physiotherapy assessment prior to group training to optimize individuals capabilities and safety, and (3) homogenous and small-sized groups should be used to enable ongoing and tailored physiotherapist-participant interactions.\n\n## Data availability statement\n\nThe datasets presented in this article are not readily available because of ethical and legal restrictions. Requests to access the datasets should be directed to stine.s.dahl@nord.no.\n\n## Ethics statement\n\nThis study involving humans was approved by Regional Committee for Medical Research Ethics in North Norway (REK North: 174,837) and the Data Protection Of /uniFB01 cer at Nordlandssykehuset Hospital Trust, Norway. This study was conducted in accordance with the local legislation and", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "## Abbreviations\n\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of Referral and Outcome; OSPRO-ROS: Review of systems screening tool from OSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening tool from OSPRO cohort study\n\n## Acknowledgements\n\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. Marlow for their input on study design and analysis. OPT-IN Network Participants included: University of Florida: Joel Bialosky; UF Health: Giorgio Zeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike Hodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI Physical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise Harris, Jordan Floyd, Wade Harrell; University of Southern California: Lori Michener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata Salvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando Malaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University of Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, Adam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: Ryan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia University: Angela Tate; Life ' s Work Physical Therapy: Sandra Stryker, Aaron Leonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, Charleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul Mintken, Virginia Arnette, Andrea Barsch.\n\n## Funding\n\nThis project was supported by the 2013 Clinical Research Network grant from the Orthopaedic Section, American Physical Therapy Association. The funding body had no role in the design of the study or collection, analysis, and interpretation of the data or in writing the manuscript. TAL received additional support from the Foundation for Physical Therapy with Promotion of Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional support from Brooks Rehabilitation while designing this study. JMB received support from the American National Institutes of Health (NIH) Rehabilitation Research Career Development Program (K12-HD055929).\n\n## Availability of data and materials\n\nThe data that support the findings of this study are available from the corresponding author upon reasonable request.\n\n## Authors ' contributions\n\nTAL provided input on study design and analysis plan, drafted the manuscript and approved final version of the manuscript. SZG secured funding, provided overall design, gave input on the analysis plan and approved final version of the manuscript. JMB provided input on design and analysis plan and approved final version of the manuscript.\n\n## Ethics approval and consent to participate\n\nEthics approval for this study was granted by the University of Florida Institutional Review Board-01 (Study #: 525 -2012). All participants provided written consent to participate in the study.\n\n## Consent for publication\n\nNot applicable.\n\n## Competing interests\n\nThe authors declare that they have no competing interests.\n\n## Publisher ' s Note\n\nSpringer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n## Author details\n\n1 Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA. 2 Department of Physical Therapy, College of Public Health & Health Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL 32610-0154, USA. 3 Brooks Rehabilitation Clinical Research Center, 3901 University Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4 Duke Clinical Research Institute, Department of Orthopaedic Surgery, Duke University, 2400 Pratt Street, Durham, NC 27705, USA.\n\nReceived: 9 November 2017 Accepted: 14 August 2018\n\n## References", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed13.pdf", - "query": "What were the prerequisites allowing to be involved in the study concerning the impact of outdoor sport on patients witg multiple sclerosis ?", - "target_page": 4, - "target_passage": "The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29) of ≤3.5, was ≥18 years, was employed (10%–100% of full-time) and residential address in the two predefined municipalities", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "institutional requirements. The participants provided their written informed consent to participate in this study.\n\n## Author contributions\n\nSD: Conceptualization, Data curation, Formal Analysis, Investigation, Methodology, Project administration, Resources, Visualization, Writing -original draft, Writing -review & editing. EA: Conceptualization, Formal Analysis, Methodology, Supervision, Writing -review & editing. BN: Conceptualization, Formal Analysis, Funding acquisition, Methodology, Project administration, Resources, Supervision, Writing -review & editing.\n\n## Funding\n\nThe author(s) declare that /uniFB01 nancial support was received for the research, authorship, and/or publication of this article.\n\nThe development of the CoreDISTparticipation and the RCT is funded by the Northern Norway Health Authority (Helse Nord RHF). This interview study was funded by Nord University (PhD salary).\n\n## References\n\n- 1. Walton C, King R, Rechtman L, Kaye W, Leray E, Marrie RA, et al. Rising prevalence of multiple sclerosis worldwide: insights from the Atlas of MS, third edition. Mult Scler . (2020) 26(14):1816 -21. doi: 10.1177/1352458520970841\n- 2. Casey B, Coote S, Galvin R, Donnelly A. Objective physical activity levels in people with multiple sclerosis: meta-analysis. Scand J Med Sci Sports . (2018) 28 (9):1960 -9. doi: 10.1111/sms.13214\n- 3. Kinnett-Hopkins D, Adamson B, Rougeau K, Motl RW. People with MS are less physically active than healthy controls but as active as those with other chronic diseases: an updated meta-analysis. Mult Scler Relat Disord . (2017) 13:38 -43. doi: 10.1016/j.msard.2017.01.016\n- 4. Hoang PD, Lord S, Gandevia S, Menant J. Exercise and sports science Australia (ESSA) position statement on exercise for people with mild to moderate multiple sclerosis. J Sci Med Sport . (2022) 25(2):146 -54. doi: 10.1016/j.jsams.2021.08.015\n- 5. Dalgas U, Langeskov-Christensen M, Stenager E, Riemenschneider M, Hvid LG. Exercise as medicine in multiple sclerosis -time for a paradigm shift: preventive, symptomatic, and disease-modifying aspects and perspectives. Curr Neurol Neurosci Rep . (2019) 19(11):1 -12. doi: 10.1007/s11910-019-1002-3\n- 6. Riemenschneider M, Hvid LG, Ringgaard S, Nygaard MKE, Eskildsen SF, Gaemelke T, et al. Investigating the potential disease-modifying and neuroprotective ef /uniFB01 cacy of exercise therapy early in the disease course of multiple sclerosis: the early multiple sclerosis exercise study (EMSES). Mult Scler . (2022) 28(10):1620 -9. doi: 10. 1177/13524585221079200\n- 7. Kalb R, Brown TR, Coote S, Costello K, Dalgas U, Garmon E, et al. Exercise and lifestyle physical activity recommendations for people with multiple sclerosis throughout the disease course. Mult Scler . (2020) 26(12):1459 -69. doi: 10.1177/ 1352458520915629\n- 8. Moreno-Navarro P, Manca A, Martinez G, Ventura L, Barbado D, Vera-García FJ, et al. Test-retest reliability and known-groups validity of trunk muscle tests in people with multiple sclerosis: a cross-sectional, case-control study. Phys Ther . (2021) 101 (5):1 -9. doi: 10.1093/ptj/ptzab049\n- 9. Raats J, Arntzen EC, Lamers I, Feys P, Normann B. What is the distribution of trunk impairments and its relationship with disability level in individuals with multiple sclerosis? Mul Scler Relat Disord . (2021) 57:103325. doi: 10.1016/j.msard. 2021.103325\n- 10. Normann B, Arntzen EC. What are the relationships between trunk control, balance and walking in individuals with multiple sclerosis with minor to moderate disability? Eur J Physiother . (2021) 23(6):377 -83. doi: 10.1080/21679169.2020.1772870\n\n## Acknowledgments\n\nThe authors would like to thank the participants in this study and the user representatives from Nordland MS Association for their valuable contributions. The authors also acknowledge philosopher of the mind and cognitive sciences Hanne De Jaegher for the valuable comments on the interpretations and discussions of the results.\n\n## Con /uniFB02 ict of interest", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and re /uniFB02 exivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers ' closeness to the intervention and the clinical /uniFB01 eld may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of ' blind spots ' , as the researchers may prejudice participants ' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, /uniFB01 ndings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n## 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals af /uniFB01 liated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29)of ≤ 3.5, was ≥ 18 years, was employed (10% -100% of full-time) and residential address in the two prede /uniFB01 ned municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT ( n = 15) were included (Table 3).\n\n## 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were\n\nTABLE 3 Participant demographic information.TABLE 4 Interview guide.\n\n| Variable | Total ( n =15) |\n|------------------------------------|-----------------------------------------------|\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "\n\n\n\nEDITED BY\n\nJacqui H Morris,\n\nUniversity of Dundee, United Kingdom\n\nREVIEWED BY\n\nNicola Saywell,\n\nAuckland University of Technology,\n\nNew Zealand\n\nVerna Stavric,\n\nAuckland University of Technology,\n\nNew Zealand\n\n* CORRESPONDENCE\n\nStine Susanne Haakonsen Dahl stine.s.dahl@nord.no\n\nRECEIVED 27 September 2023\n\nACCEPTED\n\n06 March 2024\n\nPUBLISHED 18 March 2024\n\nCITATION\n\nDahl SSH, Arntzen EC and Normann B (2024) The meaningfulness of exploring one ' s own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study.\n\nFront. Rehabil. Sci. 5:1303094. doi: 10.3389/fresc.2024.1303094\n\nCOPYRIGHT\n\n©2024 Dahl, Arntzen and Normann. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.\n\n|\n\nThe meaningfulness of exploring one ' s own limits through interactions and enjoyment in outdoor high-intensity physiotherapy for people with multiple sclerosis: a qualitative study\n\nStine Susanne Haakonsen Dahl 1 * , Ellen Christin Arntzen 1 and Britt Normann 1,2\n\n1 Faculty of Nursing and Health Sciences, Nord University, Bodø, Norway, 2 Department of Physiotherapy, Nordland Hospital Trust, Bodø, Norway\n\nBackground and purpose: Physical activity (PA) is often reduced in people with MS (pwMS), even when disability is low. Understanding the perspectives of pwMS on interventions aiming to improve PA is important to inform the development of such services. The aim of this study was to explore the experiences of pwMS participating in an outdoor, high-intensity and balance exercise group intervention.\n\nMethods: This qualitative study was nested within an RCT exploring a novel intervention integrating sensorimotor exercises with high-intensity intervals of running/walking. Individual, in-depth interviews with the intervention group ( n =15; 12 women, 3 men; age 38 -66; EDSS score 0 -3.5) were conducted postintervention (mean days = 14), analyzed using a phenomenologicalinspired approach with systematic text condensation, and interpreted based on enactive theory.\n\nResults: Four categories were generated: (1) Exploration of one ' s own physical abilities: Challenging one ' s own limits was perceived by all participants to improve movement performance and/or intensity level. Such bodily changes engendered strong positive feelings. Some negative consequences of highintensity training were described, increasing a feeling of loss. (2) New insights and beliefs: Participants experienced enhanced beliefs in their own capabilities, which they integrated in activities outside the intervention. (3) An engaging environment: The group setting was perceived as supportive, and the outdoor environment was perceived as stimulating activity. (4) Professional leadership, tailoring and co-creation of enjoyment: Physiotherapist-led, individualized interactions were regarded as necessary to safely revisit prior activities, such as running. Co-creating enjoyment facilitated high-intensity training and intervention adherence.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed13.pdf" - }, - { - "text": "## 1 Introduction\n\nMultiple sclerosis (MS) is a progressive in /uniFB02 ammatory disease of the central nervous system (CNS) that is typically diagnosed at 30 -40 years of age (1). A great concern is the signi /uniFB01 cantly lower levels of physical activity (PA) in people with MS (pwMS) across disability levels than in their healthy counterparts (2, 3).\n\nEarly promotion of PA and exercise is recommended due to numerous established bene /uniFB01 ts in health, symptom management and well-being for pwMS (4). In particular, high-intensity training is endorsed, as it has possible neuroprotective effects in the disease course (5, 6). In addition, exercises addressing sensorimotor impairments (e.g., reduced muscle strength, reduced neuromuscular control) are recommended, as they target individuals ' capability to remain physically active (7). Sensorimotor impairments can in /uniFB02 uence trunk control, which is commonly disturbed in pwMS, even when disability is low (8, 9), and correlate with impaired balance, walking capacity and distance (10, 11). PwMS ' s knowledge of exercise bene /uniFB01 ts, attitudes and motivations, as well as contextual aspects such as lack of optimal exercise interventions, accessibility and support, affect the level of PA and exercise participation (12).\n\nCoreDISTparticipation (Table 1) is a new comprehensive intervention addressing sensorimotor function, trunk control, high-intensity running/walking and work participation in pwMS with low disability (13). It is based on the GroupCoreDIST 1 intervention, which has been shown to have signi /uniFB01 cant shortand long-term effects on trunk control, balance and walking among pwMS (14, 15). However, no effects of the intervention on objectively measured PA have been identi /uniFB01 ed, even though the participants reported perceptions of new possibilities to be\n\nDiscussion: High-intensity training combined with detailed exercises in a physiotherapy outdoor group was perceived to create meaningful bodily changes and enhance PA and prospects for both PA and life. Importantly, however, some negative experiences were also reported from the high-intensity training. Enactive theory allowed for the illumination of new perspectives: the importance of embodiment for self-ef /uniFB01 cacy and of tailored physiotherapy and an outdoor-group environment for exploring one ' s own limits to physical capabilities. These aspects should inform future exercise interventions in pwMS with low disability.\n\nKEYWORDS\n\nphysical activity, physiotherapy, multiple sclerosis, qualitative study, exercise therapy, postural balance, enactive theory\n\nphysically active as their sensorimotor impairments improved (16). To address PA challenges in pwMS, GroupCoreDIST was further developed to include a four-week period of outdoor training, in which high-intensity walking/running and GroupCoreDIST exercises are integrated (Table 2). To our knowledge, combinations of high-intensity training and rehabilitation of speci /uniFB01 c sensorimotor functions have been sparsely explored. Patient perspectives are essential for the evaluation of healthcare interventions (17); however, the new outdoor component of CoreDISTparticipation has yet to be investigated from a /uniFB01 rst-person perspective. Particularly interesting is what participants perceive as meaningful regarding the intervention, as this is essential for motivation, motor learning and exercise adherence (18).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "given the heterogenic pathology and symptoms of MS (41, 42). However, our /uniFB01 ndings illuminate qualitative aspects of how to achieve tailored and meaningful intersubjective interactions in an exercise intervention.\n\nWe consider the instances of the physiotherapist running together with the participant, which were perceived as important for participants ' performance, to be an example of ' participatory sense-making ' (22) . As participants appreciated being guided or even pushed by the physiotherapists, it appears that the physiotherapists were trusted in directing this interaction. As such, we argue that the physiotherapists ' ability to adapt to participants ' movements, speech and gestures -tailoring the interaction to their needs -was important for this ability to be perceived as purposeful. This is supported by the few negative incidents described where the participant-physiotherapist interaction seemed to not be jointly coordinated and appeared to fail. The reported mutual in /uniFB02 uences of sensorimotor capabilities and interpersonal coordination, with the physiotherapists but also the group, are in accordance with sensorimotor capacities and intersubjective interactions being important for sensemaking in the world (35). The bene /uniFB01 ts of these individualized participant-physiotherapist interactions are also described in speci /uniFB01 c core-stability exercises in indoor groups (16, 43) and are in line with the theoretical framework of facilitation of movement through hands-on interaction previously proposed (44, 45). Our study informs new knowledge of physiotherapistparticipant interactions to achieve the recommended highintensity training and calls for physiotherapy clinical reasoning through bodily and verbal communication skills adapted to the participants ' responses in an ongoing and situated way.\n\nEnjoyment has previously been reported to promote PA in pwMS, and our study brings requested knowledge of what can constitute enjoyment in an exercise intervention (46): playful group-exercise tasks, a cheerful physiotherapist, and the outdoor environment.\n\nThe appreciation of being active outdoors in the study sample aligns with that in the general population (47). The outdoors provided a natural environment, which both invited participants to actively explore abilities thought of as left behind after their diagnosis with MS, such as running, and provided an appreciated break from focusing on MS symptoms. We also suggest that the positive experiences of mastering the challenging weather conditions and the added meaning of exercising among other people in the city park can be explained according to such terms. These positive experiences show how we are enmeshed in our history, context and social encounters (35) and how these aspects should also be accounted for when designing exercise interventions.\n\n## 4.3 Methodological considerations\n\nThe design and methods were adequate for deriving knowledge from individuals ' experiences. The participants selfreferred to the intervention and were recruited based on pre-set criteria. This approach yielded rich information from people with mild to moderate disabilities due to MS who were\n\nmotivated for physical activity (PA), employed, and residing in northern Norway. Ethnicity or socio-economic class were not recorded. However, considering that all these factors can in /uniFB02 uence PA engagement (46), it is possible that additional aspects of the phenomenon could be uncovered in a different sample (48). There was a higher percentage of women participating than men; however, this corresponds to the gender distribution in the MS population (1).\n\nThe use of enactive theory was innovative within the /uniFB01 eld and allowed for, in particular, new aspects of importance for selfef /uniFB01 cacy to be identi /uniFB01 ed. Transference of our results to similar populations can be achieved through theoretical generalization (28).\n\n## 4.4 Implications for clinical practice", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "## Con /uniFB02 ict of interest\n\nThe authors declare that the research was conducted in the absence of any commercial or /uniFB01 nancial relationships that could be construed as a potential con /uniFB02 ict of interest.\n\n## Publisher ' s note\n\nAll claims expressed in this article are solely those of the authors and do not necessarily represent those of their af /uniFB01 liated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.\n\n- 11. Unluer NO, Ozkan T, Yasa ME, Ates Y, Anlar O. Investigation of the relationship between trunk motor control and balance, functional mobility, and gait capacity in patients with multiple sclerosis/multipl sklerozlu hastalarda govde motor kontrolu ile denge, fonksiyonel mobilite ve yuruyus kapasitesi arasindaki iliskinin incelenmesi. Türk Nöroloji Dergisi . (2021) 27(3):283. doi: 10.4274/tdn.2021.41017\n- 12. Learmonth YC, Motl RW. Physical activity and exercise training in multiple sclerosis: a review and content analysis of qualitative research identifying perceived determinants and consequences. Disabil Rehabil . (2016) 38(13):1227 -42. doi: 10. 3109/09638288.2015.1077397\n- 13. Fikke HK, Normann B, Sivertsen M, Dahl SSH, Arntzen EC. Optimizing sensorimotor function, physical activity and employment for people with MS -a feasibility study. Fysioterapeuten . (2023) 90(1):32 -42. doi: 10.52705/ c14a8ca05f7546dabc18bd0275cf2edd\n- 14. Arntzen EC, Straume B, Odeh F, Feys P, Normann B. Group-based, individualized, comprehensive core stability and balance intervention provides immediate and long-term improvements in walking in individuals with multiple sclerosis: a randomized controlled trial. Physiother Res Int . (2019) 25(1):e1798. doi: 10.1002/pri.1798\n- 15. Arntzen EC, Straume BK, Odeh F, Feys P, Zanaboni P, Normann B. Groupbased individualized comprehensive core stability intervention improves balance in persons with multiple sclerosis: a randomized controlled trial. Phys Ther . (2019) 99 (8):1027 -38. doi: 10.1093/ptj/pzz017\n- 16. Arntzen EC, Øberg GK, Gallagher S, Normann B. Group-based, individualized exercises can provide perceived bodily changes and strengthen aspects of self in individuals with MS: a qualitative interview study. Physiother Theory Pract . (2019) 37(10):1080 -95. doi: 10.1080/09593985.2019.1683923\n- 17. Florio-Smith J, Ayer M, Colhoun S, Daykin N, Hamill B, Liu X, et al. The importance of the patient ' s perspective in decision-making in multiple sclerosis: results of the OwnMS patient perspectives study. Mult Scler Relat Disord . (2023) 75:104757. doi: 10.1016/j.msard.2023.104757\n- 18. Kleim JA, Jones TA. Principles of experience-dependent neural plasticity: implications for rehabilitation after brain damage. J Speech Lang Hear Res . (2008) 51(1):225 -39. doi: 10.1044/1092-4388(2008/018)\n- 19. Thompson E. Mind in Life: Biology, Phenomenology, and The Sciences of Mind . Cambridge, Mass: Harvard University Press (2007).\n- 20. Merleau-Ponty M. Phenomenology of Perception . London: Routledge Classics (2008).", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed13.pdf" - }, - { - "text": "It was an added positive experience to use our city park and notice all the other people who were there … it is something about challenging our comfort-zone . (ID4, EDSS: 0)\n\nThe natural environment was also described as taking focus away from MS symptoms. Cold, rainy or snowy weather conditions required planning of adequate clothing; in addition, these conditions led some participants to use cautious behavior when the ground was slippery and led a few to omit sessions. However, mastering outdoor exercise was highlighted in positive terms, such as discovering new ways to become active.\n\n## 3.4 Professional leadership, tailoring and co-creation of enjoyment\n\nThe way the physiotherapists led the group and, in particular, interacted with each participant were regarded as helpful for improving their bodily functions and activity levels. Some participants reported being afraid to try out new activities or training at high intensities after being diagnosed with MS but felt safe to explore when supervised by the physiotherapist because of their trust in the relationship between them and in the physiotherapist ' s professional knowledge.\n\nHow the physiotherapist approached the participants individually was described as important from this perspective. In particular, bodily interactions in which the physiotherapist demonstrated with his or her own body or placed his or her hands on the participant ' s body to correct a movement were reported to be successful, as it helped to increase speed and gave participants a sense of performing better or for a longer duration. If they did an exercise in a suboptimal way, participants reported receiving precise supervision, or if they expressed pain or were injured, the physiotherapist was supportive, assessed them and", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed13.pdf" - }, - { - "text": "## 4.4 Implications for clinical practice\n\nCombining high-intensity walking/running and detailed sensorimotor exercises was valued and provided meaningful embodied experiences, improving participants ' ability to master PA and their beliefs of their own possibilities for being active in the future. However, the manner in which the content of an exercise intervention is delivered and the environment in which it is delivered should be accounted for, as these aspects were perceived to be of great importance in creating and shaping participants ' experiences. In particular, tailored physiotherapistparticipant bodily interactions and an engaging group and outdoor environment were perceived to be pertinent for exploring one ' s own potential.\n\nTo minimize negative incidents in future interventions, we suggest that (1) the effort required from one ' s leg muscles during the detailed exercises (in between the running/walking intervals) should be low to minimize the negative consequences of leg muscle fatigue prior to high-intensity running/walking, (2) the capacity for running/walking at highintensity should be explored in one-to-one physiotherapy assessment prior to group training to optimize individuals capabilities and safety, and (3) homogenous and small-sized groups should be used to enable ongoing and tailored physiotherapist-participant interactions.\n\n## Data availability statement\n\nThe datasets presented in this article are not readily available because of ethical and legal restrictions. Requests to access the datasets should be directed to stine.s.dahl@nord.no.\n\n## Ethics statement\n\nThis study involving humans was approved by Regional Committee for Medical Research Ethics in North Norway (REK North: 174,837) and the Data Protection Of /uniFB01 cer at Nordlandssykehuset Hospital Trust, Norway. This study was conducted in accordance with the local legislation and", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed13.pdf" - }, - { - "text": "- 39. Silveira SL, Cederberg KLJ, Jeng B, Sikes EM, Sandroff BM, Jones CD, et al. Do physical activity and social cognitive theory variable scores differ across symptom cluser severity groups in multiple sclerosis? Disabil Health J . (2021) 14(4):101163. doi: 10.1016/j.dhjo.2021.101163\n - 40. Learmonth YC, Motl RW. Exercise training for multiple sclerosis: a narrative review of history, bene /uniFB01 ts, safety, guidelines, and promotion. Int J Environ Res Public Health . (2021) 18(24):13245. doi: 10.3390/ijerph182413245\n - 41. Baird JF, Motl RW. Response heterogeneity with exercise training and physical activity interventions among persons with multiple sclerosis. Neurorehabil Neural Repair . (2019) 33(1):3 -14. doi: 10.1177/1545968318818904\n - 42. Sandroff BM, Baird JF, Silveira SL, Motl RW. Response heterogeneity in /uniFB01 tness, mobility and cognition with exercise-training in MS. Acta Neurol Scand . (2019) 139 (2):183 -91. doi: 10.1111/ane.13041\n - 43. Lahelle AF, Øberg GK, Normann B. Group dynamics in a group-based, individualized physiotherapy intervention for people with multiple sclerosis: a qualitative study. Physiother Res Int . (2019) 25(3):e1829. doi: 10.1002/pri.1829\n - 44. Normann B. Facilitation of movement: new perspectives provide expanded insights to guide clinical practice. Physiother Theory Pract . (2020) 36(7):769 -78. doi: 10.1080/09593985.2018.1493165\n - 45. Øberg GK, Normann B, Gallagher S. Embodied-enactive clinical reasoning in physical therapy. Physiother Theory Pract . (2015) 31(4):244 -52. doi: 10.3109/ 09593985.2014.1002873\n - 46. Anens E, Zetterberg L, Urell C, Emtner M, Hellström K. Self-reported physical activity correlates in Swedish adults with multiple sclerosis: a cross-sectional study. BMC Neurol . (2017) 17(1):204. doi: 10.1186/s12883-0170981-4\n - 47. Herring TE, Knowles LM, Alschuler KN. Outdoor adventure programs for persons with multiple sclerosis: a review and agenda for future research. Int J MS Care . (2021) 23(4):186 -92. doi: 10.7224/1537-2073.2020-066\n - 48. Creswell JW, Poth CN. Qualitative Inquiry & Research Design: Choosing Among Five Approaches . 4th ed. California: Sage (2018).", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed13.pdf" - }, - { - "text": "To deepen our understanding of what the participants perceive as meaningful, we turn to a theoretical perspective that integrates bodily capacities with the construction of meaning. Enactive theory emphasizes that making sense of the world depends essentially on the biological (living) body and the phenomenological (lived or experienced) body (19), which implies that the body is viewed as a neurobiological organism that is concurrently experiencing, expressing and social (embodiment) (20). Thus, what is experienced by an individual during an exercise intervention is constituted by her sensorimotor repertoire for perception and action in interactions with the requirements of the task and the context (21). From this perspective, dysfunctions related to MS, such as sensorimotor impairments, can in /uniFB02 uence how individuals with MS interpret and understand their participation in a PA intervention. Moreover, the notion of ' participatory sensemaking ' (22) extends the body into the social domain, enabling an understanding of how the interaction processes between two embodied individuals affect shared and individual meaning-making. These concepts may illuminate pwMS ' s experiences and direct the focus toward bodily, contextual, and interactional aspects that may generate new insights regarding sensorimotor exercise and high-intensity training as part of PA.\n\nThe aim of this study was to explore participants ' experiences of the content, delivery and setting of a new outdoor group intervention combining high-intensity training and detailed exercises to generate new knowledge about important aspects of exercise interventions for pwMS with low disability.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What was the sales revenue of Santos in 2004 ?", - "target_page": 12, - "target_passage": " Sales revenue was a record $1,501 million", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "The market price of the Company's ordinary shares on 31 December 2004 was $8.48 (2003: $6.87).\n\n## (a) Santos Executive Share Plan\n\nThe Santos Executive Share Plan was approved by shareholders at a general meeting held on 22 December 1987.\n\nUnder the terms of the Plan, shares were initially issued as partly paid shares, paid to one cent. While partly paid, the Plan Shares are not transferable, carry no voting right and no entitlement to dividend but are entitled to participate in any bonus or rights issue.\n\nShares were issued principally on: 22 December 1987; 7 February and 5 December 1989; and 24 December 1990. In 1997 the Board determined that the Plan be discontinued and, accordingly, there has been no further issues of shares under the Plan.\n\nAt the beginning of the financial year there were 231,000 Plan Shares on issue. During the financial year 50,000 Plan Shares were fully paid and aggregate proceeds of $138,200 received by the Company. As at 31 December 2004 there were 181,000 Plan Shares outstanding.\n\n## (b) Santos Employee Share Acquisition Plan\n\nThe Santos Employee Share Acquisition Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation, with amendment, approved at the Annual General Meeting on 5 May 2000.\n\nBroadly, permanent eligible employees with at least a minimum period of service determined by Directors as at the offer date (one year of completed service for issues so far) are entitled to acquire shares under this Plan. Executives participating in the Santos Executive Share Option Plan (refer note 18(d)) or in the Executive Long Term Incentive Plan in 2004, casual employees and Directors of the Company are excluded from participating in this Plan. Employees are not eligible to participate under the Plan while they are resident overseas unless the Board decides otherwise.\n\nThe Plan provides for grants of fully paid ordinary shares in the capital of the Company up to a value determined by the Board which, to date, has been $1,000 per annum per eligible employee. A trustee is funded by the Santos Group to acquire shares directly from the Company or on market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\n\nThe employee's ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier of the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee. Participants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues during the restriction period. Shares are granted to eligible employees at no cost to the employee.", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## STATEMENTS OF FINANCIAL PERFORMANCE\n\nfor the year ended 31 December 2004\n\n| | | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|-------------------------------------------------------------------------------------------------------------|------|----------------|----------------|---------------|---------------|\n| | Note | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Product sales | 2 | 1,500.9 | 1,465.0 | 568.8 | 616.3 |\n| Cost of sales | 3 | (1,049.8) | (974.4) | (414.5) | (356.6) |\n| Gross profit | | 451.1 | 490.6 | 154.3 | 259.7 |\n| Other revenue | 2 | 252.3 | 154.4 | 858.0 | 126.2 |\n| Other expenses | 3 | (129.0) | (179.5) | (221.0) | (108.3) |\n| Borrowing costs | 4 | (33.6) | (34.6) | (91.1) | (84.0) |\n| Profit from ordinary activities before income tax expense | | 540.8 | 430.9 | 700.2 | 193.6 |\n| Income tax expense relating to ordinary activities | 6 | (160.9) | (103.9) | (57.1) | (10.7) |\n| Net profit after income tax attributable to the shareholders of Santos Ltd | | 379.9 | 327.0 | 643.1 | 182.9 |\n| Net exchange differences relating to self-sustaining foreign operations | 19 | (0.2) | (4.7) | - | - |\n| Total changes in equity from non-owner related transactions attributable to the shareholders of Santos Ltd | | 379.7 | 322.3 | 643.1 | 182.9 |\n| Earnings per share (cents) | | | | | |\n| Basic | 21 | 58.6 | 52.1 | | |\n| Diluted | 21 | 58.5 | 51.5 | | |\n\nThe statements of financial performance are to be read in conjunction with the notes to the financial statements.", - "page_start": 51, - "page_end": 51, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## ANALYSING FINANCIAL PERFORMANCE\n\n\n\n'The sound operating results achieved in 2004 underline the changing face of Santos towards a higher value, higher margin business. We ended the year with a strong financial position and our financial flexibility intact.'\n\n## PETER WASOW\n\nChief Financial Officer\n\n## 2004 WAS A YEAR OF GOOD OPERATING RESULTS\n\nOverall the increase in 2004 profit of 16% reflected a year of sound operating performance. Sales revenue was a record $1,501 million, up 2.5% on 2003, reflecting higher prices across most products and was achieved despite lower production as a result of the Moomba incident and declining output from late life fields.\n\nSantos benefited from higher world oil prices and realised US$51.83 per boe in 2004, an increase of 19% over 2003. The benefit of higher world oil prices substantially offset the impact of lower production volumes.\n\nSantos was also able to negotiate higher domestic gas prices (up 4% on average) and deliver new revenue streams from project start-ups and acquisitions during the year.\n\n## PRODUCTION HAMPERED BY MOOMBA INCIDENT\n\n2004 production was lower due to the Moomba incident, which reduced production by 4.6 million\n\nboe. Field decline reduced production by a further 5.0 million boe.\n\nOffsetting these factors, Santos' growth projects are starting to come on line and have begun to reverse the decline experienced over the past three years. Two projects were commissioned in 2004: the Bayu-Undan liquids project and the Minerva gas project. In addition, acquisitions contributed 0.8 million boe to production.\n\nFor 2005, production is expected to improve by around 15%, or 4% excluding the impact of the Moomba incident. Santos now expects production to be around 54 million boe in 2005. This increase is largely driven by the commissioning of Mutineer-Exeter in March 2005 and the John Brookes gas field in the middle of the year.\n\n## PRODUCTION COSTS UNDER CONTROL\n\nProduction costs in 2004 were $309 million, up $45 million or 17% on 2003. Analysis shows that Santos was able to continue\n\n## PRODUCTION AND SALES REVENUE\n\n\n\nto effectively control its costs in the face of significant external pressures in the form of rising services and materials prices.\n\nExamining production costs in detail reveals:\n\n - · the start-up of Bayu-Undan and acquisitions added $16 million to Santos' cost base\n - · changes in our accounting added a further $16 million to Santos' production costs\n - · higher insurance premiums ($8 million) and one-off stock write-offs ($5 million) were offset by $17 million in cost savings largely as a result of Santos' continuous improvement initiatives\n - · the Moomba incident resulted in $17 million of one-off costs in 2004.\n\nPiecing this together, the key themes in our financial performance were:\n\n - · cost savings in established production areas more than offset increases in the price of services and materials\n - · Santos' cost base rose as production from new developments and acquisitions were added to the Company's expanding portfolio of producing assets.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|-------------------------------------------------------|----------------|----------------|---------------|---------------|\n| 2. Revenue from Ordinary Activities | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Product sales: | | | | |\n| Gas and ethane | 680.1 | 720.8 | 294.6 | 306.1 |\n| Crude oil | 501.8 | 477.7 | 198.5 | 175.7 |\n| Condensate and naphtha | 228.5 | 150.0 | 44.2 | 63.8 |\n| Liquefied petroleum gas | 90.5 | 116.5 | 31.5 | 70.7 |\n| | 1,500.9 | 1,465.0 | 568.8 | 616.3 |\n| Other: | | | | |\n| Overriding royalties | 14.3 | 13.3 | 18.7 | 18.4 |\n| Equipment rentals, pipeline tariffs and other | 19.0 | 7.6 | 6.6 | 3.9 |\n| Interest revenue: | | | | |\n| Controlled entities | - | - | 42.8 | 35.5 |\n| Other entities | 3.5 | 2.5 | 2.3 | 1.4 |\n| Dividends from other entities | - | 0.4 | - | 0.4 |\n| Dividends from controlled entities | - | - | 251.7 | - |\n| Insurance recovery | 116.6 | - | 73.8 | - |\n| Proceeds from sale of non-current assets | 98.9 | 108.0 | 462.1 | 62.7 |\n| Proceeds from sale of controlled entities | - | 22.6 | - | 3.9 |\n| | 252.3 | 154.4 | 858.0 | 126.2 |\n| 3. Expenses from Ordinary Activities | | | | |\n| Cost of sales: | | | | |\n| Production costs | 308.5 | 263.6 | 113.8 | 95.2 |\n| Pipeline tariffs and tolls | 32.6 | 33.3 | 7.4 | 3.2 |\n| Royalty, excise and PRRT | 154.0 | 131.4 | 73.1 | 41.6 |\n| Depreciation, depletion and amortisation | 536.4 | 528.8 | 209.2 | 194.7 |\n| Third party gas purchases | 14.9 | 5.4 | 12.2 | 12.4 |\n| | 1,046.4 | 962.5 | 415.7 | 347.1 |\n| Decrease/(increase) in product stock | 3.4 | 11.9 | (1.2) | 9.5 |\n| | 1,049.8 | 974.4 | 414.5 | 356.6 |\n| Other: | | | | |", - "page_start": 57, - "page_end": 57, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "for the year ended 31 December 2004\n\n| | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|----------------|---------------|---------------|\n| 15. Interest-Bearing Liabilities | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Current | | | | |\n| Amounts owing to controlled entities | - | - | 1,685.4 | 1,411.7 |\n| Long-term notes | 43.7 | 45.4 | - | - |\n| Bank loans | 5.2 | - | - | - |\n| Other | 1.0 | - | 1.0 | - |\n| | 49.9 | 45.4 | 1,686.4 | 1,411.7 |\n| The interest-bearing amounts owing to controlled entities are for loans made in the ordinary course of business on normal market terms and conditions for an indefinite period. | | | | |\n| Non-current | | | | |\n| Bank loans | 222.7 | - | - | - |\n| Commercial paper | 209.0 | 110.0 | - | - |\n| Medium-term notes | 20.0 | 20.0 | - | - |\n| Long-term notes | 757.8 | 833.3 | - | - |\n| | 1,209.5 | 963.3 | - | - |", - "page_start": 61, - "page_end": 61, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| As at 31 December | 1995 | 1996 | 1997 | 1998 | 1999 | 2000 | 2001 | 2002 | 2003 | 2004 |\n|-----------------------------------------------------------------------------|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|\n| Santos average realised oil price (A$/bbl) | 24.96 | 27.43 | 27.42 | 20.95 | 27.57 | 46.54 | 45.53 | 44.74 | 43.59 | 51.83 |\n| Financial performance ($million) | | | | | | | | | | |\n| Product sales revenue | 671.6 | 729.2 | 778.5 | 769.4 | 944.5 | 1,497.1 | 1,459.7 | 1,478.4 | 1,465.0 | 1,500.9 |\n| Total operating revenue | 740.1 | 804.0 | 859.5 | 1,000.8 | 995.6 | 1,556.2 | 1,561.8 | 1,542.3 | 1,619.4 | 1,753.2 |\n| Foreign currency gains/(losses) | (16.0) | 25.0 | 3.6 | 2.0 | 0.3 | 2.7 | 0.2 | (0.7) | (7.9) | (3.0) |\n| Profit from ordinary activities before tax | 241.0 | 331.9 | 322.3 | 267.3 | 339.6 | 725.9 | 627.6 | 493.3 | 430.9 | 540.8 |\n| Income tax relating to ordinary activities | 130.4 | 136.0 | 116.1 | 91.0 | 30.5 | 239.1 | 181.7 | 171.2 | 103.9 | 160.9 |\n| Net profit after income tax attributable to the shareholders of Santos Ltd | 110.6 | 195.9 | 206.2 | 176.3 | 309.1 | 486.8 | 445.9 | 322.1 | 327.0 | 379.9 |\n| Financial position ($million) | | | | | | | | | | |\n| Total assets | 2,915.5 | 3,443.4 | 4,036.2 | 4,236.1 | 4,338.7 | 4,659.8 | 5,048.7 | 5,320.8 | 5,218.3 | 5,956.0 |\n| Net debt | 642.0 | 938.6 | 1,114.2 | 1,280.0 | 1,301.1 | 866.6 | 1,060.8 | 1,162.9 | 897.6 | 1,131.4 |\n| Total equity | 1,519.3 | 1,586.3 | 1,919.0 | 1,939.2 | 2,056.7 | 2,310.9 | 2,726.6 | 2,863.9 | 3,087.9 | 3,498.3 |\n| Reserves and production (mmboe) | | | | | | | | | | |\n| Proven plus Probable reserves (2P) | 703 | 860 | 1,009 | 966 | 941 | 921 | 724 | 732 | 636 | 643 |\n| Production | 36.8 | 39.2 | 41.1 | 45.6 | 49.2 | 56.0 | 55.7 | 57.3 | 54.2 | 47.1 |\n| Exploration* | | | | | | | | | | |\n| Wells drilled (number) | 66 | 91 | 112 | 81 | 34 | 42 | 26 | 18 | 19 | 16 |\n| Expenditure ($million) | 87.9 | 121.1 | 190.1 | 180.7 | 78.1 | 100.1 | 93.4 | 133.1 | 136.4 | 125.6 |\n| Other capital expenditure ($million) | | | | | | | | | | |\n| Delineation and development* | 53.9 | 105.8 | 179.7 | 158.1 | 116.8 | 187.1 | 308.1 | 308.8 | 519.0 | 672.7 |", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "The Santos Group operates predominantly in one business, namely the exploration, development, production, transportation and marketing of hydrocarbons. Revenue is derived from the sale of gas and liquid hydrocarbons and the transportation of crude oil.\n\n", - "page_start": 82, - "page_end": 82, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| | | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|-------------------------------------------------------------------------------------|------|----------------|----------------|----------------|---------------|\n| | Note | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Cash flows from operating activities | | | | | |\n| Receipts from customers | | 1,544.3 | 1,637.3 | 644.4 | 683.0 |\n| Dividends received | | - | 0.4 | 251.7 | 0.4 |\n| Interest received | | 3.5 | 2.5 | 45.1 | 36.9 |\n| Overriding royalties received | | 14.5 | 17.0 | 19.0 | 22.1 |\n| Pipeline tariffs and other receipts | | 19.9 | 28.2 | 18.0 | 1.6 |\n| Payments to suppliers and employees | | (583.6) | (439.9) | (279.0) | (186.4) |\n| Royalty, excise and PRRT payments | | (169.6) | | | (39.8) |\n| Borrowing costs paid | | (65.2) | (118.7) | (78.4) | (83.6) |\n| Income taxes paid | | (158.8) | (60.9) (168.6) | (90.6) (137.5) | (65.1) |\n| Net cash provided by operating activities | 24 | 605.0 | 897.3 | 392.7 | 369.1 |\n| Cash flows from investing activities | | | | | |\n| Payments for: | | | | | |\n| Exploration | | (126.0) | (149.8) | (65.7) | (30.6) |\n| Delineation | | (73.7) | (75.0) | (6.1) | (29.5) |\n| Development | | (256.1) | (188.1) | (124.4) | (68.7) |\n| Land and buildings, plant and equipment | | (343.1) | (337.8) | (127.7) | (91.7) |\n| Acquisitions of oil and gas assets | | (14.5) | (7.6) | - | (1.5) |\n| Acquisitions of controlled entities | | (112.3) | (22.7) | (93.6) | (22.7) |\n| Share subscriptions in controlled entities | | - | - | (151.7) | (469.9) |\n| Restoration | | (7.3) | (2.6) | (0.1) | (0.3) |", - "page_start": 53, - "page_end": 53, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "| Year Ended December 31 | 2004 | % Change | 2003 | % Change | 2002 |\n|-------------------------------------------------------|-------------|------------|-------------|------------|-------------|\n| Casino revenues, net: | | | | | |\n| Table games . . . . . . . . . . | $ 943,343 | 9% | $ 866,096 | (3%) | $ 893,836 |\n| Slots . . . . . . . . . . . . . . . . | 1,218,589 | 9% | 1,115,029 | 5% | 1,064,491 |\n| Other . . . . . . . . . . . . . . . . | 62,033 | 10% | 56,389 | 3% | 54,513 |\n| Casino revenues, net . . | 2,223,965 | 9% | 2,037,514 | 1% | 2,012,840 |\n| Non-casino revenue: | | | | | |\n| Rooms . . . . . . . . . . . . . . | 911,259 | 9% | 833,272 | 5% | 796,861 |\n| Food and beverage . . . . . | 841,147 | 11% | 757,278 | 7% | 706,153 |\n| Entertainment, retail and other . . . . . . . . . . | 696,117 | 7% | 647,702 | 2% | 637,625 |\n| Non-casino revenues . . . . | 2,448,523 | 9% | 2,238,252 | 5% | 2,140,639 |\n| | 4,672,488 | 9% | 4,275,766 | 3% | 4,153,479 |\n| Less: Promotional allowances . | (434,384) | 5% | (413,023) | 4% | (396,551) |\n| | $ 4,238,104 | 10% | $ 3,862,743 | 3% | $ 3,756,928 |", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\n## 32. Additional Financial Instruments Disclosure\n\n## (a) Foreign exchange risk exposure\n\nThe Santos Group is exposed to foreign exchange risk principally through the sale of liquid petroleum products denominated in US dollars, US dollar borrowings and US dollar expenditure. In order to hedge this foreign exchange risk, the Santos Group has from time to time entered into forward foreign exchange, foreign currency swap and foreign currency option contracts.\n\nAt 31 December 2004 the Santos Group has one open forward foreign currency exchange contract which has expired in January 2005. If closed out at balance date a loss of $0.2 million would have resulted.\n\nUS dollar denominated borrowings are either swapped into Australian dollar exposure (2004: US$321.4 million; 2003: US$115.0 million) or designated as a hedge of US dollar denominated investments in self-sustaining overseas controlled entities (2004: US$313.0 million; 2003: US$323.6 million) or as a hedge of future US denominated sales revenues (2004: US$146.4 million; 2003: US$219.4 million). As a result, there were no net foreign currency gains or losses arising from translation of US denominated dollar borrowings recognised in the statements of financial performance in 2004. Accordingly, $37.4 million of unrealised foreign currency gains were deferred as at 31 December 2004 (2003: gains of $66.3 million). The ultimate foreign currency gains or losses will be included in the measurement of the specific hedged US dollar denominated sales revenues to be realised in the years 2005 through 2006.\n\nThe Australian dollar equivalents of foreign currency monetary items included in the statements of financial position to the extent that they are not effectively hedged are:\n\n| | | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|-------------------------|-------------------------|----------------|----------------|---------------|---------------|\n| | | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Current assets | - United States dollars | 126.4 | 82.7 | 32.9 | 41.3 |\n| Current liabilities | - United States dollars | 60.5 | 35.4 | 6.5 | 8.5 |\n| Non-current liabilities | - United States dollars | 26.5 | - | - | - |", - "page_start": 85, - "page_end": 85, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "How have been confirmed nonvanishing neutrino ?", - "target_page": 2, - "target_passage": "The nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## I. INTRODUCTION\n\nThe nonvanishing neutrino masses have been confirmed by various neutrino oscillation phenomena and indicate the evidence of new physics beyond the Standard Model. The most attractive idea to naturally explain the tiny neutrino masses is the seesaw mechanism [1], in which the right-handed (RH) neutrinos singlet under the SM gauge group are introduced. The minimal gauged U (1) B -L model based on the gauge group SU (3) C × SU (2) L × U (1) Y × U (1) B -L [2] is an elegant and simple extension of the SM, in which the RH neutrinos of three generations are necessarily introduced because of the gauge and gravitational anomaly cancellations. In addition, the mass of RH neutrinos arises associated with the U (1) B -L gauge symmetry breaking.\n\nAlthough the scale of the B -L gauge symmetry breaking is basically arbitrary as long as phenomenological constraints are satisfied, one interesting option is to take it to be the TeV scale [3]. It has been recently pointed out [4] that when the classical conformal invariance is imposed on the minimal U (1) B -L model, the symmetry breaking scale appears to be the TeV scale naturally. If this is the case, all new particles, the Z ' gauge boson, the B -L Higgs boson H and the RH neutrinos appear at the TeV scale unless the U (1) B -L gauge coupling is extremely small, and they can be discovered at Large Hadron Collider [5-8]. Then we may be able to understand the relation between the gauge symmetry breaking and the origin of neutrino masses.\n\nAlthough such a TeV scale model is interesting and appealing, one might think that the absence of dark matter (DM) candidate is a shortcoming of this model. A sterile RH neutrino with mass of the order of MeV is one possibility [9]. In this paper, we propose a very simple idea to introduce the DM candidate in the minimal gauged U (1) B -L model. We introduce the Z 2 parity into the model and impose one of three RH neutrinos to be odd, while the others even. In this way, the Z 2 -odd RH neutrino becomes stable and the DM candidate. Note that two RH neutrinos are enough to reconcile with the observed neutrino oscillation data, with a prediction of one massless light neutrino. Therefore, without introducing any additional new dynamical degrees of freedom, the DM particle arises in the minimal gauged U (1) B -L model.\n\nThe paper is organized as follows. In the next section, we briefly describe our model. In section III, we estimate the thermal relic density of the RH neutrino and identify the model", - "page_start": 1, - "page_end": 1, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We also calculate the scattering cross section between the DM particle and nucleon and discuss the implication for the direct DM search experiments. We summarize our results in the section IV. Our notations and the formulas used in our analysis are listed in Appendix.\n\n## II. THE MINIMAL GAUGED U (1) B -L MODEL WITH Z 2 PARITY\n\nThe model is based on the gauge group SU (3) C × SU (2) L × U (1) Y × U (1) B -L . Additional fields besides the standard model fields are a gauge field Z ' µ of the U (1) B -L , a SM singlet B -L Higgs boson Ψ with two U (1) B -L charge, and three RH neutrinos N i which are necessary for the gauge and gravitational anomaly cancellations. In describing the RH neutrinos, we use the four component representation of RH neutrino constructed from the Weyl spinor ν R i ,\n\nN i ≡   ν R i /epsilon1 ν ∗ R i   , (1)\n\nFor the two RH neutrinos, N 1 and N 2 , we assign Z 2 parity even, while odd for N 3 , so that the RH neutrino N 3 is stable and, hence, the DM candidate.\n\nDue to the additional gauge symmetry U (1) B -L , the covariant derivative for each fields is given by\n\nD µ = D ( SM ) µ -iq B -L g B -L Z ' µ , (2)\n\nwhere D ( SM ) µ is the covariant derivative in the SM, and q B -L is the charge of each fields under the U (1) B -L with its gauge coupling g B -L .\n\nYukawa interactions relevant for the neutrino masses are given by\n\nL int = 3 ∑ α =1 2 ∑ i =1 y αi ¯ L α ˜ Φ N i -1 2 3 ∑ i =1 λ R i ¯ N i Ψ P R N i +h . c ., (3)\n\nwhere ˜ Φ = -iτ 2 Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we have worked out in the basis where the second term in the right-hand-side is in flavor diagonal for RH neutrinos. Because of the Z 2 parity, the DM candidate N 3 has no Yukawa couplings with the left-handed lepton doublets.\n\nThe general Higgs potential for the SU (2) L doublet Φ and a singlet B -L Higgs Ψ is generally given by\n\nV (Φ , Ψ) = m 2 1 | Φ | 2 + m 2 2 | Ψ | 2 + λ 1 | Φ | 4 + λ 2 | Ψ | 4 + λ 3 | Φ | 2 | Ψ | 2 . (4)", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n## A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B -L gauge and B -L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z 2 parity. The most of annihilation of the RH neutrinos occurs via Z ' , H and h exchange processes in the s -channel. In practice, the dominant contributions come from the Higgs ( h and H ) exchange diagrams, because the Z ' exchange processes are suppressed by the inverse square of the B -L Higgs VEV v ' /greaterorsimilar 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯ f , W + W -, ZZ , and h ( H ) h ( H ). Since RH neutrino DM couples to only B -L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\nΩ N h 2 = 1 . 1 × 10 9 m N /T d √ g ∗ M P 〈 σv 〉 GeV -1 , (14)\n\nwith the Planck mass M P , the thermal averaged product of the annihilation cross section and the relative velocity 〈 σv 〉 , the total number of relativistic degrees of freedom in the thermal bath g ∗ , and the decoupling temperature T d , is evaluated by solving the Boltzmann equation for the number density of RH neutrino n N ;\n\ndn N dt +3 Hn N = -〈 σv 〉 ( n 2 N -n 2 EQ ) , (15)\n\nand the Friedmann equation\n\nH 2 ≡ ( ˙ a a ) 2 = 8 π 3 M 2 P ρ, (16)\n\nwith n EQ and a ( t ) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρ rad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 2: The same as Fig. 1 but for sin θ = 0 . 3.\n\n\n\nmode into W -boson pair becomes kinematically available, it is not possible to obtain the desired DM abundance without the Higgs resonant annihilation because the bound on v ' given by Eq. (12) is stringent.\n\n## B. Direct detection of dark matter\n\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino DM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process is Higgs exchange and the resultant cross section for a proton is given by\n\nσ ( p ) SI = 4 π ( m p m N m p + m N ) 2 f 2 p , (17)\n\nwith the hadronic matrix element\n\nf p m p = ∑ q = u,d,s f ( p ) Tq α q m q + 2 27 f ( p ) TG ∑ c,b,t α q m q , (18)\n\nand the effective vertex (see Appendix for notations)\n\nα q = -λ N y q ( ∂ Φ ∂h 1 M 2 h ∂ Ψ ∂h + ∂ Φ ∂H 1 M 2 H ∂ Ψ ∂H ) , (19)\n\nwhere m q is a mass of a quark with a Yukawa coupling y q , and f ( p ) Tq and f ( p ) TG are constants.", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ ( p ) SI ∝ (sin 2 θ/v ' ) 2 for a given DM mass m N . Fig. 3 shows the spin-independent cross section of RH neutrino with a proton. The resultant cross section is found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: σ SI /lessorsimilar 4 × 10 -8 -2 × 10 -7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such as XENON1T [26] can reach the cross section predicted in our model.\n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as those used in the previous section. The upper and lower lines correspond to sin θ = 0 . 7 and 0 . 3, respectively.\n\n\n\n## IV. SUMMARY\n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal gauged U (1) B -L model. We have introduced a discrete Z 2 parity in the model, so that one RH neutrino assigned as Z 2 -odd can be stable and, hence, the DM candidate, while the other two RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. No additional degrees of freedom are necessary to be added. We have evaluated the relic density of the dark matter particle. The dominant annihilation modes are via the Higgs boson exchange processes in the s -channel and thus, our model can be called Higgs portal DM model. It has been found that the relic density consistent with the current observation", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "## Higgs portal dark matter in the minimal gauged U (1) B -L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy,\n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA\n\nOsamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n## Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U (1) B -L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s -channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\n\nΦ =   0 1 √ 2 ( v + φ )   , (5)\n\nΨ = 1 √ 2 ( v ' + ψ ) , (6)\n\naround the true vacuum with the vacuum expectation values v and v ' . These are related with the mass eigenstates h and H through\n\n  h H   =   cos θ -sin θ sin θ cos θ     φ ψ   , (7)\n\nwith θ being the mixing angle. Their masses are given by\n\nM 2 h = 2 λ 1 v 2 cos 2 θ +2 λ 2 v ' 2 sin 2 θ -2 λ 3 vv ' sin θ cos θ, (8)\n\nM 2 H = 2 λ 1 v 2 sin 2 θ +2 λ 2 v ' 2 cos 2 θ +2 λ 3 vv ' sin θ cos θ. (9)\n\nThe mass of the new neutral gauge boson Z ' arises by the U (1) B -L gauge symmetry breaking,\n\nM 2 Z ' = 4 g 2 B -L v ' 2 . (10)\n\nAssociated with the U (1) B -L gauge symmetry breaking, the RH neutrinos N i acquire masses\n\nM N i = -λ R i v ' √ 2 . (11)\n\nFrom LEP experiment, the current lower bound on the Z ' boson mass has been found to be [10, 11]\n\nM Z ' g B -L = 2 v ' /greaterorsimilar 6 -7 TeV . (12)\n\nTwo Z 2 -even RH neutrinos N 1 and N 2 are responsible for light neutrino masses via the seesaw mechanism,\n\nm ν αβ = -∑ i =1 , 2 y αi y iβ v 2 2 M N i . (13)\n\nNote that the rank of this mass matrix is two, so that the lightest neutrino is massless.\n\n## III. RIGHT-HANDED NEUTRINO DARK MATTER\n\nDue to the Z 2 parity, one of RH neutrino N 3 (we denote it as N hereafter) in our model can be the DM candidate. We first estimate its relic abundance and identify the model", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12 , 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev. 109 , 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2 , 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199 , 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77 , 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8 , 10049 (1996).\n- 6 C. M. Varma et al , Phys. Rev. Lett. 63 , 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283 , 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295 , 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72 , 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304 , 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72 , 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74 , 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. B 69 , 024514 (2004).\n- 14 J. Hwang et al , Phys. Rev. B 73 , 014508 (2006).\n- 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, D. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. Greven, C. C. Homes and S. V. Dordevic, Phys. Rev. B 75 , 054522 (2007).\n- 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94 , 067002 (2005).\n- 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, Phys. Rev. B 70 , 134504(2004), A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003).\n- 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, Phys. Rev. B 58 2452 (1998).\n- 19 J. Hirsch, Physica C, 201 , 347 (1992) and Ref 4.\n- 20 for a review see F. Marsiglio, J. Superconductivity and Novel Magnetism 22 , 269 (2009).\n- 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. B 77 144510 (2008).\n- 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. Kuzmenko, and D. van der Marel, Phys. Rev. B 76 , 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331 , 150 (2000)", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top σ ( ω ) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: i Γ term transforms into Γ √ -ω 2 +∆ 2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom - the behavior of Kubo sum with Γ. Observe that W ( ω c ) in the NS is larger than in the SCS.\n\n\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ω c for the 'corrected' MFLI model. Now ∆ W ( ω c ) is negative above some frequency. Parameters are same as in the Fig 15.\n\n\n\nmodel, where W K is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to Γ √ -ω 2 +∆ 2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state with-\n\nrst deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆ W K < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆ W K and of the kinetic energy 43 . It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n## D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel 31,44,45 . This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below T c because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity 32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆ W K . Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of W K in a SCS. If this increase exceeds a conventional loss of W K due to a gap opening, the total ∆ W K may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = ( π, π ). This version of a CB boson is commonly known as a spin-fermion model. This model yields d x 2 -y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure in the ARPES profile in the SCS 31,32,46,47 . In our analysis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 9: ∆ W vs the cut-off for the EB model. It remains negative for larger cut-offs. Parameters are the same as before. The dot indicates the value of ∆ W ( ∞ ) = ∆ W K\n\n\n\nof the lattice (the dashed line in Fig. 9).\n\n## C. Marginal Fermi liquid model\n\nFor their analysis of the optical integral, Norman and P'epin 30 introduced a phenomenological model for the self energy which fits normal state scattering rate measurements by ARPES 41 . It constructs the NS Σ '' ( ω ) out of two contributions - impurity scattering and electronelectron scattering which they approximated phenomenologically by the marginal Fermi liquid form of αω at small frequencies 6 (MFLI model). The total Σ '' is\n\nΣ '' ( ω ) = Γ + α | ω | f ( ω ω sat ) (17)\n\nwhere ω sat is about ∼ 1 2 of the bandwidth, and f ( x ) ≈ 1 for x < 1 and decreases for x > 1. In Ref 30 f ( x ) was assumed to scale as 1 /x at large x such that Σ '' is flat at large ω . The real part of Σ( ω ) is obtained from KramersKronig relations. For the superconducting state, they obtained Σ '' by cutting off the NS expression on the lower end at some frequency ω 1 (the analog of ω 0 +∆ that we had for EB model):\n\nΣ '' ( ω ) = (Γ + α | ω | )Θ( | ω | -ω 1 ) (18)\n\nwhere Θ( x ) is the step function. In reality, Σ '' which fits ARPESin the NS has some angular dependence along the Fermi surface 42 , but this was ignored for simplicity. This model had gained a lot of attention as it predicted the optical sum in the SCS to be larger than in the NS, i.e., ∆ W > 0 at large frequencies. This would be consistent with the experimental findings in Refs. 8,9 if, indeed, one identifies ∆ W measured up to 1eV with ∆ W K .\n\nWe will show below that the sign of ∆ W in the MFLI model actually depends on how the normal state results are extended to the superconducting state and, moreover, will argue that ∆ W K is actually negative if the extension is done such that at α = 0 the results are consistent with\n\nBCSI model. However, before that, we show in Figs 1012 the conductivities and the optical integrals for the original MFLI model.\n\nω\n\nσ\n\nFIG. 10: Top -the conductivities in the NS and SCS in the original MFLI model of Ref.30. We set Γ = 70 meV , α = 0 . 75, ∆ = 32 meV , ω 1 = 71 meV . Note that σ ' ( ω ) in the SCS begins at Ω = ∆ + ω 1 . Bottom - the behavior of W K with Γ.\n\n\n\nIn Fig 10 we plot the conductivities in the NS and the SCS and Kubo sums W K vs Γ at α = 0 . 75 showing that the spectral weight in the SCS is indeed larger than in the NS. In Fig 11 we show the behavior of the optical sums W ( ω c ) in NS and SCS. The observation here is that only ∼ 75 -80%of the Kubo sum is recovered up to the scale of the bandwidth implying that there is indeed a significant spectral weight well beyond the bandwidth. And in Fig 12 we show the behavior of ∆ W ( w c ). We see that it does not change sign and remain positive at all ω c , very much unlike the BCS case. Comparing the behavior of W ( w c ) with and without a lattice (solid and dashed lines in Fig. 12) we see that the 'finite bandwidth effect' just shifts the curve in the positive direction. We also see that the solid line flattens above roughly half of the bandwidth, i.e., at these frequencies ∆ W ( ω c ) ≈ ∆ W K . Still, we found that ∆ W continues going down even above the bandwidth and truly saturates only at about 2 eV (not shown in the figure) supporting the idea that there is 'more' left to recover from higher frequencies.\n\nThe rationale for ∆ W K > 0 in the original MFLI model has been provided in Ref. 30. They argued that this is closely linked to the absence of quasiparticle peaks in the NS and their restoration in the SCS state because the phase space for quasiparticle scattering at low energies is smaller in a superconductor than in a normal state.", - "page_start": 7, - "page_end": 7, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What are the dominant contributions in thermal relic density ?", - "target_page": 5, - "target_passage": "In practice, the dominant contributions come from the Higgs (h and H) exchange diagrams.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density Ω N h 2 as a function of the DM mass m N for a set of parameters: ( v ' , M h , M H , M Z ' , sin θ ) = (4000 GeV , 120 GeV , 200 GeV , 1000 GeV , 0 . 7), for example. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as Ω DM h 2 /similarequal 0 . 1 [15]. The figure shows that a desired DM relic abundance can be obtained for only near Higgs resonances, m N ≈ M h / 2 or M H / 2.\n\nFig. 2 shows the relic density Ω N h 2 as a function of the DM mass m N for a smaller Higgs mixing sin θ = 0 . 3 (others are the same as in Fig. 1). Compared with Fig. 1, for m N /lessorsimilar M W where the DM particles dominantly annihilate into f ¯ f , the relic density further increases because of the small mixing angle. When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases, but the reduction is not enough to reach Ω N h 2 /similarequal 0 . 1.\n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter set: ( v ' , M h , M H , M Z ' , sin θ ) = (3000 GeV , 120 GeV , 200 GeV , 1000 GeV , 0 . 7).\n\n\n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16-18]. Some recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the thermal abundance is mainly controlled by the interactions between the SM Higgs boson and the DM particle. In our model, B -L Higgs VEV v ' can play the same role for m N < M W , namely a larger v ' corresponds to weaker coupling between DM and Higgs for a fixed DM mass. On the other hand, for m N > M W the difference appears. Even if the annihilation", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n## A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B -L gauge and B -L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z 2 parity. The most of annihilation of the RH neutrinos occurs via Z ' , H and h exchange processes in the s -channel. In practice, the dominant contributions come from the Higgs ( h and H ) exchange diagrams, because the Z ' exchange processes are suppressed by the inverse square of the B -L Higgs VEV v ' /greaterorsimilar 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯ f , W + W -, ZZ , and h ( H ) h ( H ). Since RH neutrino DM couples to only B -L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\nΩ N h 2 = 1 . 1 × 10 9 m N /T d √ g ∗ M P 〈 σv 〉 GeV -1 , (14)\n\nwith the Planck mass M P , the thermal averaged product of the annihilation cross section and the relative velocity 〈 σv 〉 , the total number of relativistic degrees of freedom in the thermal bath g ∗ , and the decoupling temperature T d , is evaluated by solving the Boltzmann equation for the number density of RH neutrino n N ;\n\ndn N dt +3 Hn N = -〈 σv 〉 ( n 2 N -n 2 EQ ) , (15)\n\nand the Friedmann equation\n\nH 2 ≡ ( ˙ a a ) 2 = 8 π 3 M 2 P ρ, (16)\n\nwith n EQ and a ( t ) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρ rad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "1\n\nFIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75 -80% of the spectral weight is recovered up to 1 eV .\n\n\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ω c . Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆ W has not yet reached ∆ W K up to the bandwidth. The dashed line is the FGT result.\n\n\n\nc\n\nThis clearly affects n k because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at /epsilon1 < 0, n k in a superconductor is larger than n k in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆ W ( ω c ) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of W K with Γ for the original MFLI model at very small α = 0 . 05. We set ω 1 = ∆ = 32 meV . Observe the inconsistency with W K in the BCSI model in Fig 4.\n\n\n\nFIG. 14: The special case of α = 1 . 5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\n\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆ W K is still positive, but ∆ W ( ω c ) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆ W ( ω c ) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω 1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α . Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ '' has a square-root singularity at ω = ∆ + ω o (with ω o = 0). Meanwhile Σ '' in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω 1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0 . 05. We see that the optical integral W K in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12 , 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev. 109 , 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2 , 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199 , 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77 , 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8 , 10049 (1996).\n- 6 C. M. Varma et al , Phys. Rev. Lett. 63 , 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283 , 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295 , 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72 , 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304 , 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72 , 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74 , 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. B 69 , 024514 (2004).\n- 14 J. Hwang et al , Phys. Rev. B 73 , 014508 (2006).\n- 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, D. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. Greven, C. C. Homes and S. V. Dordevic, Phys. Rev. B 75 , 054522 (2007).\n- 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94 , 067002 (2005).\n- 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, Phys. Rev. B 70 , 134504(2004), A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003).\n- 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, Phys. Rev. B 58 2452 (1998).\n- 19 J. Hirsch, Physica C, 201 , 347 (1992) and Ref 4.\n- 20 for a review see F. Marsiglio, J. Superconductivity and Novel Magnetism 22 , 269 (2009).\n- 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. B 77 144510 (2008).\n- 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. Kuzmenko, and D. van der Marel, Phys. Rev. B 76 , 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331 , 150 (2000)", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Higgs portal dark matter in the minimal gauged U (1) B -L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy,\n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA\n\nOsamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n## Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U (1) B -L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s -channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "with\n\n∫ d cos θ 2 |M 2 | 2 = λ 4 N ( ∂ Ψ ∂h ) ( -8 -I 22 + J 22 ln ∣ ∣ ∣ ∣ A +2 b A -2 b ∣ ∣ ∣ ∣ ) , (B8) ∫ d cos θ 2 M 1 M ∗ 2 = 4 m N λ 3 N ( ∂ Ψ ∂h ) 2 ( ∂ Ψ ∂h i s -M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H i s -M 2 H + iM H Γ H iλ Hhh ) ( -4 + s -4 m 2 N + A 2 b ln ∣ ∣ ∣ A +2 b A -2 b ∣ ∣ ∣ ) , (B9)\n\n4\n\n∣ ∣ where θ is the scattering angle in the center of mass frame. The auxiliary functions appear above are defined as\n\nI 22 ( s ) ≡ 4 ( A +2 a ) 2 -2( s +4 m 2 N ) A -s ( A + m 2 N ) -3 m 2 N ( s -4 m 2 N ) A 2 -4 b 2 , (B10)\n\nN -N )\n\nJ 22 ( s, m h ) ≡ 1 Ab ( 2 A ( A +2 a ) -A ( s +4 m 2 N ) + A 2 -4 a 2 -( s -2 m 2 N )( m 2 N -m 2 h ) +3 m 2 ( s 4 m 2 ) , (B11)\n\nA ( s, m h ) ≡ -s 2 + m 2 h , (B12)\n\nb ( s, m N , m h ) s m 2 h s m 2 N . (B13)\n\n≡ √ 4 -√ 4 -\n\n## Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n〈 σv 〉 = 1 m 2 N [ w ( s ) -3 2 ( 2 w ( s ) -4 m 2 N dw ds ) T m N ]∣ s =4 m 2\n\n= 6 dw ds s =4 m 2 T m N ,\n\n∣ ∣ ∣ N (C1) ∣ ∣ ∣ ∣ N (C2)\n\n4 w ( s ) ≡ ∫ d LIPS ∑ |M| 2 = 1 8 π √ s -4 m 2 final s ∫ d cos θ 2 ∑ |M| 2 , (C3)\n\nwhere m final is the mass of final state particle.\n\n - [1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in the Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), p 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity , Proceedings of Workshop,", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\n\nΦ =   0 1 √ 2 ( v + φ )   , (5)\n\nΨ = 1 √ 2 ( v ' + ψ ) , (6)\n\naround the true vacuum with the vacuum expectation values v and v ' . These are related with the mass eigenstates h and H through\n\n  h H   =   cos θ -sin θ sin θ cos θ     φ ψ   , (7)\n\nwith θ being the mixing angle. Their masses are given by\n\nM 2 h = 2 λ 1 v 2 cos 2 θ +2 λ 2 v ' 2 sin 2 θ -2 λ 3 vv ' sin θ cos θ, (8)\n\nM 2 H = 2 λ 1 v 2 sin 2 θ +2 λ 2 v ' 2 cos 2 θ +2 λ 3 vv ' sin θ cos θ. (9)\n\nThe mass of the new neutral gauge boson Z ' arises by the U (1) B -L gauge symmetry breaking,\n\nM 2 Z ' = 4 g 2 B -L v ' 2 . (10)\n\nAssociated with the U (1) B -L gauge symmetry breaking, the RH neutrinos N i acquire masses\n\nM N i = -λ R i v ' √ 2 . (11)\n\nFrom LEP experiment, the current lower bound on the Z ' boson mass has been found to be [10, 11]\n\nM Z ' g B -L = 2 v ' /greaterorsimilar 6 -7 TeV . (12)\n\nTwo Z 2 -even RH neutrinos N 1 and N 2 are responsible for light neutrino masses via the seesaw mechanism,\n\nm ν αβ = -∑ i =1 , 2 y αi y iβ v 2 2 M N i . (13)\n\nNote that the rank of this mass matrix is two, so that the lightest neutrino is massless.\n\n## III. RIGHT-HANDED NEUTRINO DARK MATTER\n\nDue to the Z 2 parity, one of RH neutrino N 3 (we denote it as N hereafter) in our model can be the DM candidate. We first estimate its relic abundance and identify the model", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "- 26 K. S. Raman, R. Moessner, S. L. Sondhi, Phys. Rev. B 72 , 064413 (2005).\n - 27 D. F. Schroeter, E. Kapit, R. Thomale, and M. Greiter, Phys. Rev. Lett. 99 , 097202 (2007); R. Thomale, E. Kapit, D. F. Schroeter, and M. Greiter, Phys. Rev. B 80 , 104406 (2009).\n - 28 O. Tchernyshyov, R. Moessner, S. L. Sondhi, Phys. Rev. Lett. 88 , 067203 (2002).\n - 29 F. Becca, F. Mila, Phys. Rev. Lett. 89 , 037204 (2002).\n - 30 K. Penc, N. Shannon, H. Shiba, Phys. Rev. Lett. 93 , 197203 (2004).\n - 31 C. Weber, F. Becca, F. Mila, Phys. Rev. B 72 , 024449 (2005).\n - 32 G.-W. Chern, C. J. Fennie, O. Tchernyshyov, Phys. Rev.\n - B 74 , 060405(R) (2006).\n - 33 D. L. Bergman, R. Shindou, G. A. Fiete, L. Balents, Phys. Rev. B 74 , 134409 (2006).\n - 34 Fa Wang, Ashvin Vishwanath, Phys. Rev. Lett. 100 , 077201 (2008).\n - 35 O. Tchernyshyov, G.-W. Chern, arXiv:0907.1693 (2009).\n - 36 Y. Taguchi, Y. Oohara, H. Yoshizawa, N. Nagaosa, Y. Tokura, Science 291 , 2573 (2001).\n - 37 X. G. Wen, Frank Wilczek, A. Zee, Phys. Rev. B 39, 11413 (1989); X. G. Wen, Phys. Rev. B 40 , 7387 (1989).\n - 38 Dimitris I. Tsomokos, Juan Jos'e Garc'ıa-Ripoll, Nigel R. Cooper, Jiannis K. Pachos, Phys. Rev. A 77 , 012106 (2008).", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0266.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆ W K - the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ . For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW ( ω c ) to the increase of λ is merely the consequence of the fact that above we kept λω sf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ ' = λω , Σ' = λ 2 ω 2 / ( λω sf ), and both Σ ' and Σ '' increase with λ if we keep λω sf constant. But at frequencies larger than ω sf , which we actually probe by ∆ W ( ω c ), the selfenergy essentially depends only on λω sf , and increasing λ but keeping λω sf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λω sf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ /greatermuch 1 but also the normal state Σ NS ( ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ω sf and re-did the calculation of the conductivities and optical integrals. The results for σ ( ω ) and ∆ W ( ω c ) are presented in Fig. 22. We found the same behavior as before, i.e., ∆ W K is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆ W ( ω c ). In particular, for the same λ and ω sf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0 . 8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆ W ( ω c ) changes sign can well be larger than the bandwidth of 1 eV in which case ∆ W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆ W K becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆ W ( ω c ) is predominantly governed by ∆ f ( ω c ), i.e. by the cut-off term. 50 The implication is that, to first approximation, ∆ W K can be neglected and positive ∆ W ( w c ) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆ W ( ω c ) and the behavior of the difference of the kinetic energy between the SCS and the NS, δ KE . We computed the kinetic energy as a function of λω sf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS likeδ KE > 0 and increases with increasing λω sf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λω sf and eventually changes sign. The behavior of δ KE at a truly strong coupling is\n\nconsistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility 43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆ W ( ω c ) at a truly strong coupling is correlated with the non-BCS behavior of δ KE . At the same time, the behavior of δW ( ω c ) is obviously not driven by the kinetic energy as eventually δW ( ω c ) changes sign and become negative. Rather, the increase in the frequency range where ∆ W ( ω c ) remains positive and non-BCS behavior of δ KE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n## III. CONCLUSION", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 21: Distribution functions n ( /epsilon1 ) for CB model for λ = 1 and λ = 7 and a constant ω sf = 26 meV . We set ∆ = 30 meV . For smaller λ (top), quasiparticles near the FS are well defined as indicated by the well pronounced jump in n ( /epsilon1 ). For λ = 7, n ( /epsilon1 ) is rather smooth implying that a coherence is almost lost. Some irregularities is the SCS distribution function are due to finite sampling in the frequency domain. The irregularities disappear when finer mesh for frequencies is chosen.\n\n\n\nshows up in the optical gap), where as in the BCSI case it would have always begun from 2∆. In Fig 18 we plot the Kubo sums W K vs coupling λ . We see that for all λ , W K in the NS stays larger than in the SCS. Fig 19 shows the cutoff dependence of the optical integrals W ( ω c ) for λ = 1 separately in the NS and the SCS. We again see that only about 73% of the Kubo sum is recovered up to the bandwidth of 1 eV indicating that there is a significant amount left to recover beyond this energy scale. Fig 20 shows ∆ W for the two different couplings. We see that, for both λ 's, there is only one zero-crossing for the ∆ W curve, and ∆ W is negative at larger frequencies. The only difference between the two plots is that for larger coupling the dip in ∆ W gets 'shallower'. Observe also that the solid line in Fig. 20 is rather far away from the dashed line at ω c > 1 meV , which indicates that, although ∆ W ( ω c ) in this region has some dependence on ω c , still the largest part of ∆ W ( ω c ) is ∆ W K , while the contribution from ∆ f ( ω c ) is smaller.\n\n\n\nc\n\nFIG. 22: Top - conductivity at a larger value of ω sf λ ( ω sf = 26 meV , λ = 7) consistent with the one used in Ref.33). Bottom - ∆ W with and without lattice. Observe that the frequency of zero crossing of ∆ W enhances compared to the case of a smaller λω sf and becomes comparable to the bandwidth. At energies smaller than the bandwidth, ∆ W > 0, as in the Norman- P'epin model.FIG. 23: Kinetic energy difference between the SCS and the NS, δ KE We set λ to be either λ = 1 or λ = 10 and varied ω sf thus changing the overall prefactor in the self-energy. At weak coupling ( λ = 1) the behavior is BCS-like δ KE is positive and increases with the overall factor in the self-energy. At strong coupling ( λ = 7), δ KE shows a reverse trend at larger ω sf .\n\n\n\nThe negative sign of ∆ W ( ω c ) above a relatively small ω c ∼ 0 . 1 -0 . 2 eV implies that the 'compensating' effect from the fermionic self-energy on ∆ W is not strong enough to overshadow the decrease of the optical integral in the SCS due to gap opening. In other words,the CB model displays the same behavior as BCSI, EB, and", - "page_start": 12, - "page_end": 12, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1002.2525.pdf", - "query": "What happend to the annihilation and the relic density when the DM is heavier ?", - "target_page": 6, - "target_passage": "When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 shows the relic density Ω N h 2 as a function of the DM mass m N for a set of parameters: ( v ' , M h , M H , M Z ' , sin θ ) = (4000 GeV , 120 GeV , 200 GeV , 1000 GeV , 0 . 7), for example. Willkinson Microwave Anisotropy Probe measured the value of DM abundance as Ω DM h 2 /similarequal 0 . 1 [15]. The figure shows that a desired DM relic abundance can be obtained for only near Higgs resonances, m N ≈ M h / 2 or M H / 2.\n\nFig. 2 shows the relic density Ω N h 2 as a function of the DM mass m N for a smaller Higgs mixing sin θ = 0 . 3 (others are the same as in Fig. 1). Compared with Fig. 1, for m N /lessorsimilar M W where the DM particles dominantly annihilate into f ¯ f , the relic density further increases because of the small mixing angle. When the DM is heavier, the annihilation mode into Higgs boson pairs is opened and the relic density slightly deceases, but the reduction is not enough to reach Ω N h 2 /similarequal 0 . 1.\n\nFIG. 1: The thermal relic density of RH neutrino DM as a function of its mass for a parameter set: ( v ' , M h , M H , M Z ' , sin θ ) = (3000 GeV , 120 GeV , 200 GeV , 1000 GeV , 0 . 7).\n\n\n\nOur model is quite analogous to the so-called gauge singlet scalar dark matter [16-18]. Some recent studies can be found in Refs. [19, 20]. In the gauge singlet scalar DM model, the thermal abundance is mainly controlled by the interactions between the SM Higgs boson and the DM particle. In our model, B -L Higgs VEV v ' can play the same role for m N < M W , namely a larger v ' corresponds to weaker coupling between DM and Higgs for a fixed DM mass. On the other hand, for m N > M W the difference appears. Even if the annihilation", - "page_start": 5, - "page_end": 5, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameters to be consistent with the current observations. Next we calculate the scattering cross section between the DM particle and a proton and discuss the implication for the direct DM search experiments.\n\n## A. Thermal relic density\n\nThe DM RH neutrino interacts with the SM particles through couplings with B -L gauge and B -L Higgs bosons. Note that neutrino Dirac Yukawa interactions are absent because of the Z 2 parity. The most of annihilation of the RH neutrinos occurs via Z ' , H and h exchange processes in the s -channel. In practice, the dominant contributions come from the Higgs ( h and H ) exchange diagrams, because the Z ' exchange processes are suppressed by the inverse square of the B -L Higgs VEV v ' /greaterorsimilar 3 TeV. Thus, we obtain Higgs portal DM of RH neutrino effectively. The relevant annihilation modes are the annihilation into f ¯ f , W + W -, ZZ , and h ( H ) h ( H ). Since RH neutrino DM couples to only B -L Higgs Ψ while a SM particle does to SM Higgs Φ, the DM annihilation occurs only through the mixing between these two Higgs bosons. Although it is not so severe, the precision electroweak measurements [12] as well as the unitarity bound [13] give constraints on the mixing angle and mass spectrum of the Higgs bosons.\n\nThe thermal relic abundance of DM\n\nΩ N h 2 = 1 . 1 × 10 9 m N /T d √ g ∗ M P 〈 σv 〉 GeV -1 , (14)\n\nwith the Planck mass M P , the thermal averaged product of the annihilation cross section and the relative velocity 〈 σv 〉 , the total number of relativistic degrees of freedom in the thermal bath g ∗ , and the decoupling temperature T d , is evaluated by solving the Boltzmann equation for the number density of RH neutrino n N ;\n\ndn N dt +3 Hn N = -〈 σv 〉 ( n 2 N -n 2 EQ ) , (15)\n\nand the Friedmann equation\n\nH 2 ≡ ( ˙ a a ) 2 = 8 π 3 M 2 P ρ, (16)\n\nwith n EQ and a ( t ) being the equilibrium number density and the scale factor, under the radiation dominated Universe with the energy density ρ = ρ rad [14].", - "page_start": 4, - "page_end": 4, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 2: The same as Fig. 1 but for sin θ = 0 . 3.\n\n\n\nmode into W -boson pair becomes kinematically available, it is not possible to obtain the desired DM abundance without the Higgs resonant annihilation because the bound on v ' given by Eq. (12) is stringent.\n\n## B. Direct detection of dark matter\n\nOur RH neutrino DM can elastically scatter off with nucleon, unlike another RH neutrino DM model has been proposed by Krauss et. al. [21] and studied [22, 23]. The main process is Higgs exchange and the resultant cross section for a proton is given by\n\nσ ( p ) SI = 4 π ( m p m N m p + m N ) 2 f 2 p , (17)\n\nwith the hadronic matrix element\n\nf p m p = ∑ q = u,d,s f ( p ) Tq α q m q + 2 27 f ( p ) TG ∑ c,b,t α q m q , (18)\n\nand the effective vertex (see Appendix for notations)\n\nα q = -λ N y q ( ∂ Φ ∂h 1 M 2 h ∂ Ψ ∂h + ∂ Φ ∂H 1 M 2 H ∂ Ψ ∂H ) , (19)\n\nwhere m q is a mass of a quark with a Yukawa coupling y q , and f ( p ) Tq and f ( p ) TG are constants.", - "page_start": 6, - "page_end": 6, - "source_file": "1002.2525.pdf" - }, - { - "text": "can be achieved only when the annihilation processes are enhanced by Higgs resonances. Therefore, the mass of the RH neutrino DM should be around a half of Higgs boson masses. We have also calculated the elastic scattering cross section between the DM particle and a proton and found it within the reach of future experiments for the direct DM search.\n\n## Appendix A: The Higgs sector\n\nThe Higgs potential (4) contains five parameters: m 2 1 , m 2 2 , λ 1 , λ 2 and λ 3 . These parameters can be rewritten in terms of two Higgs VEVs, two physical Higgs masses and the mixing angle between them. The stationary conditions are\n\nm 2 1 + λ 1 v 2 + 1 2 λ 3 v ' 2 = 0 , (A1)\n\nm 2 2 + λ 2 v 2 + 1 2 λ 3 v ' 2 = 0 . (A2)\n\nThe physical Higgs masses are given by Eqs. (8) and (9) with the mixing angle that θ satisfies\n\ntan 2 θ = -λ 3 vv ' ( λ 1 v 2 -λ 2 v ' 2 ) . (A3)\n\nHiggs self interaction terms are expressed as\n\nL int = λ 1 vφ 3 + λ 2 v ' ψ 3 + 1 2 λ 3 ( vφψ 2 + v ' ψφ 2 ) + 1 4 ( λ 1 φ 4 + λ 2 ψ 4 + λ 3 φ 2 ψ 2 ) , (A4)\n\nin terms of φ and ψ . With Eq. (7), these are rewritten in terms of h and H with θ as\n\nL int = [ λ 1 v cos 3 θ -λ 2 v ' sin 3 θ + 1 2 λ 3 ( v cos θ sin 2 θ -v ' sin θ cos 2 θ ) ] hhh + [ 3 λ 1 v cos 2 θ sin θ +3 λ 2 v ' sin 2 θ cos θ + 1 2 λ 3 ( v (sin 3 θ -2 cos 2 θ sin θ ) + v ' (cos 3 θ -2 sin 2 θ cos θ )) ] hhH + [ 3 λ 1 v cos θ sin 2 θ -3 λ 2 v ' sin θ cos 2 θ + 1 2 λ 3 ( v (cos 3 θ -2 sin 2 θ cos θ ) + v ' ( -sin 3 θ +2sin θ cos 2 θ )) ] hHH + [ λ 1 v sin 3 θ + λ 2 v ' cos 3 θ + 1 2 λ 3 ( v sin θ cos 2 θ + v ' sin 2 θ cos θ ) ] HHH +four point interactions . (A5)\n\nWe can read off a Higgs three point vertex from Eq. (A5).", - "page_start": 8, - "page_end": 8, - "source_file": "1002.2525.pdf" - }, - { - "text": "## Higgs portal dark matter in the minimal gauged U (1) B -L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy,\n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA\n\nOsamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n## Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U (1) B -L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s -channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "From Eq. (19), one can see that σ ( p ) SI ∝ (sin 2 θ/v ' ) 2 for a given DM mass m N . Fig. 3 shows the spin-independent cross section of RH neutrino with a proton. The resultant cross section is found to be far below the current limits reported by XENON10 [24] and CDMSII [25]: σ SI /lessorsimilar 4 × 10 -8 -2 × 10 -7 pb, for a DM mass of 100 GeV-1 TeV. Future experiments such as XENON1T [26] can reach the cross section predicted in our model.\n\nFIG. 3: The spin independent scattering cross section with a proton. All parameters are same as those used in the previous section. The upper and lower lines correspond to sin θ = 0 . 7 and 0 . 3, respectively.\n\n\n\n## IV. SUMMARY\n\nWe have proposed a scenario of the RH neutrino dark matter in the context of the minimal gauged U (1) B -L model. We have introduced a discrete Z 2 parity in the model, so that one RH neutrino assigned as Z 2 -odd can be stable and, hence, the DM candidate, while the other two RH neutrinos account for neutrino masses and mixings through the seesaw mechanism. No additional degrees of freedom are necessary to be added. We have evaluated the relic density of the dark matter particle. The dominant annihilation modes are via the Higgs boson exchange processes in the s -channel and thus, our model can be called Higgs portal DM model. It has been found that the relic density consistent with the current observation", - "page_start": 7, - "page_end": 7, - "source_file": "1002.2525.pdf" - }, - { - "text": "The Higgs fields φ and ψ are obtained by expanding Φ and Ψ as\n\nΦ =   0 1 √ 2 ( v + φ )   , (5)\n\nΨ = 1 √ 2 ( v ' + ψ ) , (6)\n\naround the true vacuum with the vacuum expectation values v and v ' . These are related with the mass eigenstates h and H through\n\n  h H   =   cos θ -sin θ sin θ cos θ     φ ψ   , (7)\n\nwith θ being the mixing angle. Their masses are given by\n\nM 2 h = 2 λ 1 v 2 cos 2 θ +2 λ 2 v ' 2 sin 2 θ -2 λ 3 vv ' sin θ cos θ, (8)\n\nM 2 H = 2 λ 1 v 2 sin 2 θ +2 λ 2 v ' 2 cos 2 θ +2 λ 3 vv ' sin θ cos θ. (9)\n\nThe mass of the new neutral gauge boson Z ' arises by the U (1) B -L gauge symmetry breaking,\n\nM 2 Z ' = 4 g 2 B -L v ' 2 . (10)\n\nAssociated with the U (1) B -L gauge symmetry breaking, the RH neutrinos N i acquire masses\n\nM N i = -λ R i v ' √ 2 . (11)\n\nFrom LEP experiment, the current lower bound on the Z ' boson mass has been found to be [10, 11]\n\nM Z ' g B -L = 2 v ' /greaterorsimilar 6 -7 TeV . (12)\n\nTwo Z 2 -even RH neutrinos N 1 and N 2 are responsible for light neutrino masses via the seesaw mechanism,\n\nm ν αβ = -∑ i =1 , 2 y αi y iβ v 2 2 M N i . (13)\n\nNote that the rank of this mass matrix is two, so that the lightest neutrino is massless.\n\n## III. RIGHT-HANDED NEUTRINO DARK MATTER\n\nDue to the Z 2 parity, one of RH neutrino N 3 (we denote it as N hereafter) in our model can be the DM candidate. We first estimate its relic abundance and identify the model", - "page_start": 3, - "page_end": 3, - "source_file": "1002.2525.pdf" - }, - { - "text": "parameter to be consistent with the current observations. We also calculate the scattering cross section between the DM particle and nucleon and discuss the implication for the direct DM search experiments. We summarize our results in the section IV. Our notations and the formulas used in our analysis are listed in Appendix.\n\n## II. THE MINIMAL GAUGED U (1) B -L MODEL WITH Z 2 PARITY\n\nThe model is based on the gauge group SU (3) C × SU (2) L × U (1) Y × U (1) B -L . Additional fields besides the standard model fields are a gauge field Z ' µ of the U (1) B -L , a SM singlet B -L Higgs boson Ψ with two U (1) B -L charge, and three RH neutrinos N i which are necessary for the gauge and gravitational anomaly cancellations. In describing the RH neutrinos, we use the four component representation of RH neutrino constructed from the Weyl spinor ν R i ,\n\nN i ≡   ν R i /epsilon1 ν ∗ R i   , (1)\n\nFor the two RH neutrinos, N 1 and N 2 , we assign Z 2 parity even, while odd for N 3 , so that the RH neutrino N 3 is stable and, hence, the DM candidate.\n\nDue to the additional gauge symmetry U (1) B -L , the covariant derivative for each fields is given by\n\nD µ = D ( SM ) µ -iq B -L g B -L Z ' µ , (2)\n\nwhere D ( SM ) µ is the covariant derivative in the SM, and q B -L is the charge of each fields under the U (1) B -L with its gauge coupling g B -L .\n\nYukawa interactions relevant for the neutrino masses are given by\n\nL int = 3 ∑ α =1 2 ∑ i =1 y αi ¯ L α ˜ Φ N i -1 2 3 ∑ i =1 λ R i ¯ N i Ψ P R N i +h . c ., (3)\n\nwhere ˜ Φ = -iτ 2 Φ ∗ for Φ being the SM Higgs doublet, and without loss of generality we have worked out in the basis where the second term in the right-hand-side is in flavor diagonal for RH neutrinos. Because of the Z 2 parity, the DM candidate N 3 has no Yukawa couplings with the left-handed lepton doublets.\n\nThe general Higgs potential for the SU (2) L doublet Φ and a singlet B -L Higgs Ψ is generally given by\n\nV (Φ , Ψ) = m 2 1 | Φ | 2 + m 2 2 | Ψ | 2 + λ 1 | Φ | 4 + λ 2 | Ψ | 4 + λ 3 | Φ | 2 | Ψ | 2 . (4)", - "page_start": 2, - "page_end": 2, - "source_file": "1002.2525.pdf" - }, - { - "text": "with\n\n∫ d cos θ 2 |M 2 | 2 = λ 4 N ( ∂ Ψ ∂h ) ( -8 -I 22 + J 22 ln ∣ ∣ ∣ ∣ A +2 b A -2 b ∣ ∣ ∣ ∣ ) , (B8) ∫ d cos θ 2 M 1 M ∗ 2 = 4 m N λ 3 N ( ∂ Ψ ∂h ) 2 ( ∂ Ψ ∂h i s -M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H i s -M 2 H + iM H Γ H iλ Hhh ) ( -4 + s -4 m 2 N + A 2 b ln ∣ ∣ ∣ A +2 b A -2 b ∣ ∣ ∣ ) , (B9)\n\n4\n\n∣ ∣ where θ is the scattering angle in the center of mass frame. The auxiliary functions appear above are defined as\n\nI 22 ( s ) ≡ 4 ( A +2 a ) 2 -2( s +4 m 2 N ) A -s ( A + m 2 N ) -3 m 2 N ( s -4 m 2 N ) A 2 -4 b 2 , (B10)\n\nN -N )\n\nJ 22 ( s, m h ) ≡ 1 Ab ( 2 A ( A +2 a ) -A ( s +4 m 2 N ) + A 2 -4 a 2 -( s -2 m 2 N )( m 2 N -m 2 h ) +3 m 2 ( s 4 m 2 ) , (B11)\n\nA ( s, m h ) ≡ -s 2 + m 2 h , (B12)\n\nb ( s, m N , m h ) s m 2 h s m 2 N . (B13)\n\n≡ √ 4 -√ 4 -\n\n## Appendix C: Thermal averaged annihilation cross section\n\nIn partial wave expansion, the thermal averaged cross section is given by\n\n〈 σv 〉 = 1 m 2 N [ w ( s ) -3 2 ( 2 w ( s ) -4 m 2 N dw ds ) T m N ]∣ s =4 m 2\n\n= 6 dw ds s =4 m 2 T m N ,\n\n∣ ∣ ∣ N (C1) ∣ ∣ ∣ ∣ N (C2)\n\n4 w ( s ) ≡ ∫ d LIPS ∑ |M| 2 = 1 8 π √ s -4 m 2 final s ∫ d cos θ 2 ∑ |M| 2 , (C3)\n\nwhere m final is the mass of final state particle.\n\n - [1] T. Yanagida, in Proceedings of Workshop on the Unified Theory and the Baryon Number in the Universe , Tsukuba, Japan, edited by A. Sawada and A. Sugamoto (KEK, Tsukuba, 1979), p 95; M. Gell-Mann, P. Ramond, and R. Slansky, in Supergravity , Proceedings of Workshop,", - "page_start": 11, - "page_end": 11, - "source_file": "1002.2525.pdf" - }, - { - "text": "FIG. 15: Top σ ( ω ) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: i Γ term transforms into Γ √ -ω 2 +∆ 2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom - the behavior of Kubo sum with Γ. Observe that W ( ω c ) in the NS is larger than in the SCS.\n\n\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ω c for the 'corrected' MFLI model. Now ∆ W ( ω c ) is negative above some frequency. Parameters are same as in the Fig 15.\n\n\n\nmodel, where W K is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to Γ √ -ω 2 +∆ 2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state with-\n\nrst deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆ W K < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆ W K and of the kinetic energy 43 . It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n## D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel 31,44,45 . This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below T c because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity 32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆ W K . Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of W K in a SCS. If this increase exceeds a conventional loss of W K due to a gap opening, the total ∆ W K may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = ( π, π ). This version of a CB boson is commonly known as a spin-fermion model. This model yields d x 2 -y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure in the ARPES profile in the SCS 31,32,46,47 . In our analysis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is the aim of LLM routers ?", - "target_page": 1, - "target_passage": "LLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10 × in the case of NotDiamond [7].\n\n## 3 LLMControl Plane Integrity\n\nIn this section, we define LLM control plane integrity . Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane R ω is a potentially randomized algorithm. It is parameterized by a string ω , called the parameters. It utilizes some number n of LLMs denoted by M . We will mostly focus on the case of n = 2 , and, for reasons that will be clear in a moment, use M s ('strong') and M w ('weak') to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ← $ R M ω ( x ) . Here we use ← $ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of M s or M w should be used to respond to a query.\n\nInference flow. Given a set of LLMs M , a control plane R ω , and an input x , an LLM inference flow is the sequence of LLM invocations M i j ( z j ) for 1 ≤ j ≤ m and i j ∈ { w , s } made when executing R M ω ( x ) . Here m is the total number of LLM invocations, and z 1 , . . . , z m are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\nT = ( i 1 , z 1 ) , ( i 2 , z 2 ) , . . . , ( i m , z m )\n\nof pairs of model indexes i j ∈ { w , s } and model inputs z j . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ { ( w , x ) , ( s , x ) } . We write submitting a sequence of inferences ⃗x = ⃗x 1 , . . . , ⃗x q to a control plane as\n\nR M ω ( ⃗x ) = ( R M ω ( ⃗x 1 ) , . . . , R M ω ( ⃗x q ))", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "## REROUTING LLM ROUTERS\n\n## A PREPRINT\n\n| Avital Shafran | Roei Schuster | Thomas Ristenpart | Vitaly Shmatikov |\n|-----------------------|-----------------|---------------------|--------------------|\n| The Hebrew University | Wild Moose | Cornell Tech | Cornell Tech |\n\n## ABSTRACT\n\nLLM routers aim to balance quality and cost of generation by classifying queries and routing them to a cheaper or more expensive LLM depending on their complexity. Routers represent one type of what we call LLM control planes: systems that orchestrate use of one or more LLMs. In this paper, we investigate routers' adversarial robustness.\n\nWe first define LLM control plane integrity, i.e., robustness of LLM orchestration to adversarial inputs, as a distinct problem in AI safety. Next, we demonstrate that an adversary can generate queryindependent token sequences we call 'confounder gadgets' that, when added to any query, cause LLM routers to send the query to a strong LLM.\n\nOur quantitative evaluation shows that this attack is successful both in white-box and black-box settings against a variety of open-source and commercial routers, and that confounding queries do not affect the quality of LLM responses. Finally, we demonstrate that gadgets can be effective while maintaining low perplexity, thus perplexity-based filtering is not an effective defense. We finish by investigating alternative defenses.\n\n## 1 Introduction\n\nLarge language models (LLMs) exhibit remarkable capabilities on many tasks. Today, hundreds of open-source and proprietary LLMs are available at different prices, ranging from expensive, state-of-the-art models to cheaper, smaller, less capable ones. LLM operators typically provide API access to their models (especially higher-quality models) on a pay-per-query basis. This imposes non-trivial costs on LLM-based applications and systems.\n\nDevelopers who want to integrate LLMs into their applications must therefore consider both utility and cost. They want to maximize the quality of responses to their queries while minimizing the cost. The two objectives conflict with each other: larger models tend to generate higher-quality answers but charge more per query. For example, at the time of this writing, GPT-3.5-turbo costs $0 . 5 / $1 . 5 per 1M input/output tokens, GPT-4o-mini $0 . 15 / $0 . 6 , GPT-4o $2 . 5 / $10 , o1-preview $15 / $60 . The difference in quality between models is not uniform across queries. For some queries, even a cheap model can generate an acceptable response. More complex queries require an expensive model to obtain a quality answer.\n\nA natural solution to balancing performance and economic considerations is to take advantage of the availability of multiple LLMs at different price-performance points. Recently proposed LLM routing systems [5, 12, 27, 47, 53] orchestrate two or more LLMs and adaptively route each query to the cheapest LLM they deem likely to generate a response of sufficient quality. In the two-LLM case, let M s be an expensive, high-quality model and M w a weaker, lower-grade one. Given query q , the routing algorithm R ( · ) applies a classifier to q that outputs 0 if M w is sufficient for answering q , or 1 if M s is required. The system then routes q accordingly.\n\nLLMrouting is an example of a general class of systems we call LLM control planes, which orchestrate the use of multiple LLMs to process inputs, as further described in Section 2.\n\nOur contributions. First, we introduce LLM control plane integrity as a novel problem in AI safety. Recently proposed LLM control-plane algorithms are learned, calibrated classifiers (see Section 2). Their inputs are queries from potentially adversarial users. Robustness of control-plane algorithms to adversarial queries is a new problem, distinct from adversarial robustness of the underlying LLMs.", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent 'confounder gadgets.' When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n## Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 3: Summary of our setup for routers, underlying LLMs, and benchmark datasets used in the experiments.\n\n| Routers | | Notation R SW R |\n|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------|\n| Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | Similarity-weighted ranking Matrix factorization BERT classifier LLM scoring | MF R CLS R LLM |\n| LLMpair | Strong ( M s ) | Weak ( M w ) |\n| 1 | Llama-3.1-8B | 4-bit Mixtral 8x7B |\n| 2 3 | Llama-3.1-8B Llama-3.1-8B | Mistral-7B-Instruct-v0.3 Llama-2-7B-chat-hf |\n| 4 | GPT-4-1106-preview | 4-bit Mixtral 8x7B |\n| Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions | Benchmark Description MT-Bench [71] 160 open-ended questions 14,042 multi-choice questions |\n| MMLU[35] | MMLU[35] | MMLU[35] |\n| GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems | GSM8K [24] 1,319 grade-school math problems |\n\nIn all experiments, we assume that the adversary's goal is to reroute queries to the strong model. In Appendix E, we evaluate efficacy of the attack when the goal is to reroute to the weak model.\n\nTarget routers. We focus our evaluation on the four prescriptive routing algorithms proposed by Ong et al. [47], which provides open-source code and trained parameters, and does so for a representative variety of routing approaches: similarity-based classification [41, 59], an MLP constructed via matrix factorization [59], BERT-based classification [27, 53, 59], and a fine-tuned LLM.\n\nThe routers we evaluate were trained in a supervised fashion using a set of reference (training) queries whose performance score on each of the considered models is known. The scores were computed from a collection of human pairwise rankings of model answers for each of the queries. We note that while the routers we consider are all learned using this training set, there is no reason to believe a non-learning-based approach (e.g., rule based) to routing would be more adversarially robust.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 1: LLM routers classify queries and route complex ones to an expensive/strong model, others to a cheaper/weak model. To control costs, LLM routers can be calibrated to maintain (for an expected workload) a specific ratio between queries sent to the strong and weak models.\n\n\n\nTo initiate the study of this problem, we show that existing LLM routing algorithms are not adversarially robust. We design, implement, and evaluate a method that generates query-independent adversarial token sequences we call 'confounder gadgets.' If a gadget is added to any query, this query is routed to the strong model with high probability. Next, we show that this attack is effective even in the transfer setting where the adversary does not have full knowledge of the target LLM router (it is black-box), but has access to another router (e.g., an internally trained surrogate). We also evaluate the integrity of commercial LLM routers, showing that they can be confounded as well.\n\nThird, we investigate defenses. Our basic method generates gadgets that have anomalously high perplexity. Confounded queries are thus easily distinguished from normal queries and can be filtered out by the routing system. Unfortunately, this defense can be evaded by an adversary who incorporates a low-perplexity objective into the gadget generation algorithm, producing gadgets that have low perplexity-and yet are effective at re-routing queries to the strong model. We also discuss higher-level defenses, such as identifying users whose queries are routed to the strong model with abnormal frequency.\n\nRouting attacks can be deployed for various adversarial objectives, e.g., to ensure that the adversary always obtains the highest-quality answer regardless of the target applications's internal routing policies and cost constraints, or to maliciously inflate the target's LLM costs. As LLM control planes grow in importance and sophistication, we hope that this work will motivate further research on their adversarial robustness.\n\n## 2 LLMControl Planes and Routing\n\nInference using large language models (LLMs) is traditionally monolithic: a single model is applied to an input or sequence of inputs. This methodology can be sub-optimal for various reasons. State-of-the-art models are often expensive, with API access to LLMs costing as much as several dollars for each query. Elsewhere, distinct LLMs may excel at different tasks, and selectively using them may improve overall quality on a diverse workload. Finally, combining multiple LLMs, even all trained for similar tasks, may become increasingly prevalent as performance improvements of individual LLMs plateaus [8-10].\n\nResearchers and practitioners are therefore now developing inference architectures that use multiple LLMs to answer queries. These LLMs are orchestrated by what we call an LLM control plane (borrowing the terminology from networking [13]). The control plane may route queries or parts of queries to different LLMs, derive new strings to query to underlying LLMs, combine answers from underlying LLMs, and more.\n\nLLM routers. A prominent example of this emerging class of LLM control planes are LLM routers [27, 41, 47, 53, 59]. LLM routers decide which of the two (or, sometimes, more) LLMs to use to answer a query. In prescriptive routing, the router applies some lightweight classifier to the input query that determines which underlying LLM to utilize for a response. The classifier is itself a learned function that scores the complexity of the query. Deployments can then configure a score threshold for when to route a query to the more expensive LLM. This threshold can be tuned using representative workloads to achieve a desired cost-performance trade-off. Figure 1 shows the basic workflow of binary LLM routers.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv1.pdf" - }, - { - "text": "We have experimented with variations of this approach that don't work quite as well, for example adding c as a suffix instead of a prefix. See Appendix B for details.\n\n## 5 Open-Source Routers: Experimental Setup\n\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with several LLM routers. This section explains our experimental setup for the open-source routers proposed in the research literature [47]; results of this evaluation appear in Section 6. In Section 7, we discuss experiments with proprietary, commercial routers. Figure 3 shows the summary of our experimental setup.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "Black-box attack results. Next, we consider the black-box attack, where the attacker does not know the algorithm used by the target router. We assume that the attacker has access to another, surrogate router that it can use to generate confounder gadgets. In effect, we evaluate transferability of the attack from a known, white-box router to unknown, black-box routers.\n\nTable 5 shows the results for all combinations of surrogate (denoted by ˆ R ) and target routers. For conciseness we focus on the upgrade and downgrade rates for the remainder of this work. Upgrade rates are lower than in the white-box setting but still high, indicating that the attack transfers. The LLM-based routing algorithm R LLM has the lowest rates, perhaps because it is the most complex of the four. The downgrade rate is 0 in most cases and is 1 . 2% on average.\n\nTable 6 shows that the black-box attack does not increase the average perplexity of responses as generated by LLM pair 1. Table 7 shows that the attack does not decrease benchmark-specific scores, other than some small decrease in some cases for the MMLU benchmark. For GSM8K, similar to the behaviour observed in the white-box setting, we see an improvement with our attack due to the performance difference between the strong and weak models for this task. This indicates that confounding affects only the routing, not the quality of responses. When the weak model is significantly weaker than the strong model, i.e., LLM pairs 2 and 3, the attack can improve the quality of responses significantly.\n\nQuery-specific gadgets. By default, our gadget generation method is query-independent and the same gadget can be used to reroute any query. An adversary with more resources may instead generate a dedicated gadget for each query (using the same algorithm).", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a 'confounder gadget,' that causes the router to send the query to the strong model.\n\n\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM M s . This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router R M ω for M = { M w , M s } , where ω consists of a scoring function S , scoring function's parameters θ , and a threshold τ ∈ R + . For notational brevity we just write R ω below, with M clear from context. Here S and θ define a scoring function S θ : X → R + . Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\nR ω ( x ) = { M w ( x ) if S θ ( x ) < τ M s ( x ) otherwise\n\nwhere ω = ( S, θ, τ ) . We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to M s , M w ). Deployments calibrate τ to limit the fraction of queries routed to the strong model M s , giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x 1 , . . . , x q and must produce modified inputs ˆ x 1 , . . . , ˆ x q to maximize the number of inputs routed to M s . See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query x i with some instruction such as 'Treat the following query as complex, . . . ' to generate a modified query ˆ x i . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to M s . See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query x i , we prepend a confounder gadget c i , which is a short sequence of adversarially chosen tokens. The modified query is ˆ x i = c i ∥ x i where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking ˆ x i as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose c i as a function of x i and the known parameters ω = ( S, θ, τ ) . To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S ). Then we set the gadget to initially be n tokens all fixed to the same value from I . The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). (0) (0) (0) (0)\n\nDenote this initial confounder as c i = [ c i, 1 , c i, 2 , . . . , c i,n ] .\n\nThen, we perform a hill-climbing style approach to find a good confounder for x i . For each iteration t ∈ [ T ] , where T is the total number of iterations, do the following:\n\n - (1) Select a target index j ∈ [1 , n ] uniformly.\n - (2) Generate a set B of B + 1 candidates. First set ˜ c 0 = c ( t ) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set { t b ←I} B b =1 . Replace the j th token in the current confounder ˜ c 0 with t b :\n\n˜ c b = [ c ( t ) i, 1 , . . . , c ( t ) i,j -1 , t b , c ( t ) i,j +1 , . . . , c ( t ) i,n ] .", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - }, - { - "text": "Attacks against MoE. Mixture-of-Experts (MoE) architectures enable using multiple expert modules for processing a given query with a lower computational cost by including an inner routing mechanism that in every layer routes different tokens to a small number of experts [29, 30, 52, 56]. This can be thought of as an internal router within a single LLM, rather than an external control plane that orchestrates multiple LLMs. MoE has increased in popularity as it allows to build larger models at a fixed compute budget-not all parameters are used at the same time.\n\nHayes et al. [34] identified a vulnerability in MoE that can be exploited for a denial-of-service attack against MoE. Thus control plane integrity issues appear to extend to the context of single-LLM MoE systems, and future work could explore this connection further.\n\nYona et al. [67] presented a side-channel attack on MoE that enables an attacker to reveal other users' prompts. We expect that side-channel attacks against LLM control planes exist as well, for example, to infer which models are used via timing of responses. Such attacks, which target confidentiality, are outside the scope of control plane integrity.\n\n## 10 Conclusion\n\nLLM routers balance quality and cost of LLM inference by routing different queries to different LLMs. They are an example of a broader, emerging class of systems we call 'LLM control planes' that aim to achieve various quality, efficiency, and cost objectives by orchestrating use of multiple LLMs to respond to a query.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality of responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user workloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The router can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user's queries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For example, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent fraction of queries being routed to the strong model.\n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there is sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be circumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, each query.\n\n## 9 Related Work\n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, 43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of multi-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our results compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity attacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates the prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adversarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely explored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as 'do not output expletives' [23, 42, 54, 66, 72, 73].\n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for example, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection attacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into thirdparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its users. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate their integrity by exploiting the weaknesses of the underlying LLM [19, 55].\n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the control plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks that, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming controlplane-confounding queries.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is an LLM control plane ?", - "target_page": 3, - "target_passage": " An LLM control plane Rω is a potentially randomized algorithm.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In contrast to routers motivated by controlling costs, several LLM router designs focus solely on improving quality of responses [31, 45, 57, 58].\n\nThe LLM routers described thus far do not modify the queries or individual LLM responses. Other types of control planes do. Ensemble approaches such as mixture-of-expert (MoE) [29, 30, 52, 56] architectures select a subset of underlying models to apply to each token of a query and merge their responses. LLM synthesis [40] architectures operate similarly, but route the entire query to a subset of underlying LLMs and merge their responses. These approaches reduce inference costs by using fewer and/or less complex underlying models.\n\nApplications of LLM routers. A key use case for LLM routers is to help LLM-based application reduce cost. Several commercial routers, including Unify [12], Martian [5], NotDiamond [7], and others, offer this as a service. By replacing a few lines of code, the application can send user queries to a router service, rather than directly to some LLM provider. The service selects the optimal LLM and forwards the queries. Commercial router services claim that this results in significant cost savings: up to 98% in the case of Martian [5], and 10 × in the case of NotDiamond [7].\n\n## 3 LLMControl Plane Integrity\n\nIn this section, we define LLM control plane integrity . Informally, it means that decisions made about underlying LLM queries made by the control plane algorithms cannot be subverted by adversarial queries. Looking ahead, we will focus on one class of control plane: predictive LLM routing as used to manage cost.\n\nFormalizing control planes. An LLM control plane R ω is a potentially randomized algorithm. It is parameterized by a string ω , called the parameters. It utilizes some number n of LLMs denoted by M . We will mostly focus on the case of n = 2 , and, for reasons that will be clear in a moment, use M s ('strong') and M w ('weak') to denote the two underlying LLMs. Then inference on an input x ∈ X for some set X of allowed queries is performed by computing a response via y ← $ R M ω ( x ) . Here we use ← $ to denote running R with fresh random coins; we use ← when R is deterministic. We focus on inference for a single query, but it is straightforward to extend our abstraction for control planes to include sessions: the controller would maintain state across invocations, potentially adapting its behavior as a function of a sequence of queries and responses.\n\nLLM control planes should, in general, be relatively computationally lightweight, at least compared to the underlying LLMs. This is particularly so in the cost-motivated usage of control planes, as a computationally or financially expensive control plane would eat into cost savings incurred by utilizing cheaper underlying LLMs for some queries. For example, predictive binary routers use relatively simple classifiers to determine which of M s or M w should be used to respond to a query.\n\nInference flow. Given a set of LLMs M , a control plane R ω , and an input x , an LLM inference flow is the sequence of LLM invocations M i j ( z j ) for 1 ≤ j ≤ m and i j ∈ { w , s } made when executing R M ω ( x ) . Here m is the total number of LLM invocations, and z 1 , . . . , z m are the queries made to the underlying LLMs. Should R be randomized, the sequence and its length are random variables. An inference flow can be written as a transcript\n\nT = ( i 1 , z 1 ) , ( i 2 , z 2 ) , . . . , ( i m , z m )\n\nof pairs of model indexes i j ∈ { w , s } and model inputs z j . Note that for simplicity we ignore the potential for parallelization, assuming execution proceeds serially. For binary routers, we have m = 1 and T ∈ { ( w , x ) , ( s , x ) } . We write submitting a sequence of inferences ⃗x = ⃗x 1 , . . . , ⃗x q to a control plane as\n\nR M ω ( ⃗x ) = ( R M ω ( ⃗x 1 ) , . . . , R M ω ( ⃗x q ))", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "R M ω ( ⃗x ) = ( R M ω ( ⃗x 1 ) , . . . , R M ω ( ⃗x q ))\n\nwhere note that each invocation could result in multiple underlying LLM invocations. In the binary router case, however, each invocation results in a single LLM invocation.\n\nAn inference flow policy dictates the control plane designer's intention regarding use of the underlying models. For example, an application may want to ensure that only a small fraction of queries go to the expensive model M s . We can define this as a predicate over a sequence of transcripts. In our binary router example, the policy can be more simply defined as a predicate P over (input, model) pairs ( ⃗x 1 , i 1 ) , . . . , ( ⃗x q , i q ) since this fully defines the sequence of transcripts. For example, a policy might specify that the strong model is used in at most an ϵ fraction of inferences:\n\nP (( ⃗x 1 , i 1 ) , . . . , ( ⃗x q , i q )) =   q ∑ j =1 I ( i j ) q ≤ ϵ  ", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 4.19. Longitudinal Control Requirements\n\n\n\n\n\n\n\n~, :,.,\n\n:.:,\n\n:~'\n\nLANDING CONTROL", - "page_start": 293, - "page_end": 293, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\n## EFFECT OF c LMAX ONSTALL SPEED\n\nFigure 7.76. Flight at High Liff Conditions\n\n", - "page_start": 55, - "page_end": 55, - "source_file": "00-80T-80.pdf" - }, - { - "text": "We now discuss adversarial capabilities. We assume that our victim application's prompt includes a substring that can be controlled by the adversary. This represents many real-world apps such as chatbots, coding assistants, writing assistants, and others, that insert user inputs into an LLM prompt. In crafting adversarial portions of prompts, an adversary may have various levels of knowledge about the victim application's router. We consider the following knowledge settings:\n\n- · White-box setting : The adversary knows the control plane algorithm and its parameters ω .\n- · Black-box (transfer) setting : The adversary does not know the control plane algorithm R and ω for the target model, but knows instead another control plane algorithm R ' ω ' and its parameters. We refer to R ' ω ' as the surrogate . For example, this could arise if an adversary trains their own router using available data. In this setting our attacks are also zero-shot in that they do not require any interaction with the target control plane before the query that is being rerouted.\n\n## 4 Confounding Control Planes with Gadgets\n\nWe now turn to our main contribution: a methodology for attacking LLM control plane integrity. The key insight is that an adversary can modify queries to mislead or 'confound' the routing logic into routing these queries to an LLM of the adversary's choosing. Furthermore, we will demonstrate that these attacks can be black-box and query-independent , i.e., a single modification works for all queries and does not require advance knowledge of the specific router being attacked.", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv1.pdf" - }, - { - "text": "where I ( i j ) = 1 if i j = s and I ( i j ) = 0 if i j = w . In other words, the predicate is that the fraction of queries routed to the strong model is bounded by ϵ .\n\nControl plane integrity. A control plane integrity adversary is a randomized algorithm A that seeks to maliciously guide inference flow.\n\nIn an unconstrained LLM control plane integrity attack, the adversary A seeks to generate inputs ⃗x = ⃗x 1 , . . . , ⃗x q such that running R M ω ( ⃗x ) generates a transcript for which P (( x 1 , i 1 ) , . . . , ( x q , i q )) = 0 . This attack could be launched by an adversary who wants to maximize inference costs for a victim application using an LLM router.\n\nA harder setting requires input adaptation, where the adversary is given inputs x 1 , . . . , x q and it must find new inputs ˆ x 1 , . . . , ˆ x q for which the transcript resulting from P ((ˆ x 1 , i 1 ) , . . . , (ˆ x q , i q )) = 0 . There will be some competing constraint, such as that x j and ˆ x j are very similar for each j , or that the outputs y j ← $ R M ω ( x j ) and ˆ y j ← $ R M ω (ˆ x j ) are close. In the routing context, the adversary's goal is to increase the fraction of queries that get routed to the strong model, in order to improve the overall quality of responses, drive up the victim application's inference costs, or both.\n\n̸\n\nRelationship to evasion attacks. Evasion attacks [25, 43, 60] against an inference system (also called adversarial examples [32, 48, 49]) would, in our setting, seek to find a small modification ∆ to an input x such that R M ω ( x +∆) = R M ω ( x ) where addition is appropriately defined based on input type (e.g., slight changes to text).\n\nOur attack setting is not the same. The control plane integrity adversary seeks to maliciously control the inference flow , not necessarily the output of inference. In an unconstrained attack, the adversary does not care what outputs are generated. In the input adaptation attack, the adversary seeks to craft inputs that modify the inference flow yet do not change the responses of the strong underlying LLM to the extent possible. Looking ahead, we will use evasion techniques in our adaptation attacks against learned control plane routers, but, importantly, not the overall inference.\n\nIn the other direction, undermining LLM control plane integrity could be a stepping stone toward evasion attacks. For example, if R M ω is used to classify malicious content by combining LLMs each tuned to different types of harm categories, then modifying inputs to force inference flows away from appropriate models could aid evasion. We leave evaluation of how control-plane integrity attacks can enable evasion to future work.\n\nThreat models. Within the context of control plane integrity attacks against LLM routers, we identify several threat models that differ in terms of the adversary's goals and their knowledge about the target control plane R M ω .\n\nIn terms of goals, an adversary may seek to inflate the costs of a victim application that utilizes an LLM control plane. As a kind of denial-of-service attack, such cost inflation would penalize the application developer who expects routing to control costs. Another adversarial goal could be arbitrage : consider an application that charges X dollars per query, whereas directly using M s costs Y > X . The application's lower rate X makes economic sense assuming it uses a router to route the bulk of queries to a cheaper model M w . An input adaptation attack in this setting can gain (indirect) access to M s , obtaining an arbitrage advantage of Y -X per query. To be effective, this arbitrage adversary would want to ensure that adaptations do not lower response quality (i.e., it extracts all the value out of rerouting to M s ). As before, the victim in this case is the application that relies on routing to lower its costs (unsuccessfully, under this attack).", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv1.pdf" - }, - { - "text": "an extra potentially expensive LLM invocation for each query processed by the router. Second, it may degrade the quality of responses from the destination LLMs, which are sensitive to the phrasing of queries and prompts.\n\nDetecting anomalous user workloads. Another possible defense requires the router to monitor individual user workloads, and identify those users whose queries are routed to the strongest model with an abnormally high frequency. The router can then impose a user-specific threshold. Of course such workloads may have a benign explanation, e.g., the user's queries may be unusually complex. Even so, routers could potentially be designed to perform user-specific routing. For example, one could imagine using per-user thresholds that are calibrated dynamically to attempt to maintain a consistent fraction of queries being routed to the strong model.\n\nSuch user-specific routing would complicate implementations, and would make inaccurate decisions for a user until there is sufficient data about their queries. The latter is relevant in adversarial settings, since such an approach would still be circumventable should attackers be able to mount Sybil attacks in which the attacker creates a new user for, in the limit, each query.\n\n## 9 Related Work\n\nEvasion attacks against ML systems. A large body of work has investigated evasion attacks against ML systems [25, 43, 60], also referred to as adversarial examples [32, 48, 49], and these attacks are now being explored in the context of multi-modal LLMs [28] as well as text-only LLMs (for just one example, see [22]). We discussed in Section 3 how our results compare: LLM control plane integrity is a distinct AI safety issue, but related in that: (1) control plane integrity attacks may use evasion-style techniques, and (2) control plane integrity attacks might be useful for performing evasion.\n\nPrompt injection against LLMs. Prompt injection is a class of attacks against LLMs in which the adversary manipulates the prompt, i.e., the textual input fed directly to the LLM, causing the LLM to generate outputs that satisfy some adversarial objective [50, 64]. Evasion attacks as discussed above can use prompt injection, jailbreaking attacks being a widely explored example in which the adversary aims to bypass some safety guardrail included in the LLM system, such as 'do not output expletives' [23, 42, 54, 66, 72, 73].\n\nPrompt injection is also used for extraction attacks that aim to infer some information from or about the model, for example, the system prompt [50, 54, 70], training data samples [46], or model parameters [18]. In indirect prompt injection attacks [33], the adversaries do not directly interact with the target LLM, and instead inject adversarial inputs into thirdparty data, which is then added to the LLM prompt (intentionally or unintentionally) by the victim application and/or its users. This relates to another category of attacks that target LLM-based applications, such as RAG systems, and invalidate their integrity by exploiting the weaknesses of the underlying LLM [19, 55].\n\nOur attacks also modify queries, but with a different aim than the above types of attacks: undermining the integrity of the control plane routing, rather than the LLM itself. Future work might investigate indirect control plane integrity attacks that, analogously to indirect prompt injection, serve to somehow trick users of a routing system into forming controlplane-confounding queries.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv1.pdf" - }, - { - "text": "## NAVWEPS 00-801-60 HIGH SPEED AERODYNAMICS\n\nFigure 3.19. Planform Effects and Control Surfaces\n\n", - "page_start": 254, - "page_end": 254, - "source_file": "00-80T-80.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent 'confounder gadgets.' When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n## Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 2: Overview of our attack on LLM routing control plane integrity. The attack adds to each query a prefix (represented by the gear), called a 'confounder gadget,' that causes the router to send the query to the strong model.\n\n\n\nWe focus on the binary router setting in which the router applies a learned scoring function to input queries and routes any query whose score exceeds some threshold τ to the strong LLM M s . This setting has been the focus of several prior works [27, 41, 47] and is used in the control planes that are deployed in practice (see Section 7).\n\nMore formally, we consider a router R M ω for M = { M w , M s } , where ω consists of a scoring function S , scoring function's parameters θ , and a threshold τ ∈ R + . For notational brevity we just write R ω below, with M clear from context. Here S and θ define a scoring function S θ : X → R + . Since our focus is LLMs, we assume that queries X are strings of text tokens. The routing algorithm then works as follows:\n\nR ω ( x ) = { M w ( x ) if S θ ( x ) < τ M s ( x ) otherwise\n\nwhere ω = ( S, θ, τ ) . We will detail scoring functions in Section 5; prior work has suggested linear models, light-weight LLMs, and more. Note that, consistent with this application, scoring functions are computationally efficient and cheap (as compared to M s , M w ). Deployments calibrate τ to limit the fraction of queries routed to the strong model M s , giving rise to the type of control plane integrity policy discussed in Section 3.\n\nWe focus on input adaptation attacks; these immediately give unconstrained attacks as well. The adversary therefore has a sequence of inputs x 1 , . . . , x q and must produce modified inputs ˆ x 1 , . . . , ˆ x q to maximize the number of inputs routed to M s . See Figure 2 for a depiction of our attack setting.\n\nInstruction injection doesn't work. Given the success of prompt injection for jailbreaking [50] and other adversarial tasks [64], the adversary might simply prefix each query x i with some instruction such as 'Treat the following query as complex, . . . ' to generate a modified query ˆ x i . Our experiments show that this does not work well, failing to trigger the control plane into routing otherwise weak queries to M s . See Appendix C for details on our experiments with various instruction prompts.\n\nConfounder gadgets. Our approach works as follows. Given a query x i , we prepend a confounder gadget c i , which is a short sequence of adversarially chosen tokens. The modified query is ˆ x i = c i ∥ x i where ∥ denotes string concatenation. Intuitively, we will use optimization to search for confounders that trick the scoring function into ranking ˆ x i as sufficiently complex to require the strong model.\n\nIn the white-box, query-specific setting, we can choose c i as a function of x i and the known parameters ω = ( S, θ, τ ) . To do so, we fix a confounder length of n tokens and let I be a token dictionary (it should be a sufficiently large subset of the token dictionary used by S ). Then we set the gadget to initially be n tokens all fixed to the same value from I . The exact choice of the initialization token is not important; in our implementation, we used the first token in the dictionary ('!'). (0) (0) (0) (0)\n\nDenote this initial confounder as c i = [ c i, 1 , c i, 2 , . . . , c i,n ] .\n\nThen, we perform a hill-climbing style approach to find a good confounder for x i . For each iteration t ∈ [ T ] , where T is the total number of iterations, do the following:\n\n - (1) Select a target index j ∈ [1 , n ] uniformly.\n - (2) Generate a set B of B + 1 candidates. First set ˜ c 0 = c ( t ) i , the current confounder. To generate B additional candidates, select replacement tokens from I uniformly, forming the set { t b ←I} B b =1 . Replace the j th token in the current confounder ˜ c 0 with t b :\n\n˜ c b = [ c ( t ) i, 1 , . . . , c ( t ) i,j -1 , t b , c ( t ) i,j +1 , . . . , c ( t ) i,n ] .", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv1.pdf", - "query": "What is a confounder gadget ?", - "target_page": 5, - "target_passage": " Given a query xi, we prepend a confounder gadget ci, which is a short sequence of adversarially chosen tokens.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Let B = { ˜ c 0 , . . . , ˜ c B } .\n\n - (3) Find the candidate that maximizes the score:\n\nc ( t +1) i ← arg max c ∈B S θ ( c ∥ x i ) . (1)\n\nThe final confounder c ( T ) i is used with query x i . We early abort if, after 25 iterations, there is no update to the confounder gadget. Technically, we could abort early if we find a confounder whose score exceeds τ . Running further can be useful when an adversary does not know τ .\n\nThe attack's runtime is dominated by T · B times the cost of executing S . In practice, S are designed to be fast (otherwise routers would significantly increase the latency of applications that use them). We report precise timings later; in summary, the attack is fast because we can set T to be relatively small and still find high-scoring confounders.\n\nDue to the randomness in index and token selection, the method converges to different, yet similarly effective, confounder gadgets on each run. Our evaluation will thus measure average performance over multiple gadgets.\n\nQuery-independent confounders. One downside of the per-query approach is that the adversary must repeat, for each query, the search for a good confounder. In practice, the adversary might prefer a query-independent attack. Our confounder gadget approach extends to this setting readily: perform the search routine above for an empty query. In other words, just ignore x i in the query-dependent attack above, replacing S θ ( c ∥ x i ) in Eq. 1 with S θ ( c ) . This finds a single query-independent confounder c that can be prefixed to all queries, i.e., ˆ x i = c ∥ x i . We will show that this works surprisingly well.\n\nIt is tempting to assume the reason a query-independent confounder works well is that a good scoring function should be roughly monotonic in query extensions, i.e., one might expect that S θ ( c ∥ x ) ≥ S θ ( c ) for almost any suffix x . This intuition is not correct. In our experiments, we found that S θ ( c ∥ x ) < S θ ( c ) for many x and some of the routers discussed below. Nevertheless, by ensuring that S θ ( c ) is pretty high (set the number of iterations T higher) the resulting query-independent confounder works well. That is, we at least get that S θ ( c ∥ x ) > S θ ( x ) .\n\nThe black-box setting: confounders that transfer. Finally, the attacks so far are in the white-box setting, where the attacker can optimize directly against S θ . While in some cases routing control planes will be public knowledge, in others, including the proprietary control planes we explore in Section 7, they are hidden. This gives rise to the black-box setting. While an attacker might seek to perform model extraction attacks [43, 65] to learn θ , we instead explore attacks that transfer from one router to another.\n\nIn more detail, we assume the adversary has access to a router R ' ω ' , called the surrogate , that is trained on data similar to that used for the target router. Then the attack is the same as above, except that we use the surrogate's scoring function S ' θ ' instead of the target's S θ . Again, we will see that this works surprisingly well: the query-independent confounders found for the surrogate transfer to successfully reroute queries against the target router.\n\nPutting it all together. In summary, our methodology for input adaptation attacks is:\n\n - (1) (Preprocessing) Develop a single query-independent confounder gadget c , using either the target router or surrogate to score the confounder.\n - (2) (Input adaptation) For each query x i , submit ˆ x i = c ∥ x i instead to obtain a response ˆ y i .\n\nThe confounder is applied to all queries, i.e., the adversary does not need to guess whether the original query would have been routed to the weak or strong model. In the rest of the paper, we demonstrate the confounders rarely result in 'downgrades,' i.e., rerouting of queries from the strong to weak model.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "In Appendix C we evaluate optimization-free alternatives for generating our confounding gadgets, and show they significantly underperform our optimization-based approach.\n\nWhite-box confounder gadget generation. Following our attack framework described in Section 4, we construct a query-independent control-plane gadget designed to confuse each router. We start with the white-box setting, setting the batch size to B = 32 and the number of iterations to T = 100 , ignoring thresholds. We generate four sets of n = 10 gadgets, i.e., ten for each router. Examples of generated gadgets can be found in Appendix A.\n\nWhen reporting scores below, we therefore report the average over the n gadgets used with all 72 MT-bench queries, 100 randomly selected MMLU queries, and 100 randomly selected GSM8K queries. None of these testing queries were used in the training of the routers or their calibration.\n\nRuntime and convergence. Figure 4 shows the convergence rates for 10 different gadgets, against different routing algorithms. The overall average number of iterations before convergence is 58. Generation against R SW converges the", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv1.pdf" - }, - { - "text": "We have experimented with variations of this approach that don't work quite as well, for example adding c as a suffix instead of a prefix. See Appendix B for details.\n\n## 5 Open-Source Routers: Experimental Setup\n\nTo evaluate efficacy of confounder gadgets generated using the method from Section 4, we perform experiments with several LLM routers. This section explains our experimental setup for the open-source routers proposed in the research literature [47]; results of this evaluation appear in Section 6. In Section 7, we discuss experiments with proprietary, commercial routers. Figure 3 shows the summary of our experimental setup.", - "page_start": 5, - "page_end": 5, - "source_file": "arxiv1.pdf" - }, - { - "text": "We introduced and defined a new safety property, LLM control plane integrity . Informally, this property holds if an adversarial user cannot influence routing decisions made by the control plane. To show that existing LLM routers do not satisfy this property, we designed, implemented, and evaluated a black-box optimization method for generating queryindependent 'confounder gadgets.' When added to any query, the confounder gadget confuses the router into routing the query to the adversary-chosen LLM.\n\nWe evaluated the efficacy of confounder gadgets on multiple open-source and commercial routers and demonstrated that they successfully reroute queries without a negative impact on the quality of responses. We also discussed defenses against these attacks and indicated directions for future research.\n\n## Acknowledgments\n\nThis research was supported in part by the Google Cyber NYC Institutional Research Program, the Israel Science Foundation (Grant No. 1336/22), and the European Union (ERC, FTRC, 101043243). Views and opinions expressed are however those of the author(s) only and do not necessarily reflect those of the European Union or the European Research Council. Neither the European Union nor the granting authority can be held responsible for them.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv1.pdf" - }, - { - "text": "To evaluate the effectiveness of such a defense against our attack, we compare the perplexity values of original and confounded queries. Figure 5 presents histograms of perplexity values for both the original evaluated GSM8K queries and their corresponding confounded versions, generated using one of the confounder gadgets, sampled uniformly at random. Additionally, the figure displays the ROC curve for the defense that detects confounded queries by checking if their perplexity exceeds a threshold. As can be seen, the confounded queries exhibit significantly higher perplexity values, making them readily distinguishable from the original queries. For instance, in the case of the R SW router, setting the threshold value at 55 yields a false-positive rate of 3% and a true-positive rate of 97% . Results are similar for other gadgets and benchmarks and were omitted due to space constraints.\n\nUnfortunately, this defense can be evaded if an adversary incorporates a perplexity constraint into the gadget generation process. To demonstrate the feasibility of this evasion strategy, we modify gadget generation to maximize the score of the routing algorithm R and simultaneously aligning the the gadget's perplexity to some predefined perplexity value. In more detail, in each iteration t ∈ [ T ] , we uniformly sample a target index j ∈ [1 , n ] and generate a set B of B +1 candidates as explained in Section 4. We then modify Eq. 1 such that we now find the candidate that maximizes the difference between the router's score and the perplexity constraint for the confounder:\n\nc ( t +1) ← arg max c ∈B ( S θ ( c ∥ x i ) -α · | PPL ( c ) -ρ | ) ,", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv1.pdf" - }, - { - "text": "Figure 6 shows the results when setting α = 0 . 01 , for the GSM8K benchmark and one confounder gadget. The results demonstrate that modified queries can no longer be easily distinguished from normal queries by their perplexity alone. For instance, in the case of the R SW router, setting the threshold value at 55 as before, no confounded queries are flagged as anomalous, meaning the true-positive rate is zero. We note that there is some variability across gadgets. The average ROCAUC scores of the defense across ten gadgets with standard deviation indicated parenthetically, are 0 . 66 ( ± 0 . 04 ), 0 . 69 ( ± 0 . 02 ), 0 . 71 ( ± 0 . 02 ), and 0 . 69 ( ± 0 . 03 ) for the R SW , R MF , R CLS , and R LLM routers, respectively.\n\n\n\n(a)\n\nR\n\nSW\n\n\n\n\n\nCount\n\nTPR\n\n\n\n(c)\n\nR\n\nCLS\n\n\n\nCount\n\nTPR\n\n\n\n(d)\n\nR\n\nLLM\n\n\n\nCount\n\nTPR\n\nFigure 5: Perplexity of the original queries in the GSM8K benchmark compared to the perplexity of confounded queries using a single uniformly sampled gadget. We additionally present the ROC curve of the defense that detects confounded queries by checking if they cross a perplexity threshold, and it's corresponding ROCAUC score. Confounded queries have significantly higher perplexity values, and are thus easy to recognize and filter out.\n\nwhere PPL ( · ) denotes the perplexity function computed using GPT-2, the value ρ denotes a target perplexity value to which we want gadgets' perplexity to be close, and the value α is a balancing coefficient. For the experiments below, we set ρ to be the average perplexity value of 100 uniformly sampled queries 3 from the GSM8K benchmark.\n\nAt the same time, optimizing for low perplexity does not significantly impact the attack success rate. Table 11 compares the average upgrade rates (over n = 10 gadgets) of the original perplexity-agnostic optimization approach from Section 4 and the perplexity-minimizing one described above. The attack efficacy might be improvable further by adjusting α to find a sweet spot that avoids the defense effectively while ensuring high rerouting success rate.\n\nThe attack is not particularly sensitive to the choice of queries used to obtain the calibration value ρ . Although ρ was computed using GSM8K queries, we observe similar performance when evaluating on the MT-bench and MMLU benchmarks, with average ROCAUC scores of 0 . 50 ( ± 0 . 01 ), 0 . 51 ( ± 0 . 01 ), 0 . 52 ( ± 0 ), and 0 . 51 ( ± 0 . 01 ) for MT-bench, and 0 . 52 ( ± 0 . 03 ), 0 . 54 ( ± 0 . 02 ), 0 . 55 ( ± 0 . 01 ), and 0 . 53 ( ± 0 . 02 ) for MMLU. One might also try removing the calibration value altogether, instead simply minimizing the gadget's perplexity value. However, this can result with an 'overshooting' effect, where the perplexity value is significantly lower than that of normal queries, thereby making it still distinguishable from standard queries.\n\nIn summary, perplexity-based filtering is not an effective defense against against rerouting.\n\n\n\n(b)\n\nR\n\nMF", - "page_start": 14, - "page_end": 14, - "source_file": "arxiv1.pdf" - }, - { - "text": "\n\n(a)\n\nR\n\nSW\n\n\n\n\n\n\n\nCount\n\nTPR\n\n\n\nCount\n\n(d) R LLMFigure 6: Perplexity values of the original and confounded queries, and the corresponding ROC curves of the defense that detects confounded queries by checking if they cross a perplexity threshold, when the confounder gadget is optimized for low perplexity, in the GSM8K benchmark and for one gadget sampled uniformly at random. Confounded queries have similar perplexity values as the original queries, and can no longer be easily distinguished based on perplexity alone.\n\n\n\nTable 11: Average upgrade rates for gadgets generated without ('Orig.') and with ('PPL-opt.') low-perplexity optimization, for the balancing coefficient α = 0 . 01 . In some cases, optimizing for low perplexity has a negative effect on the attack success rate, however the attack can still be considered successful. A more careful choice of α can potentially limit the effect on the attack success.\n\n| | R SW | R SW | R MF | R MF | R CLS | R CLS | R LLM | R LLM |\n|----------|---------|----------|---------|----------|---------|----------|---------|----------|\n| | Orig. | PPL-opt. | Orig. | PPL-opt. | Orig. | PPL-opt. | Orig. | PPL-opt. |\n| MT-Bench | 100 ± 0 | 100 ± 0 | 100 ± 0 | 98 ± 2 | 100 ± 0 | 98 ± 1 | 73 ± 5 | 51 ± 8 |\n| MMLU | 90 ± 1 | 59 ± 5 | 78 ± 4 | 74 ± 5 | 100 ± 0 | 66 ± 12 | 95 ± 1 | 89 ± 3 |\n| GSM8K | 98 ± 0 | 70 ± 7 | 100 ± 0 | 98 ± 2 | 100 ± 0 | 88 ± 6 | 94 ± 3 | 81 ± 8 |\n\nLLM-based filtering. Even though adversarially modified queries cannot be easily detected using perplexity, they may still be 'unnatural.' A possible defense is to employ an oracle LLM to determine if the query is natural or not. This defense requires the router to invoke an additional LLM for every processed query, which is computationally expensive in the case of a high-quality open-sourced LLM or financially costly in the case of a high-quality commercial LLM. Therefore, this defense is unlikely to be practical. Furthermore, it is possible to optimize gadgets so that they both have low perplexity and appear 'natural' to LLM evaluators [69].\n\nParaphrasing. Filtering defenses like those discussed above are passive. An active alternative is to paraphrase queries using an oracle LLM. LLMs are trained to generate natural text and are thus likely to remove unnatural substrings when paraphrasing a query. This defense is likely impractical for two reasons. First, and as with LLM-based filtering, it requires\n\n\n\n(b)\n\nR\n\nMF\n\n\n\n(c)\n\nR\n\nCLS", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv1.pdf" - }, - { - "text": "Table 10: Benchmark-specific average scores of responses to the original and confounded queries with GPT-4-1106preview as the strong model (LLM pair 4), in the white-box setting. Results demonstrate a higher increase in performance with respect to the LLM pair 1 setting, due to the larger performance gap between the models.\n\n| | R SW | R SW | R MF | R MF | R CLS | R CLS | R LLM | R LLM |\n|----------|----------|---------------|----------|---------------|----------|---------------|----------|---------------|\n| | Original | Confounded | Original | Confounded | Original | Confounded | Original | Confounded |\n| MT-Bench | 9 . 2 | 9 . 2 ± 0 . 0 | 9 . 1 | 9 . 3 ± 0 . 0 | 9 . 2 | 9 . 1 ± 0 . 0 | 8 . 9 | 9 . 1 ± 0 . 1 |\n| MMLU | 76 | 84 ± 1 | 76 | 81 ± 0 | 76 | 84 ± 0 | 78 | 84 ± 1 |\n| GSM8K | 62 | 86 ± 0 | 65 | 88 ± 1 | 68 | 90 ± 2 | 66 | 85 ± 2 |\n\nconfounder gadgets, queries originally routed to GPT are still routed to GPT and no queries are ever routed to Claude. For queries originally routed to Llama, some gadgets result in all of them being rerouted to GPT, and some have no impact. Specifically, 4 out of the 10 gadgets we optimized using R SW caused all queries to be rerouted to GPT, 2 / 10 using R MF , and 3 / 10 using R LLM . None of the gadgets optimized using R CLS had any impact on routing. In terms of costs, having all queries being rerouted to GPT results with an average cost of $0 . 25 , a greater than 8 × increase over the cost of the original queries. Given the lack of documentation of the routing algorithm being used, we are unsure what explains the variability across gadgets.\n\nMartian. This router is supposed to let the user provide a list of models and to specify the maximum amount the user is willing to pay for a query or for 1M tokens. Unfortunately, as of November 14, 2024, the router appears to ignore the list models provided by the user, and forwards the input to the same LLM regardless of it. We tested this in settings including one, two, or multiple models. While responses do not specify which LLM was used, they were identical across settings, so we excluded Martian from our evaluation. We notified Martian about the seemingly buggy behavior.\n\n## 8 Defenses\n\nDefenses against rerouting should be cheap. If the per-query cost of the defense is comparable to the per-query cost of a strong LLM, deploying the defense will defeat the main purpose of LLM routing, which is to reduce the cost of responding to queries.\n\nPerplexity-based filtering. As explained in Section 6, perplexity is a measure of how 'natural' the text looks. Perplexitybased filtering has been suggested in many contexts as a defense against adversarial text inputs [16, 36]. This defense computes the perplexity of multiple 'trusted' texts, then compares it with the perplexity of the suspicious text. If the latter is significantly higher, or above some predefined threshold, the text is considered adversarial. Specifically, we assume the defender has access to a set of unmodified queries. The defender computes their perplexity values and uses these values to establish a threshold. Given a new query, the defender checks if its perplexity exceeds the threshold. If so, the query is flagged as adversarial. The defender can then decide how to handle such queries. Options include rejecting them or routing them all to the weak model. Computing the perplexity of a query can be cheap to do, e.g., using GPT-2 as we do in this work; this makes it viable for use as a defense that doesn't undermine the benefits of routing.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv1.pdf" - }, - { - "text": "performed an outlier check, labeling images as a 'low-quality outlier' if the correlation coefficient was >3 s.d. from the absolute mean. None of our scans were flagged as outliers. The reconstructed participant files were aggregated into one connectometry database per metric.\n\nDay2Day control dataset . To compare our findings against a control group of nonpregnant densely-sampled individuals, we used the Day2Day dataset 23 which offered comparable whole-brain T1 and T2 MTL scans for eight participants (two male) scanned 12-50 times over 2-7 months. Each participant was run through the ANTs CT and ASHS processing pipelines as outlined above ('Cortical volume and thickness' and 'Hippocampal segmentation'). To note, for each participant, we created an SST based on their first two sessions for consistency with the primary dataset; subfield volumes for the T2 MTL scans did not undergo manual retouching. Due to missing header information on the publicly available diffusion scans, we were unable to benchmark our white matter changes with the Day2Day dataset.\n\nStatistical analysis . Statistical analyses were conducted using R (sMRI; version 3.4.4) and DSI Studio (dMRI; Chen-2022-07-31).\n\nSummary brain metrics . To reflect the existing literature, we first explored brain metrics across the entire study duration (prepregnancy through postpartum, n = 26 scans). When including all sessions, total brain volume, GMV, CT, global QA, ventricle volume and CSF displayed nonlinear trends over time; therefore, we used generalized additive models (GAM; cubic spline basis, k = 10, smoothing = GCV), a method of nonparametric regression analysis (R package, mgcv 76 ), to explore the relationship between summary brain metrics (outcome variables) and gestation week (smooth term). Each model underwent examination (gam.check function) to ensure it was correctly specified with regards to (1) the choice of basis dimension ( k ) and (2) the distribution of model residuals (see mgcv documentation in ref. 76). The general pattern of results held after toggling model parameters; however, we note the risk of overinterpreting complex models with small sample sizes 77 . To address overfitting and cross-validate our basis type selection, we also fit the data using nonpenalized general linear models (GLM) with both linear and polynomial terms for gestation week. We compared the performance of each GLM (that is, models using only a linear term versus models with polynomial terms) via the Akaike information criterion (AIC), which revealed that cubic models consistently outperformed both linear and quadratic models (AICdiff > 3), providing additional evidence for nonlinear changes in structural brain variables over time. Determining whether these patterns replicate in larger cohorts and whether complex models are better suited to capture data patterns across individuals will be a necessary next step.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "Figure 4: Convergence of gadget generation against different routing algorithms.\n\n\n\nTable 1: The white-box attack's rerouting success rate. 'Upgrade' is the percentage of 'Weak' queries successfully rerouted to the strong model by adding a confounder gadget. 'Strong' shows the change in the percentage of queries that are routed to the strong LLM M s before and after our rerouting attack.\n\n| | R SW | R SW | R MF | R MF | R CLS | R CLS | R LLM | R LLM |\n|----------|---------|--------------|---------|--------------|---------|--------------|---------|-------------|\n| | Upgrade | Strong | Upgrade | Strong | Upgrade | Strong | Upgrade | Strong |\n| MT-Bench | 100 ± 0 | 81 → 100 ± 0 | 100 ± 0 | 58 → 100 ± 0 | 100 ± 0 | 67 → 100 ± 0 | 73 ± 5 | 57 → 88 ± 2 |\n| MMLU | 90 ± 1 | 43 → 94 ± 1 | 78 ± 4 | 53 → 90 ± 2 | 100 ± 0 | 47 → 100 ± 0 | 95 ± 1 | 53 → 98 ± 1 |\n| GSM8K | 98 ± 0 | 52 → 99 ± 0 | 100 ± 0 | 54 → 100 ± 0 | 100 ± 0 | 56 → 100 ± 0 | 94 ± 3 | 53 → 97 ± 1 |\n\nfastest (50 iterations on average), R MF the slowest (66 iterations on average). Interestingly, the score of R SW does not increase much during optimization but is still sufficient for a successful attack.\n\nRuntime varies significantly when generating gadgets against different routing methods. On a machine with one A40 GPU, 4 CPUs, and 180G RAM, a single iteration takes 36 . 9 s, 8 . 4 s, 0 . 8 s, and 6 . 9 s for the R SW , R MF , R CLS , and R LLM routers, respectively. On average, it takes around 31 minutes to generate a gadget for the R SW router, 9 minutes for R MF , 50s for R CLS , and 6 minutes for R LLM .\n\nRerouting success rates. Recall that our attack adds the same confounder gadget to all queries. We start by evaluating the reroute success rates : What fraction of confounded queries does the target router send to the strong model M s ? We show the results for our attack in Table 1. Focusing first on the columns labeled 'Strong', the notation ' X → Y ± Z ' relays that for unmodified queries, X %are routed to the strong model M s , and that for the n = 10 confounders we achieved an average of Y % of queries sent to M s . The standard error is Z . Note that while calibration targets ϵ = 0 . 5 , we see some natural variance in X for the test sets.\n\nTo breakdown success further, we additionally report the upgrade rate , which focuses on the percentage of queries that were (a) originally routed to the weak model, and (b) routed to the strong model after they were modified with the confounder gadget. Because in our attacks few queries get 'downgraded' (confounders cause them to be rerouted to the weak model instead of strong), the upgrade rate dictates the success rate.\n\nAs can be seen, the gadgets reroute almost all weak queries to the strong model. In most cases we see 100% success, or close to it. The worst case still achieves 88% rerouting success, boosting the fraction of queries sent to the strong LLM by 1.5x. Rerouting fails only for some queries that even after confounding are sent to the weak model: the fixed gadget did not sufficiently increase the router's estimate of those queries' complexity. This is the only source of error for the attack: no queries in these experiments got 'downgraded', i.e., a query that would otherwise be sent to M s ends up rerouted to M w . This also means that adding the confounder to every single query does not have negative impact on rerouting efficacy. We report standard error values for both the upgrade rates and the total percentage of queries routed to the strong model. The maximal standard error is in the low single digits, indicating similar success rates across gadgets.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv1.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What is called bad-cavity Ramsey laser ?", - "target_page": 1, - "target_passage": "We considerthe case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": ".\n\n## The Linewidth of Ramsey Laser with Bad Cavity\n\nYang Li, Wei Zhuang, Jinbiao Chen, ∗ and Hong Guo † CREAM Group, State Key Laboratory of Advanced Optical Communication Systems and Networks (Peking University) and Institute of Quantum Electronics, School of Electronics Engineering and Computer Science, and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China (Dated: October 29, 2018)\n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying the linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth is more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that of conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. Since any cavity related noise is reduced to cavity-pulling e ff ect in bad cavity laser, this Ramsey laser provides the possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical clock and atom interferometers.\n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\n\nIntroduction: Since the invention of the separated-field technique [1], it has played an important role in the field of precision spectroscopy due to its linewidth narrowing e ff ect via multiple coherent interaction. Atomic clocks based on this technique have greatly extended our ability for frequency measurement, further, almost all the atom interferometers are based on this technique [2].\n\nThough, the natural linewidth of quantum transition was regarded as the ultimate limit to high-resolution laser spectroscopy [4], several methods of subnatural linewidth spectroscopy have been proposed to gain subnatural linewidth [310]. However, in all these e ff orts, including optical Ramsey spectroscopy, subnatural line is realized at the expense of a quick reduction in signal-to-noise (SNR) ratio due to the exponential decaying of signal, thus all these schemes can only get the linewidth several times narrower than the atomic natural linewidth. In the past three decades, this situation does not change in the field of the precision laser spectroscopy. On the other hand, the thermal noise of the cavity mirrors is the main obstacle for further linewidth reduction of a laser [11, 12], and it is a challenge to substantially reduce this noise further[13]. Recently, a new scheme, called active optical clock [14-18], was proposed to substantially reduce the laser linewidth. With lattice trapped atoms, it is possible to reach mHz linewidth laser based on the mechanism of active optical clock [14, 15, 19]. The principal mechanism of active optical clock is to directly extract light emitted from the ultranarrow atomic transition with a cavity mode linewidth much wider than that of lasing. This bad cavity ensures that any frequency shift due to cavity noise reduces to cavity-pulling e ff ect [1517], then the thermal noise is not the major obstacle again for reducing the linewidth. This means the bad cavity can play an indispensable role in new subnatural linewidth spectroscopy.\n\nIn this Letter, we propose a new scheme called Ramsey laser with bad cavity. Distinct from any previous applications of conventional Ramsey separated oscillating fields method [1], which focuses on the absorption spectrum, we here fo-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "cus on the stimulated emission spectrum via multiple coherent interactions inside the cavity. We find this Ramsey laser can provide a stimulated-emission spectrum with a linewidth much narrower than that of any conventional optical Ramsey seperated-field spectroscopy, which is commonly applied in optical atomic clock. Our results also show that a subnatural linewidth spectroscopy, superior to any other available subnatural spectroscopy technique at present [3-10], can be reached by this kind of laser, if a suitable atomic level structure is chosen. Thus, this method can provide an e ff ective subnatural spectroscopy, and the possibilities for the new optical clock scheme [15] and atom interferometers [2].\n\nTheoretical framework: We consider the case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. All atoms are pumped onto the upper lasing state a before entering the first cavity of seperated field, and the lower lasing state is b . We assume all the atoms have the same velocities υ , that means what we consider here is a homogeneous laser system. And for the sake of simplicity, we consider the two-standing waves linear optical Ramsey configuration with a grid as spatial selector [20, 21]. Our treatment can be extended to other configurations as in [22-24]. The length of each oscillating part is l , and the length of the free drift region is L . The corresponding Hamiltonian is\n\nH = /planckover2pi1 ω ˆ a † ˆ a + /planckover2pi1 ∑ j [ ω j a ( t ) σ j a + ω j b ( t ) σ j b ] + /planckover2pi1 g ∑ j Γ j ( t )(ˆ a † ˆ σ j -e -i /vector k · /vector rj + ˆ σ j + ˆ ae i /vector k · /vector rj ) , (1)\n\nwhere ˆ a , ˆ a † are the annihilation and creation operators of the field mode inside the cavity, with the frequency ω , σ j a = ( | a 〉 〈 a | ) j and σ j b = ( | b 〉 〈 b | ) j are the projection operators for the jth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "Our method of Ramsey laser is suitable for any atoms with metastable energy level, as an example, we choose the transition from the metastable state 4 s 4 p 3 P 1 to the ground state 4 s 2 1 S 0 of 40 Ca to check the striking feature of this laser: subnatural linewidth. As mentioned in [29], the corresponding natural linewidth of the metastable state 4 s 4 p 3 P 1 is 320Hz. As in the recently proposed active optical clock with atomic beam [15], the velocity of the atoms in thermal atomic beam is about 500m / s, and the length of the interaction region is about 1mm, then the time for the atom to traverse each coherentinteraction region is on the order of magnitude of 1 µ s. If a bad cavity with κ is on the order of 10 7 Hz, the relation κ/ 2 /greatermuch τ -1 is satisfied. Then when g is on the order of the magnitude of kHz, which can be easily achieved for current technique [30], from the linewidth expression of Eq.(16) the order of magnitude of linewidth is below 1 Hz. This means the linewidth of a Ramsey laser can be more than two orders of magnitude narrower than the atomic natural linewidth, therefore our Ramsey method provides a new subnatural spectroscopy technique. And since it is stimulated-emission spectrum, it overcomes the di ffi culty in other subnatural linewidth spectroscopy schemes where the quick reduction of signal to noise ratio is a formidable limit. We should point out that this Ramsey laser does not escape the limitation of all active optical clock: in order to pump atoms to the excited state effectively and to be stimulated emit photon during the lifetime of a metastable state, this new method will only be applicable to some special transitions [17].", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "Conclusion: In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by using Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interaction with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavityrelated noise as discussed in active optical clock [15-19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3-10]. Considering one have to apply the separated-field method in any phase detection as in Ramsey-Bord e 'interferometer [2], to investigate the e ff ects of phase di ff erences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim.\n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Research and Development (863) Program.\n\n- ∗ E-mail: jbchen@pku.edu.cn\n- † E-mail: hongguo@pku.edu.cn.\n- [1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n- [2] B. Dubetsky and P. R. Berman, In Atom Interferometry , edited by P. R. Berman (Academic Press, Cambridge, MA, 1997).\n- [3] M. M. Salour, Rev. Mod. Phys. 50 , 667 (1978).\n- [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. 44 , 1254 (1980).\n- [5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. 13 4345 (1980).\n- [6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A 24 , 1914 (1981).\n- [7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A 28 , 2248 (1983).\n- [8] W. Gawlik, J. Kowalski, F. Trager, and M. Vollmer, Phys.Rev.\n\n- Lett. 48 , 871 (1982).\n- [9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and P. R. Rice, Phys. Rev. A 40 , 5516 (1989).\n- [10] U. W. Rathe, M. O. Scully, Letters in Mathematical Physics 34 , 297 (1995)\n- [11] K. Numata, A. Kemery, J. Camp, Phys Rev Lett, 93 , 250602 (2004).\n- [12] A. D. Ludlow et al. , Opt. Lett. 32 , 641 (2007).\n- [13] H. J. Kimble, B. L. Lev, and J. Ye, Phys. Rev. Lett. 101 , 260602 (2008).\n- [14] J. Chen, and X.Chen, In Proceedings of the 2005 IEEE International Frequency Control Symposium and Exposition , (IEEE, 2005), p.608.\n- [15] J. Chen, e-print arXiv:0512096 quant-ph; Chinese Science Bulletin 54 , 348 (2009).\n- [16] D. Yu and J. Chen, Phys. Rev. A 78 , 013846 (2008).\n- [17] J. Chen, In Frequency Standards and Metrology: Proceedings of the 7th Symposium , edited by Maleki Lute (World Scientific Publishing Company, 2009).\n- [18] Y. Wang, Chinese Science Bulletin 54 , 347 (2009).\n- [19] D. Meiser, J. Ye, D. R. Carlson, and M. J. Holland, Phys. Rev. Lett. 102 , 163601 (2009)\n- [20] F. Strumia, Metrologia 8 , 85 (1972).\n- [21] G. Kramer, J. Opt. Soc. Am. 68 , 1634 (1978).\n- [22] V. S. Letokhov and B. D. Pavlik, Opt. Spectrosc. USSR 32 , 455 (1972).\n- [23] Ye. V. Baklanov, B. Ya, Dubetsky, V. P. Chebotayev, Appl. Phys. 9 , 171 (1976).\n- [24] J. C. Bergquist, S. A. Lee, and L. L. Hall, Phys. Rev. Lett. 38 , 159 (1977).\n- [25] L. Davidovich, Rev. Mod. Phys. 68 , 127 (1996).\n- [26] M. I. Kolobov, L. Davidovich, E. Giacobino, and C. Fabre, Phys. Rev. A 47 , 1431 (1993).\n- [27] M. Sargent III, M. O. Scully, and W. E. Lamb, Laser Physics (Addition Wesley, Reading, MA, 1974).\n- [28] N. A. Abraham, P. Mandel, and L. M. Narducci, Dynamic Instabilities and Pulsations in Lasers , Progress in Optics XXV, edited by E. Wolf (Elsevier, Amsterdam, 1988).\n- [29] L. Pasternack, D. M. Silver, D. R. Yarkony, and P. J. Dagdigian, J. Phys. B 13 , 2231 (1980).\n- [30] K. An and M. S. Feld, Phys. Rev. A 56 , 1662(1997).\n- [31] N. F. Ramsey and H. B. Silsbee, Phys. Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "where ˜ D ( i ) kl are the c-number Langevin di ff usion coe ffi cients, related to quantum Langevin di ff usion coe ffi cients D ( i ) kl as in [27].\n\nSteady-state solutions: The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ max /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the e ff ect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n∣ ∣ ∣ ˜ Ass ∣ ∣ ∣ 2 = R (1 -A 0 + A 1 -A 2) κ = R ( B 0 -B 1 + B 2) κ ,\n\n˜ Nass = R τ 2 [ 1 + C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] ,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "˜ Nbss = R τ 2 [ 1 -C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] .\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\nLaser linwidth: Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ X ( ω ) and δ Y ( ω ) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-di ff usion coe ffi cient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n( δϕ 2 ) ω = 1 I 0 ( δ Y 2 ) ω.\n\nIn the region γ ab /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n( δϕ 2 ) ω ≈ ( κ/ 2 + γ ab ) 2 I 0 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 ] g 2 4( κ/ 2 + γ ab ) 2 { 4 γ ab ˜ Nass + 2 R [( A 0 + B 0) + ( A 2 + B 2)] + Rp [( C 0 -C ∗ 0 ) 2 + ( C 1 -C ∗ 1 ) 2 + ( C 2 -C ∗ 2 ) 2 ] } . (9)\n\nSince the time τ and T is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate Ai , Bi , Ci . By using\n\nA 0 = cos 2 ( Ω R 2 τ ) , A 1 = cos 2 ( Ω R 2 τ ) ,\n\nA 2 = 1 -sin 2 ( Ω R τ ) cos 2 ( ∆ 2 2 T ) , B 0 = sin 2 ( Ω R 2 τ ) ,\n\nB 1 = sin 2 ( Ω R 2 τ ) , B 2 = sin 2 ( Ω R τ ) cos 2 ( ∆ 2 T 2 ) ,\n\n( C 0 C ∗ ) 2 = 0 , ( C 1 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n( C 2 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n-0 -1 --2 -\n\nwe get\n\n( δϕ 2 ) ω = ( κ/ 2 + γ ab ) 2 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 )] γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } , (10)\n\nwhere Ω R is the Rabi frequency on resonance, DST = g 2 ˜ Nass / I 0 γ ab , DRam = g 2 R / 2 I 0 γ 2 ab , and ∆ 2 = ω -( ω a 2 -ω b 2) presents the detuning in the free drift region. p is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to p = 0 , and for a regular statistics we have p = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\nD = γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } . (11)\n\nSince DST / DRam /lessmuch 1 in our situation, and in the case of maximal photon number, the steady state value of ˜ Nass is about R τ/ 2. Then we get the\n\nD ≈ 2 g 2 κ [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] . (12)\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection ( p = 1), the linewidth is the narrowest, while for Poissonian injection ( p = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "with frequency ω j a and ω j b , and σ j -= ( | b 〉 〈 a | ) j is the 'spinflip' operator for the jth atom, with its adjoint σ j + = ( | a 〉 〈 b | ) j . The coupling constant g is given by g = µ √ ω/ 2 /planckover2pi1 /epsilon1 0 V , where µ is the magnitude of the atomic dipole moment, and V is the e ff ective volume of the cavity.\n\nIn order to denote the finite-time interaction between the atoms and Ramsey separated field, we introduce the function\n\nΓ j ( t ) = Θ ( t -t j ) -Θ ( t -t j -τ ) +Θ ( t -t j -τ -T ) -Θ ( t -t j -2 τ -T ) , (2)\n\nwhere Θ ( t ) is the Heaviside step function [ Θ ( t ) = 1 for t > 0, Θ ( t ) = 1 / 2 for t = 0, and Θ ( t ) = 0 for t < 0]. T is the free drift time of the atoms, and τ is the interacting time between the atom and one cavity.\n\nBy the standard way [25], we can get the HeisenbergLangevin equations of the motion for the single-atom and filed operators. By introducing the macroscopic atomic operator, M ( t ) = -i ∑ j Γ j ( t ) σ j -( t ), Na ( t ) = ∑ j Γ j ( t ) σ j aa ( t ), Nb ( t ) = ∑ j Γ j ( t ) σ j bb ( t ), the dynamic equations for the field and macroscopic atomic operators yield\n\n˙ a ( t ) = -κ 2 a ( t ) + gM ( t ) + F κ ( t ) , (3)\n\n˙ Na ( t ) = R (1 -A 0 + A 1 -A 2) -( γ a + γ ' a ) Na ( t ) -g [ M † ( t ) a ( t ) + a † ( t ) M ( t )] + Fa ( t ) , (4)\n\n˙ Nb ( t ) = -R ( B 0 -B 1 + B 2) -γ bNb ( t ) + γ ' a Na ( t ) + g [ a † ( t ) M ( t ) + M † ( t ) a ( t )] + Fb ( t ) , (5)\n\n˙ M ( t ) = -R ( C 0 -C 1 + C 2) -γ abM ( t ) + g [ Na ( t ) -Nb ( t )] a ( t ) + FM ( t ) , (6)\n\nwhere the macroscopic noise operators are defined as\n\nFa ( t ) = ∑ j ˙ Γ j ( t ) σ j a ( t ) -R (1 -A 0 + A 1 -A 2) + ∑ j Γ j ( t ) f j a ( t ) ,\n\nFb ( t ) = ∑ j ˙ Γ j ( t ) σ j b ( t ) + R ( B 0 -B 1 + B 2) + ∑ j Γ j ( t ) f j b ( t ) ,\n\nFM ( t ) = -i ∑ j ˙ Γ j ( t ) ˜ σ j -( t ) + R ( C 0 -C 1 + C 2) -i ∑ j Γ j ( t ) f j σ ( t ) ,\n\nwith A 0 = 〈 σ j a ( t j + τ ) 〉 q , A 1 = 〈 σ j a ( t j + τ + T ) 〉 q , A 2 = 〈 σ j a ( t j + 2 τ + T ) 〉 q , B 0 = 〈 σ j b ( t j + τ ) 〉 q , B 1 = 〈 σ j b ( t j + τ + T ) 〉 q , B 2 = 〈 σ j b ( t j + 2 τ + T ) 〉 q , C 0 = 〈 -i σ j -( t j + τ ) 〉 q , C 1 = 〈 -i σ j -( t j + τ + T ) 〉 q ,\n\nC 2 = 〈 -i σ j -( t j + 2 τ + T ) 〉 q . R is the mean pumping rate, which is defined in [26]. It is very easy to check that the average values of the above Langevin forces are all zero.\n\nBy using the above definitions of the noise operators, we find the correlation functions of macroscopic noise forces can be generally written in the form\n\n〈 Fk ( t ) Fl ( t ' ) 〉 = D (0) kl δ ( t -t ' ) + D (1) kl δ ( t -t ' -τ ) + D (2) kl δ ( t -t ' + τ ) + D (3) kl δ ( t -t ' -τ -T ) + D (4) kl δ ( t -t ' + τ + T ) + D (5) kl δ ( t -t ' -2 τ -T ) + D (6) kl δ ( t -t ' + 2 τ + T ) + D (7) kl δ ( t -t ' -T ) + D (8) kl δ ( t -t ' + T ) , (7)\n\nwhere D ( i ) kl ( k , l = a , b , M , M † ; i = 0 , 1 , 2) are the quantum diffusion coe ffi cients.\n\nc-number correlation functions: By choosing some particular ordering for products of atomic and field operators, one could derive the c-number stochastic Langevin equations from the quantum Langevin equations derived above, and all of the dynamic equations for c-number stochastic variables are the same as in [26]. The di ff erences are from the correlation functions. On the other hand, we convert the quantum noise operators into the c-number noise variables ˜ Fk ( t )( k = a , b , M , M † ), whose correlation functions are expressed as\n\n〈 ˜ Fk ( t ) ˜ Fk ( t ' ) 〉 = ˜ D (0) kl δ ( t -t ' ) + ˜ D (1) kl δ ( t -t ' -τ ) + ˜ D (2) kl δ ( t -t ' + τ ) + ˜ D (3) kl δ ( t -t ' -τ -T ) + ˜ D (4) kl δ ( t -t ' + τ + T ) + ˜ D (5) kl δ ( t -t ' -2 τ -T ) + ˜ D (6) kl δ ( t -t ' + 2 τ + T ) + ˜ D (7) kl δ ( t -t ' -T ) + ˜ D (8) kl δ ( t -t ' + T ) , (8)\n\nwhere ˜ D ( i ) kl are the c-number Langevin di ff usion coe ffi cients, related to quantum Langevin di ff usion coe ffi cients D ( i ) kl as in [27].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "We also see from Fig. 4 that ∆ W K decreases with Γ reflecting the fact that with too much impurity scattering there is little difference in n k between NS and SCS.\n\nFig 5 shows the optical sum in NS and SCS in clean and dirty limits (the parameters are stated in the figure). This plot shows that the Kubo sums are almost completely recovered by integrating up to the bandwidth of 1 eV : the recovery is 95% in the clean limit and ∼ 90% in the dirty limit. In Fig 6 we plot ∆ W ( ω c ) as a function of ω c in clean and dirty limits. ∆ W ( ∞ ) is now non-zero, in agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "∆\n\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3 . 5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n\n\nΣ ' ( ω ) = -1 2 λ n ω o Re ∫ dω ' 1 ω 2 o -ω ' 2 -iδ ω + ω ' √ ( ω + ω ' ) 2 -∆ 2 (16)\n\nObserve that Σ '' ( ω ) is no-zero only for ω < -ω o -∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ ' ( ω ) = -Σ ' ( -ω ) and Σ '' ( ω ) = Σ '' ( -ω ).\n\nFig7 shows conductivities σ ( ω ) and Kubo sums W K as a function of the dimensionless coupling λ . We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆ W K is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model - only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1 eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆ W ( ω c ) as a function of ω c . We see the same behavior as in the BCSI model in a clean limit - ∆ W ( ω c ) is positive at small frequencies, crosses zero at some ω c , passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest w c . However, in distinction to BCSI model, ∆ W ( ω c ) keeps varying with ω c up a much larger scale and saturates only at around 0 . 8 eV . In between the dip at 0 . 1 eV and 0 . 8 eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆ f ( ω c ) as evidenced by a close similarity between the behavior of the actual ∆ W and ∆ W in the absence\n\n1\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω 0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that W K in the SCS is below that in the NS. We set ω o = 40 meV , ∆ = 30 meV , λ = . 5\n\n\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W (0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω , hence the polarization bubble Π(0) = 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7\n\n\n\nc\n\n/negationslash", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n\n\n\n\n## MODEL AY11230/AY11234\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "How the steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained ?", - "target_page": 2, - "target_passage": "The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the c-number Langevin equations and setting the time derivatives equal to zero.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "where ˜ D ( i ) kl are the c-number Langevin di ff usion coe ffi cients, related to quantum Langevin di ff usion coe ffi cients D ( i ) kl as in [27].\n\nSteady-state solutions: The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ max /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the e ff ect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n∣ ∣ ∣ ˜ Ass ∣ ∣ ∣ 2 = R (1 -A 0 + A 1 -A 2) κ = R ( B 0 -B 1 + B 2) κ ,\n\n˜ Nass = R τ 2 [ 1 + C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] ,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "˜ Nbss = R τ 2 [ 1 -C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] .\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\nLaser linwidth: Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ X ( ω ) and δ Y ( ω ) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-di ff usion coe ffi cient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n( δϕ 2 ) ω = 1 I 0 ( δ Y 2 ) ω.\n\nIn the region γ ab /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n( δϕ 2 ) ω ≈ ( κ/ 2 + γ ab ) 2 I 0 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 ] g 2 4( κ/ 2 + γ ab ) 2 { 4 γ ab ˜ Nass + 2 R [( A 0 + B 0) + ( A 2 + B 2)] + Rp [( C 0 -C ∗ 0 ) 2 + ( C 1 -C ∗ 1 ) 2 + ( C 2 -C ∗ 2 ) 2 ] } . (9)\n\nSince the time τ and T is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate Ai , Bi , Ci . By using\n\nA 0 = cos 2 ( Ω R 2 τ ) , A 1 = cos 2 ( Ω R 2 τ ) ,\n\nA 2 = 1 -sin 2 ( Ω R τ ) cos 2 ( ∆ 2 2 T ) , B 0 = sin 2 ( Ω R 2 τ ) ,\n\nB 1 = sin 2 ( Ω R 2 τ ) , B 2 = sin 2 ( Ω R τ ) cos 2 ( ∆ 2 T 2 ) ,\n\n( C 0 C ∗ ) 2 = 0 , ( C 1 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n( C 2 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n-0 -1 --2 -\n\nwe get\n\n( δϕ 2 ) ω = ( κ/ 2 + γ ab ) 2 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 )] γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } , (10)\n\nwhere Ω R is the Rabi frequency on resonance, DST = g 2 ˜ Nass / I 0 γ ab , DRam = g 2 R / 2 I 0 γ 2 ab , and ∆ 2 = ω -( ω a 2 -ω b 2) presents the detuning in the free drift region. p is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to p = 0 , and for a regular statistics we have p = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\nD = γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } . (11)\n\nSince DST / DRam /lessmuch 1 in our situation, and in the case of maximal photon number, the steady state value of ˜ Nass is about R τ/ 2. Then we get the\n\nD ≈ 2 g 2 κ [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] . (12)\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection ( p = 1), the linewidth is the narrowest, while for Poissonian injection ( p = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3 , total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3 , fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.\n\n\n\n/s32\n\n/s32\n\n/s32", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "an energy of interband transitions, which is roughly 2 eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆ W ( ω c ). The last section presents our conclusions.\n\n## II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature 21-23,26,29 and we\n\njust list the formulas that we used in our computations. The conductivity σ (Ω) and the optical integral W ( ω c ) are given by (see for example Ref. 35).\n\nσ ' (Ω) = Im [ -Π(Ω) Ω+ iδ ] = -Π '' (Ω) Ω + πδ (Ω) Π ' (Ω) (7a)\n\nW ( ω c ) = ∫ ω c 0 σ ' (Ω) d Ω = -∫ ω c 0+ Π '' (Ω) Ω d Ω + π 2 Π ' (0) (7b)\n\nwhere ' X ' ' and ' X '' ' stand for real and imaginary parts of X . We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\nΠ( i Ω) = T ∑ ω ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ( G ( iω, /vector k ) G ( iω + i Ω , /vector k ) + F ( iω, /vector k ) F ( iω + i Ω , /vector k ) ) (8a)\n\nΠ ' (Ω) = 1 π 2 ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ ' ∫ ' dxdy ( G '' ( x, /vector k ) G '' ( y, /vector k ) + F '' ( x, /vector k ) F '' ( y, /vector k ) ) n F ( y ) -n F ( x ) y -x (8c)\n\nΠ '' (Ω) = -1 π ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ 0 -Ω dω ( G '' ( ω, /vector k ) G '' ( ω +Ω , /vector k ) + F '' ( ω, /vector k ) F '' ( ω +Ω , /vector k ) ) (8b)\n\nwhere ∫ ' denotes the principal value of the integral, ∑ /vector k is understood to be 1 N ∑ /vector k ,( N is the number of lattice sites), n F ( x ) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by 37\n\nFor a NS, G ( ω, /vector k ) = 1 ω -Σ( k, ω ) -ε /vector k + iδ (9a)\n\nFor a SCS, G ( ω, /vector k ) = Z k,ω ω + ε /vector k Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9b)\n\nF ( ω, /vector k ) = Z k,ω ∆ k,ω Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9c)\n\nwhere Z k,ω = 1 -Σ( k,ω ) ω , and ∆ k,ω , is the SC gap. Following earlier works 31,33 , we assume that the fermionic self-energy Σ( k, ω ) predominantly depends on frequency and approximate Σ( k, ω ) ≈ Σ( ω ) and also neglect the frequency dependence of the gap, i.e., approximate ∆ k,ω by a d -wave ∆ k . The lattice dispersion ε /vector k is taken from Ref. 38. To calculate W K , one has to evaluate the Kubo term in Eq.3 wherein the distribution function n /vector k , is calculated from\n\nn ( ε /vector k ) = -2 ∫ 0 -∞ dω 2 π G '' ( ω, /vector k ) (10)\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe /vector k -summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing ∫ d 2 k = d Ω k d/epsilon1 k ν /epsilon1 k , Ω k and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W ( ω c ) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute W K in NS and SCS. This will tell us about the magnitude of ∆ W ( ω c = ∞ ). We next compute the conductivity σ ( ω ) using the equations listed above, find W ( ω c ) and ∆ W ( ω c ) and compare ∆ f ( ω c ) and ∆ W K .", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "Conclusion: In summary, we propose a new subnatural linewidth spectroscopy technique, which is a laser by using Ramsey seperated-field cavity to realize the output of stimulated-emission radiation via multiple coherent interaction with atomic beam. We find the linewidth of Ramsey laser is subnatural if we choose an appropriate atomic level, and the bad-cavity laser mechanism will dramatically reduce cavityrelated noise as discussed in active optical clock [15-19]. Our results show that this new subnatural linewidth spectroscopy is superior to conventional optical Ramsey seperated-field spectroscopy and any other available subnatural spectroscopy technique at present [3-10]. Considering one have to apply the separated-field method in any phase detection as in Ramsey-Bord e 'interferometer [2], to investigate the e ff ects of phase di ff erences between the two oscillating fields [31] in this stimulated separated-field method with such subnatural linewidth will be our next research aim.\n\nWe acknowledge Yiqiu Wang and Deshui Yu for fruitful discussions. This work is supported by MOST of China (grant 2005CB724500, National Natural Science Foundation of China (grant 60837004, 10874009), National Hi-Tech Research and Development (863) Program.\n\n- ∗ E-mail: jbchen@pku.edu.cn\n- † E-mail: hongguo@pku.edu.cn.\n- [1] N. F. Ramsey, Phys. Rev. 76 , 996 (1949).\n- [2] B. Dubetsky and P. R. Berman, In Atom Interferometry , edited by P. R. Berman (Academic Press, Cambridge, MA, 1997).\n- [3] M. M. Salour, Rev. Mod. Phys. 50 , 667 (1978).\n- [4] J. Wong and J. C. Garrison, Phys. Rev. Lett. 44 , 1254 (1980).\n- [5] P. L. Knight and P. E. Coleman, J. Phys. B: Atom. Molec. Phys. 13 4345 (1980).\n- [6] H. -W. Lee, P. Meystre, and M. O. Scully, Phys. Rev. A 24 , 1914 (1981).\n- [7] F. Shimizu, K. Shimizu, and H. Takuma, Phys. Rev. A 28 , 2248 (1983).\n- [8] W. Gawlik, J. Kowalski, F. Trager, and M. Vollmer, Phys.Rev.\n\n- Lett. 48 , 871 (1982).\n- [9] H. J. Carmichael, R. J. Brecha, M. G. Raizen, H. J. Kimble, and P. R. Rice, Phys. Rev. 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Rev. 84 , 506(1951).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2670.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\n\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than k B T . In addition, the perturbation term\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13 , 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. 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The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. 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[The CDMS-II Collaboration], arXiv:0912.3592 [astro-ph.CO].\n - [26] http://xenon.astro.columbia.edu/.", - "page_start": 12, - "page_end": 12, - "source_file": "1002.2525.pdf" - }, - { - "text": "cus on the stimulated emission spectrum via multiple coherent interactions inside the cavity. We find this Ramsey laser can provide a stimulated-emission spectrum with a linewidth much narrower than that of any conventional optical Ramsey seperated-field spectroscopy, which is commonly applied in optical atomic clock. Our results also show that a subnatural linewidth spectroscopy, superior to any other available subnatural spectroscopy technique at present [3-10], can be reached by this kind of laser, if a suitable atomic level structure is chosen. Thus, this method can provide an e ff ective subnatural spectroscopy, and the possibilities for the new optical clock scheme [15] and atom interferometers [2].\n\nTheoretical framework: We consider the case of a two-level atomic beam interacting with a single-mode Ramsey cavity of separated-oscillating-field resonators with the cavity mode linewidth is much wider than the atomic gain linewidth. Thus we call it bad-cavity Ramsey laser. All atoms are pumped onto the upper lasing state a before entering the first cavity of seperated field, and the lower lasing state is b . We assume all the atoms have the same velocities υ , that means what we consider here is a homogeneous laser system. And for the sake of simplicity, we consider the two-standing waves linear optical Ramsey configuration with a grid as spatial selector [20, 21]. Our treatment can be extended to other configurations as in [22-24]. The length of each oscillating part is l , and the length of the free drift region is L . The corresponding Hamiltonian is\n\nH = /planckover2pi1 ω ˆ a † ˆ a + /planckover2pi1 ∑ j [ ω j a ( t ) σ j a + ω j b ( t ) σ j b ] + /planckover2pi1 g ∑ j Γ j ( t )(ˆ a † ˆ σ j -e -i /vector k · /vector rj + ˆ σ j + ˆ ae i /vector k · /vector rj ) , (1)\n\nwhere ˆ a , ˆ a † are the annihilation and creation operators of the field mode inside the cavity, with the frequency ω , σ j a = ( | a 〉 〈 a | ) j and σ j b = ( | b 〉 〈 b | ) j are the projection operators for the jth atom corresponding to the upper and lower lasing levels,", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "with frequency ω j a and ω j b , and σ j -= ( | b 〉 〈 a | ) j is the 'spinflip' operator for the jth atom, with its adjoint σ j + = ( | a 〉 〈 b | ) j . The coupling constant g is given by g = µ √ ω/ 2 /planckover2pi1 /epsilon1 0 V , where µ is the magnitude of the atomic dipole moment, and V is the e ff ective volume of the cavity.\n\nIn order to denote the finite-time interaction between the atoms and Ramsey separated field, we introduce the function\n\nΓ j ( t ) = Θ ( t -t j ) -Θ ( t -t j -τ ) +Θ ( t -t j -τ -T ) -Θ ( t -t j -2 τ -T ) , (2)\n\nwhere Θ ( t ) is the Heaviside step function [ Θ ( t ) = 1 for t > 0, Θ ( t ) = 1 / 2 for t = 0, and Θ ( t ) = 0 for t < 0]. T is the free drift time of the atoms, and τ is the interacting time between the atom and one cavity.\n\nBy the standard way [25], we can get the HeisenbergLangevin equations of the motion for the single-atom and filed operators. By introducing the macroscopic atomic operator, M ( t ) = -i ∑ j Γ j ( t ) σ j -( t ), Na ( t ) = ∑ j Γ j ( t ) σ j aa ( t ), Nb ( t ) = ∑ j Γ j ( t ) σ j bb ( t ), the dynamic equations for the field and macroscopic atomic operators yield\n\n˙ a ( t ) = -κ 2 a ( t ) + gM ( t ) + F κ ( t ) , (3)\n\n˙ Na ( t ) = R (1 -A 0 + A 1 -A 2) -( γ a + γ ' a ) Na ( t ) -g [ M † ( t ) a ( t ) + a † ( t ) M ( t )] + Fa ( t ) , (4)\n\n˙ Nb ( t ) = -R ( B 0 -B 1 + B 2) -γ bNb ( t ) + γ ' a Na ( t ) + g [ a † ( t ) M ( t ) + M † ( t ) a ( t )] + Fb ( t ) , (5)\n\n˙ M ( t ) = -R ( C 0 -C 1 + C 2) -γ abM ( t ) + g [ Na ( t ) -Nb ( t )] a ( t ) + FM ( t ) , (6)\n\nwhere the macroscopic noise operators are defined as\n\nFa ( t ) = ∑ j ˙ Γ j ( t ) σ j a ( t ) -R (1 -A 0 + A 1 -A 2) + ∑ j Γ j ( t ) f j a ( t ) ,\n\nFb ( t ) = ∑ j ˙ Γ j ( t ) σ j b ( t ) + R ( B 0 -B 1 + B 2) + ∑ j Γ j ( t ) f j b ( t ) ,\n\nFM ( t ) = -i ∑ j ˙ Γ j ( t ) ˜ σ j -( t ) + R ( C 0 -C 1 + C 2) -i ∑ j Γ j ( t ) f j σ ( t ) ,\n\nwith A 0 = 〈 σ j a ( t j + τ ) 〉 q , A 1 = 〈 σ j a ( t j + τ + T ) 〉 q , A 2 = 〈 σ j a ( t j + 2 τ + T ) 〉 q , B 0 = 〈 σ j b ( t j + τ ) 〉 q , B 1 = 〈 σ j b ( t j + τ + T ) 〉 q , B 2 = 〈 σ j b ( t j + 2 τ + T ) 〉 q , C 0 = 〈 -i σ j -( t j + τ ) 〉 q , C 1 = 〈 -i σ j -( t j + τ + T ) 〉 q ,\n\nC 2 = 〈 -i σ j -( t j + 2 τ + T ) 〉 q . R is the mean pumping rate, which is defined in [26]. It is very easy to check that the average values of the above Langevin forces are all zero.\n\nBy using the above definitions of the noise operators, we find the correlation functions of macroscopic noise forces can be generally written in the form\n\n〈 Fk ( t ) Fl ( t ' ) 〉 = D (0) kl δ ( t -t ' ) + D (1) kl δ ( t -t ' -τ ) + D (2) kl δ ( t -t ' + τ ) + D (3) kl δ ( t -t ' -τ -T ) + D (4) kl δ ( t -t ' + τ + T ) + D (5) kl δ ( t -t ' -2 τ -T ) + D (6) kl δ ( t -t ' + 2 τ + T ) + D (7) kl δ ( t -t ' -T ) + D (8) kl δ ( t -t ' + T ) , (7)\n\nwhere D ( i ) kl ( k , l = a , b , M , M † ; i = 0 , 1 , 2) are the quantum diffusion coe ffi cients.\n\nc-number correlation functions: By choosing some particular ordering for products of atomic and field operators, one could derive the c-number stochastic Langevin equations from the quantum Langevin equations derived above, and all of the dynamic equations for c-number stochastic variables are the same as in [26]. The di ff erences are from the correlation functions. On the other hand, we convert the quantum noise operators into the c-number noise variables ˜ Fk ( t )( k = a , b , M , M † ), whose correlation functions are expressed as\n\n〈 ˜ Fk ( t ) ˜ Fk ( t ' ) 〉 = ˜ D (0) kl δ ( t -t ' ) + ˜ D (1) kl δ ( t -t ' -τ ) + ˜ D (2) kl δ ( t -t ' + τ ) + ˜ D (3) kl δ ( t -t ' -τ -T ) + ˜ D (4) kl δ ( t -t ' + τ + T ) + ˜ D (5) kl δ ( t -t ' -2 τ -T ) + ˜ D (6) kl δ ( t -t ' + 2 τ + T ) + ˜ D (7) kl δ ( t -t ' -T ) + ˜ D (8) kl δ ( t -t ' + T ) , (8)\n\nwhere ˜ D ( i ) kl are the c-number Langevin di ff usion coe ffi cients, related to quantum Langevin di ff usion coe ffi cients D ( i ) kl as in [27].", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "∆\n\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3 . 5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n\n\nΣ ' ( ω ) = -1 2 λ n ω o Re ∫ dω ' 1 ω 2 o -ω ' 2 -iδ ω + ω ' √ ( ω + ω ' ) 2 -∆ 2 (16)\n\nObserve that Σ '' ( ω ) is no-zero only for ω < -ω o -∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ ' ( ω ) = -Σ ' ( -ω ) and Σ '' ( ω ) = Σ '' ( -ω ).\n\nFig7 shows conductivities σ ( ω ) and Kubo sums W K as a function of the dimensionless coupling λ . We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆ W K is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model - only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1 eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆ W ( ω c ) as a function of ω c . We see the same behavior as in the BCSI model in a clean limit - ∆ W ( ω c ) is positive at small frequencies, crosses zero at some ω c , passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest w c . However, in distinction to BCSI model, ∆ W ( ω c ) keeps varying with ω c up a much larger scale and saturates only at around 0 . 8 eV . In between the dip at 0 . 1 eV and 0 . 8 eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆ f ( ω c ) as evidenced by a close similarity between the behavior of the actual ∆ W and ∆ W in the absence\n\n1\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω 0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that W K in the SCS is below that in the NS. We set ω o = 40 meV , ∆ = 30 meV , λ = . 5\n\n\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W (0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω , hence the polarization bubble Π(0) = 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7\n\n\n\nc\n\n/negationslash", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2670.pdf", - "query": "What are the consequences on the linewidth for regular and Poissonian injections ?", - "target_page": 3, - "target_passage": " For regular injection (p = 1), the linewidth is the narrowest, while for Poissonian injection (p = 0), the linewidth is the broadest.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "where ˜ D ( i ) kl are the c-number Langevin di ff usion coe ffi cients, related to quantum Langevin di ff usion coe ffi cients D ( i ) kl as in [27].\n\nSteady-state solutions: The steady-state solutions for the mean values of the field and atomic variables for laser operation are obtained by dropping the noise terms of the cnumber Langevin equations and setting the time derivatives equal to zero. The analytical solutions are very complex, and one could numerically solve the steady-state equations. In this paper, we only care about the bad cavity limit γ max /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2. Since the atomic transit time is much shorter than the damping times of atomic variables, one could ignore the e ff ect of the spontaneous emission of the atom. By the standard way [25], We get the following steady-state values:\n\n∣ ∣ ∣ ˜ Ass ∣ ∣ ∣ 2 = R (1 -A 0 + A 1 -A 2) κ = R ( B 0 -B 1 + B 2) κ ,\n\n˜ Nass = R τ 2 [ 1 + C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] ,", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2670.pdf" - }, - { - "text": "∆\n\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3 . 5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n\n\nΣ ' ( ω ) = -1 2 λ n ω o Re ∫ dω ' 1 ω 2 o -ω ' 2 -iδ ω + ω ' √ ( ω + ω ' ) 2 -∆ 2 (16)\n\nObserve that Σ '' ( ω ) is no-zero only for ω < -ω o -∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ ' ( ω ) = -Σ ' ( -ω ) and Σ '' ( ω ) = Σ '' ( -ω ).\n\nFig7 shows conductivities σ ( ω ) and Kubo sums W K as a function of the dimensionless coupling λ . We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆ W K is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model - only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1 eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆ W ( ω c ) as a function of ω c . We see the same behavior as in the BCSI model in a clean limit - ∆ W ( ω c ) is positive at small frequencies, crosses zero at some ω c , passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest w c . However, in distinction to BCSI model, ∆ W ( ω c ) keeps varying with ω c up a much larger scale and saturates only at around 0 . 8 eV . In between the dip at 0 . 1 eV and 0 . 8 eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆ f ( ω c ) as evidenced by a close similarity between the behavior of the actual ∆ W and ∆ W in the absence\n\n1\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω 0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that W K in the SCS is below that in the NS. We set ω o = 40 meV , ∆ = 30 meV , λ = . 5\n\n\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W (0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω , hence the polarization bubble Π(0) = 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7\n\n\n\nc\n\n/negationslash", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "˜ Nbss = R τ 2 [ 1 -C 0 -C 1 + C 2 g τ √ κ R ( B 0 -B 1 + B 2) ] .\n\nA detailed analysis about the stability of the steady-state can be found such as in [28]. In this paper, we assume the steadystate solution is stable.\n\nLaser linwidth: Suppose the quantum fluctuation is small, the evolution of the fluctuations can be obtained by making a linearization of the c-number Langevin equations around the steady-state solution. Then the measured spectra of field fluctuations will be directly related to these quantities. By Fourier transformations of the linearized equation, we get the amplitude and phase quadrature components δ X ( ω ) and δ Y ( ω ) [26]. Well above threshold, one can neglect the amplitude fluctuations, and the linewidth inside the cavity is related to the phase-di ff usion coe ffi cient [25]. For small fluctuation of laser phase, the spectrum of phase fluctuations is simply related to the spectrum of the phase quadrature component of the field fluctuations, namely,\n\n( δϕ 2 ) ω = 1 I 0 ( δ Y 2 ) ω.\n\nIn the region γ ab /lessmuch T -1 /lessmuch τ -1 /lessmuch κ/ 2, as in the recently proposed active optical clock [15] with atomic beam. The phase quadrature component of the field fluctuations can be expressed as\n\n( δϕ 2 ) ω ≈ ( κ/ 2 + γ ab ) 2 I 0 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 ] g 2 4( κ/ 2 + γ ab ) 2 { 4 γ ab ˜ Nass + 2 R [( A 0 + B 0) + ( A 2 + B 2)] + Rp [( C 0 -C ∗ 0 ) 2 + ( C 1 -C ∗ 1 ) 2 + ( C 2 -C ∗ 2 ) 2 ] } . (9)\n\nSince the time τ and T is much shorter than the time scale of the atomic dampings, we can neglect the dampings when calculate Ai , Bi , Ci . By using\n\nA 0 = cos 2 ( Ω R 2 τ ) , A 1 = cos 2 ( Ω R 2 τ ) ,\n\nA 2 = 1 -sin 2 ( Ω R τ ) cos 2 ( ∆ 2 2 T ) , B 0 = sin 2 ( Ω R 2 τ ) ,\n\nB 1 = sin 2 ( Ω R 2 τ ) , B 2 = sin 2 ( Ω R τ ) cos 2 ( ∆ 2 T 2 ) ,\n\n( C 0 C ∗ ) 2 = 0 , ( C 1 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n( C 2 C ∗ ) 2 = sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T ) ,\n\n-0 -1 --2 -\n\nwe get\n\n( δϕ 2 ) ω = ( κ/ 2 + γ ab ) 2 ω 2 [( κ/ 2 + γ ab ) 2 + ω 2 )] γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } , (10)\n\nwhere Ω R is the Rabi frequency on resonance, DST = g 2 ˜ Nass / I 0 γ ab , DRam = g 2 R / 2 I 0 γ 2 ab , and ∆ 2 = ω -( ω a 2 -ω b 2) presents the detuning in the free drift region. p is a parameter, which characterizes the pumping statistics: a Poissonian excitation statistics corresponds to p = 0 , and for a regular statistics we have p = 1.\n\nThen the linewidth of Ramsey laser with bad cavity is given by\n\nD = γ 2 ab ( κ/ 2 + γ ab ) 2 { DST + DRam [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] } . (11)\n\nSince DST / DRam /lessmuch 1 in our situation, and in the case of maximal photon number, the steady state value of ˜ Nass is about R τ/ 2. Then we get the\n\nD ≈ 2 g 2 κ [2 -p sin 2 ( Ω R τ ) sin 2 ( ∆ 2 T )] . (12)\n\nFrom the expression above, we find that the pumping statistic can influence the linewidth. For regular injection ( p = 1), the linewidth is the narrowest, while for Poissonian injection ( p = 0), the linewidth is the broadest. But even for regular injection, the linewidth is larger than the case of one cavity. That means the mechanism of separated-field does not play the role in reducing the linewidth as in the conventional optical Ramsey method, which is counter-intuitive. However, the separated fields are indispensable for any phase detection like atom interferometry. The details about the method of active atom interferometry will appear elsewhere.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2670.pdf" - }, - { - "text": ".\n\n## The Linewidth of Ramsey Laser with Bad Cavity\n\nYang Li, Wei Zhuang, Jinbiao Chen, ∗ and Hong Guo † CREAM Group, State Key Laboratory of Advanced Optical Communication Systems and Networks (Peking University) and Institute of Quantum Electronics, School of Electronics Engineering and Computer Science, and Center for Computational Science and Engineering (CCSE), Peking University, Beijing 100871, P. R. China (Dated: October 29, 2018)\n\nWe investigate a new laser scheme by using Ramsey separated-field technique with bad cavity. By studying the linewidth of the stimulated-emission spectrum of this kind of laser inside the cavity, we find its linewidth is more than two orders of magnitude narrower than atomic natural linewidth, and it is far superior to that of conventional optical Ramsey method and any other available subnatural linewidth spectroscopy at present. Since any cavity related noise is reduced to cavity-pulling e ff ect in bad cavity laser, this Ramsey laser provides the possibility of precision subnatural linewidth spectroscopy, which is critical for the next generation of optical clock and atom interferometers.\n\nPACS numbers: 42.55.Ah, 42.50.Ar, 42.60.Da, 32.30.-r\n\nIntroduction: Since the invention of the separated-field technique [1], it has played an important role in the field of precision spectroscopy due to its linewidth narrowing e ff ect via multiple coherent interaction. Atomic clocks based on this technique have greatly extended our ability for frequency measurement, further, almost all the atom interferometers are based on this technique [2].\n\nThough, the natural linewidth of quantum transition was regarded as the ultimate limit to high-resolution laser spectroscopy [4], several methods of subnatural linewidth spectroscopy have been proposed to gain subnatural linewidth [310]. However, in all these e ff orts, including optical Ramsey spectroscopy, subnatural line is realized at the expense of a quick reduction in signal-to-noise (SNR) ratio due to the exponential decaying of signal, thus all these schemes can only get the linewidth several times narrower than the atomic natural linewidth. In the past three decades, this situation does not change in the field of the precision laser spectroscopy. On the other hand, the thermal noise of the cavity mirrors is the main obstacle for further linewidth reduction of a laser [11, 12], and it is a challenge to substantially reduce this noise further[13]. Recently, a new scheme, called active optical clock [14-18], was proposed to substantially reduce the laser linewidth. With lattice trapped atoms, it is possible to reach mHz linewidth laser based on the mechanism of active optical clock [14, 15, 19]. The principal mechanism of active optical clock is to directly extract light emitted from the ultranarrow atomic transition with a cavity mode linewidth much wider than that of lasing. This bad cavity ensures that any frequency shift due to cavity noise reduces to cavity-pulling e ff ect [1517], then the thermal noise is not the major obstacle again for reducing the linewidth. This means the bad cavity can play an indispensable role in new subnatural linewidth spectroscopy.\n\nIn this Letter, we propose a new scheme called Ramsey laser with bad cavity. Distinct from any previous applications of conventional Ramsey separated oscillating fields method [1], which focuses on the absorption spectrum, we here fo-", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2670.pdf" - }, - { - "text": "Figure 3.18. Generd Pknform Effects\n\n", - "page_start": 252, - "page_end": 252, - "source_file": "00-80T-80.pdf" - }, - { - "text": "FIG. 5: (Color online) RDF obtained from MC simulations (diamond), BIMSA3 (solid line), and MSA-fit (dot dashed) at two concentrations.\n\n\n\nThe RDF obtained within BIMSA3 are compared with the MC and MSA-fit results in Fig. 5. Our BIMSA3 model accounts for the strong molecular peak of the CIP and provides the correct distances of minimal approach; whereas the naive MSA-fit procedure ignores the former and gives poor estimates for the latter. At larger separations, the BIMSA3 results do not reproduce the oscillations observed in the MC simulations, but the corresponding energy oscillations in the effective potentials are less than k B T . In addition, the perturbation term\n\n- [1] W. G. McMillan and J. E. Mayer, J. Chem. Phys. 13 , 276 (1945).\n- [2] J. M. G. Barthel, H. Krienke, and W. Kunz, Physical Chemistry of Electrolyte Solutions (Springer, 1998).\n- [3] L. Blum, in Theoretical Chemistry: Advances and Perspectives , edited by H. Eyring and D. Henderson (Academic Press, 1980), vol. 5, pp. 1-66.\n- [4] L. Blum and O. Bernard, J. Stat. Phys. 79 , 569 (1995).\n- [5] J.-F. Dufrˆeche et al., J. Phys. Chem. B 109 , 9873 (2005).\n- [6] P. Jungwirth and D. J. Tobias, Chem. Rev. 106 , 1259 (2006).\n- [7] W. Kunz, P. LoNostro, and B. W. Ninham, Curr. Opin. Colloid Interface Sci. 9 , 1 (2004).\n- [8] B. Hess, C. Holm, and N. van der Vegt, Phys. Rev. Lett. 96 , 147801 (2006).\n- [9] I. Kalcher and J. Dzubiella, J. Chem. Phys. 130 , 134507 (2009).\n- [10] S. Gavryushov and P. Linse, J. Phys. Chem. B 110 , 10878 (2006)\n- [11] A. P. Lyubartsev and A. Laaksonen, Phys. Rev. E 52 , 3730 (1995).\n\nof the BIMSA3 appears to be negligible compared to the reference term for concentrations less than 1 mol l -1 . The perturbation can then be omitted to obtain a fully analytical theory, determined by the hard sphere diameters and the pair fraction given by LPT; with the free energy and the RDF given in terms of the BIMSA and MSA solutions, as described above. While the procedure we have followed uses two different approximations for the reference and perturbation terms (MSA vs BIMSA), these are known to be accurate for the systems under consideration and do not appear to be inconsistent with each other.\n\nTo conclude, we have combined MD simulations with LPT to construct simple models of electrolyte solutions which account for the molecular nature of the solvent. The final result is fully analytical and it yields the thermodynamic and structural properties of the solution, in agreement with the original molecular description. The methodology can in principle be adapted to any molecular description of the system (MD simulations involving interaction potentials accounting for polarization effects or Car-Parrinello MD simulations for example) as long as the ion-ion RDF are known. It can also be generalized to study interfaces. The method appears to be a promising approach toward the description of the specific effects of ions, especially for complex systems whose modeling requires an analytic solution.\n\nThe authors are particularly grateful to Werner Kunz for fruitful discussions.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "1\n\nFIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75 -80% of the spectral weight is recovered up to 1 eV .\n\n\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ω c . Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆ W has not yet reached ∆ W K up to the bandwidth. The dashed line is the FGT result.\n\n\n\nc\n\nThis clearly affects n k because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at /epsilon1 < 0, n k in a superconductor is larger than n k in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆ W ( ω c ) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of W K with Γ for the original MFLI model at very small α = 0 . 05. We set ω 1 = ∆ = 32 meV . Observe the inconsistency with W K in the BCSI model in Fig 4.\n\n\n\nFIG. 14: The special case of α = 1 . 5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\n\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆ W K is still positive, but ∆ W ( ω c ) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆ W ( ω c ) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω 1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α . Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ '' has a square-root singularity at ω = ∆ + ω o (with ω o = 0). Meanwhile Σ '' in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω 1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0 . 05. We see that the optical integral W K in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "Table 9 Frozen Evaluation hyper-parameters.\n\n| Hyper-parameter | K400 | SSv2 | IN1K | Place205 | iNat21 |\n|---------------------------------------------------------------------------------------------|-------------|-------------|-------------|-------------|-------------|\n| data | | | | | |\n| num\\_clips | 8 | 1 | N.A. | N.A. | N.A. |\n| num\\_frames | 16 | 16 | N.A. | N.A. | N.A. |\n| temporal\\_stride | 4 | 4 | N.A. | N.A. | N.A. |\n| horizontal\\_flip | true | true | true | true | true |\n| random\\_resize\\_scale | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) | (0.08, 1.0) |\n| random\\_resize\\_aspect\\_ratio (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) (0.75, 1.33) | | | | | |\n| auto\\_augment | false | false | true | true | true |\n| optimization | | | | | |\n| batch\\_size | 256 | 256 | 1024 | 1024 | 1024 |\n| epochs | 20 | 20 | 20 | 20 | 20 |\n| lr | 1e-3 | 1e-3 | 1e-3 | 1e-3 | 1e-3 |\n| final\\_lr | 0 | 0 | 0 | 0 | 0 |\n| weight\\_decay | 0.01 | 0.01 | 0.01 | 0.01 | 0.01 |\n\nWeight-decay is also linearly increased from 0 . 04 to 0 . 4 throughout pretraining. The y -encoder weights are initialized identically to the x -encoder, and subsequently updated as an exponential moving average (EMA) (Tarvainen and Valpola, 2017) of the x -encoder weights using a momentum value which starts at 0 . 998 and is linearly increased to 1 . 0 during training (Caron et al., 2021; Assran et al., 2022). We scale all hyper-parameter schedules 25% beyond the actual training schedule. Specifically, the learning rate schedule, weight-decay schedule, and EMA schedule are computed assuming a training length of 112,500 iterations, even though we only train our model for 90,000 iterations. We found the last 25% of the default scheduler period to update hyper-parameters too aggressively, and simply truncating the schedulers improved performance.", - "page_start": 17, - "page_end": 17, - "source_file": "arxiv3.pdf" - }, - { - "text": "The authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99 , 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100 , 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113 , 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359 , 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65 , 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties , vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88 , 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101 , 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "134420 (2009).\n\n- 16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. D'Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, and J. Jensen, Physica B 159 , 93 (1989).\n- 17 H. T. Diep, Phys. Rev. B 39 , 397 (1989).\n- 18 D. Loison, Physica A 275 , 207 (2000).\n- 19 N. Metropolis, et al. , J. Chem. Phys. 21 , 1087 (1953).\n- 20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58 , 2394 (1987).\n- 21 D. P. Landau, and K. Binder, A Guide to Monte Carlo Simulation in Statistical Physics , Cambridge University Press, Cambridge (2000).\n- 22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Methods in Statistical Physics , Clarendon Press, Oxford (1999).\n- 23 B. Efron, The Annals of Statistics 7 , 1 (1979).\n- 24 P. M. Chaikin, T. C. Lubensky Principles of condensed matter physics , Cambridge University Press, New York (1995).\n- 25 K. Binder, Z. Phys. B 43 , 119 (1981). K. Binder, Phys. Rev. Lett. 47 , 693 (1981).\n- 26 Such observable has been obtained from instantaneous evaluation of the structure factor during the stochastic process, and subsequently statistically analyzed as all the other macroscopic quantities.", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "Give me the advantages of Ferromagnetic semiconductors", - "target_page": 1, - "target_passage": "Ferromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Exchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\n\nK. Olejnik, 1, 2 P. Wadley, 3 J. Haigh, 3 K. W. Edmonds, 3 R. P. Campion, 3 A. W. Rushforth, 3 B. L. Gallagher, 3 C. T. Foxon, 3 T. Jungwirth, 2, 3 J. Wunderlich, 1, 2 S. S. Dhesi, 4 S. Cavill, 4 G. van der Laan, 4 and E. Arenholz 5\n\n1 Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n\n2 Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic\n\n3 School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom 4 Diamond Light Source, Harwell Science and Innovation Campus, Didcot, Oxfordshire, OX11 0DE, United Kingdom Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n\n5 (Dated: August 24, 2018)\n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin overlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic circular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface layer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized at room temperature.\n\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\n\nFerromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material. The realization of spin-valve devices from FM semiconductors requires the controlled switching of magnetization in adjacent layers between antiferromagnetic (AFM) and FM configurations. This has motivated several theoretical investigations of interlayer coupling in all-semiconductor devices 1 , and AFM coupling has recently been demonstrated in (Ga,Mn)As multilayers separated by p -type non-magnetic spacers 2 . However, the Curie temperature T C of (Ga,Mn)As is currently limited to 185 K in single layers 3 , and is typically much lower for layers embedded within a heterostructure 2 , which is an obstacle to the practical implementation of semiconductor spintronics.\n\nThe development of FM metal/FM semiconductor heterostructures has the potential to bring together the benefits of metal and semiconductor based spintronics, offering access to new functionalities and physical phenomena. Recent studies of MnAs/(Ga,Mn)As and NiFe/(Ga,Mn)As bilayer films have shown FM interlayer coupling and independent magnetization behavior, respectively 4,5 . Of particular interest is the Fe/(Ga,Mn)As system, since the growth of epitaxial Fe/GaAs(001) films is well-established 6 . Remarkably, a recent x-ray magnetic circular dichroism (XMCD) study has shown that Fe may induce a proximity polarization in the near-surface region of (Ga,Mn)As, antiparallel to the Fe moment and persisting even above room temperature 7 . Devices incorporating Fe/(Ga,Mn)As therefore offer the prospect of obtaining non-volatile room temperature spin-polarization in a semiconductor.\n\nUntil now, no information has been revealed about the coupling of Fe to (Ga,Mn)As layers away from the nearsurface region. At the surface, the (Ga,Mn)As layer may be highly non-stoichiometric and Mn-rich, due to its nonequilibrium nature 8,9 . Previously, Fe/(Ga,Mn)As layers were produced by a process including exposure to air followed by sputtering and annealing prior to Fe deposition,\n\nwhich may further disrupt the interface order. The origin of the interface magnetism then had to be inferred by comparison to a series of reference samples 7 . Demonstration of coupling between the bulk of the layers, i.e. , an exchange bias effect, would provide direct evidence of the interface magnetic order. Moreover, such coupling would offer new means of manipulating the FM semiconductor spin state and utilizing the proximity polarization effect in a spintronic device.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90 · to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies 6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane 〈 100 〉 orientations, and the latter dominant close to T C ( ∼ 35 K) giving an easy axis along the [1 ¯ 10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the T C of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field H E , indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/ d dependence of H E was found previously for MnAs/(Ga,Mn)As bilayers 4 , and is generally observed in exchanged-biased thin films 12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆ E = M FS H E d = 0 . 003 erg/cm 2 . This value is rather small compared to typical exchange bias systems 12 , reflecting the low moment density M FS of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures 13 , while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "In summary, we have demonstrated antiferromagnetic coupling between Fe and (Ga,Mn)As layers in bilayer structures. A markedly different coupling is observed for the bulk of the (Ga,Mn)As layer and for Mn moments in the near-interface region. A thickness-dependent exchange bias field is observed to affect the whole of the bulk (Ga,Mn)As layer, which aligns antiparallel to the Fe layer at low fields, and switches to parallel when the external field is large enough to overcome the bias field and the magnetocrystalline anisotropy fields. In contrast, the interfacial Mn moments remain aligned antiparallel to the Fe layer even at 20 kOe, the largest field studied, and are polarized at temperatures well above the T C of the bulk (Ga,Mn)As layer. The latter observation confirms the recently reported result of Ref. 7, in which the Fe/(Ga,Mn)As bilayers were produced by a different method but showed qualitatively similar behavior of the interfacial moments. Our results shed new light on the magnetic coupling in Fe/(Ga,Mn)As hybrid layers which are of potential interest for room temperature spintronics, and also offer a means of controlling the spin orientation in a FM semiconductor.\n\nWe acknowledge support from EU grants SemiSpinNet-215368 and NAMASTE-214499, and STFC studentship grant CMPC07100. The Advanced Light Source is supported by the U.S. Department of Energy under Contract No. DE-AC02-05CH11231. We thank Leigh Shelford for help during the Diamond beamtime.\n\n- Polesya, H. Ebert, U. Wurstbauer, M. Hochstrasser, G. Rossi, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. Lett. 101 , 267201 (2008).\n- 8 R. P. Campion, K. W. Edmonds, L. X. Zhao, K. Y. Wang, C. T. Foxon, B. L. Gallagher, and C. R. Staddon, J. Crystal Growth 247 , 42 (2003).\n- 9 F. Maccherozzi, G. Panaccione, G. Rossi, M. Hochstrasser, M. Sperl, M. Reinwald, G. Woltersdorf, W. Wegscheider, and C. H. Back, Phys. Rev. B 74 , 104421 (2006).\n- 10 Ch. Binek, S. Polisetty, X. He and A. Berger, Phys. Rev. Lett. 96 , 067201 (2006).\n- 11 C. Won, Y.Z. Wu, E. Arenholz, J. Choi, J. Wu, and Z. Q. Qiu, Phys. Rev. Lett. 99 , 077203 (2007).\n- 12 J. Nogues and I. K. Schuller, J. Magn. Magn. Mater. 192 , 203 (1999).\n- 13 K. F. Eid, M. B. Stone, K. C. Ku, O. Maksimov, P. Schiffer, N. Samarth, T. C. Shih and C. J. Palmstrom, Appl. Phys. Lett. 85 , 1556 (2004).\n- 14 B. T. Thole, P. Carra, F. Sette, and G. van der Laan, Phys. Rev. Lett. 68 , 1943 (1992); P. Carra, B. T. Thole, M. Altarelli, and X. Wang, Phys. Rev. Lett. 70 , 694 (1993).\n- 15 T. Jungwirth, J. Masek, K. Y. Wang, K. W. Edmonds,", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "Here, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers 4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures 10,11 ) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref. 7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260 · C, using previously established methods 3,8 . A low Mn concentration of x ≈ 0 . 03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼ 0 · C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L 2 , 3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/ d dependence (dashed line).\n\n\n\n/s32\n\n - M. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73 , 165205 (2006).\n - 16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102 , 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "samples 15 , the projected Mn 3 d magnetic moments are obtained as -1.4 µ B and +0.8 µ B per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory 7 . Evidence for this can be observed from measurement of the Mn L 2 , 3 XMCD signal at temperatures above the (Ga,Mn)As T C . Similar to the previous study 7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L 2 , 3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As 7,9,15 but in contrast to Mn in more metallic environments such as Mn x Fe 1 -x 7 or MnAs 16 . A slight broadening is observed on the low energy side of the Mn L 3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I 0 exp( -z/λ TEY ), the thickness of the strongly coupled interface layer is estimated to be ∼ 0.7 nm or 2-3\n\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101 , 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93 , 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91 , 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78 , 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103 , 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54 , 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref. 7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3 , total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3 , fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.\n\n\n\n/s32\n\n/s32\n\n/s32", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ ϕ l ( T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\n\n\nfilm leads to an effective 2d-like trend. Region ii ) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i ) and ii ).\n\n/negationslash\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ ϕ l ( T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l , but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T /lessorsimilar T N (8), an abrupt drop of ∆ ϕ 3 and ∆ ϕ 4 , which rapidly reach an almost constant value, only slightly larger than ∆ ϕ 1 . In the temperature range T N (8) /lessorsimilar T < T C (8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi -FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Q z,max of the structure factor S (0 , 0 , q z ). In Fig. 8 the average of Q z,max vs T is reported, again for n = 8 and for different lateral dimensions L 26 . As expected from the previous argument, we see that Q z,max = 0 for T N (8) < T < T C (8), while it begins to shift to higher values as soon as the temperature decreases below T N (8), making apparent a progressive fan stabilization with Q z,max = 0 and reaching a value of about 21 · for T = 10K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements 16 ) on a HCPlattice 14,15 , it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 -16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Q z , position of the maximum of S ( /vector q ), vs. temperature for thickness n = 8. Inset: magnetic vector ( m x l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\n\n\nFIG. 9: ∆ ϕ l for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around T C ( n ) (error bars lye within point size).\n\n\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J 1 -J 2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ ϕ l with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1.. . 5 and 8. . . 12 ), where ∆ ϕ l is roughly 10 · , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "In Fig. 3(d) we show the change in resistance calculated from Eq. (7) as a function of CO concentration for Ni occupying the three types of vacancies. The background reference concentration of CO is taken to be C 0 = 0 . 1 ppm. For the monovacancy there is very little change in resistivity. This is because most active sites are blocked by O2 at relevant CO concentrations, as shown in the upper panel of Fig. 3. For Ni in the divacancies there is, however, a change in resistance on the order of 1Ω per site. For concentrations above ∼ 1 ppm, the CO coverage of Ni in the divacancy II increases dramatically and this leads to a significant increase in resistance.\n\nWe now return to the discussion of the validity of Eq. (7). As mentioned, the series coupling of individual scatterers should be valid when l φ < d . However, even for l φ > d and assuming that the Anderson localization length, l loc in the system exceeds l φ , Eq. (7) remains valid if one replaces the actual resistance R by the sample averaged resistance 〈 R 〉 [29]. At room temperature under ambient conditions, interactions with external degrees of freedom such as internal CNT phonons and vibrational modes of the adsorbed molecules would rapidly randomize the phase of the electrons. Therefore Eq. (7) should certainly be valid in the limit of low doping concentrations. On the other hand, the total number of dopants, N , should be large enough for the statistical treatment of the coverage to hold. Finally, we stress that Eq. (7) represents a conservative estimate of the change in resistance. In fact, in the regime where l φ > l loc, i.e. in the Anderson localization regime, the resistance would be highly sensitive to changes in the fractional coverage of active sites. Calculation of the actual resistance of the CNT in this regime would, however, involve a full transport calculation in the presence of", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2538.pdf" - }, - { - "text": "- [19] T. Vo, Y.-D. Wu, R. Car, and M. Robert, 'Structures, interactions, and ferromagnetism of Fe-carbon nanotube systems', J. Phys. Chem. C 112 (22), 400 (May 2008), doi:10.1021/jp0761968.\n- [20] J. A. Furst, M. Brandbyge, A.-P. Jauho, and K. Stokbro, ' Ab initio study of spin-dependent transport in carbon nanotubes with iron and vanadium adatoms', Phys. Rev. B 78 (19), 195405 (Nov. 2008), doi:10.1103/PhysRevB.78.195405.\n- [21] A. V. Krasheninnikov, P. O. Lehtinen, A. S. Foster, P. Pyykko, and R. M. Nieminen, 'Embedding transitionmetal atoms in graphene: Structure, bonding, and magnetism', Phys. Rev. Lett. 102 (12), 126807 (Mar. 2009), doi:10.1103/PhysRevLett.102.126807.\n- [22] J. J. Mortensen, L. B. Hansen, and K. W. Jacobsen, 'Real-space grid implementation of the projector augmented wave method', Phys. Rev. B 71 (3), 035109 (Jan. 2005), doi:10.1103/PhysRevB.71.035109.\n- [23] J. P. Perdew, K. Burke, and M. Ernzerhof, 'Generalized gradient approximation made simple', Phys. Rev. Lett. 77 (18), 3865 (Oct. 1996), doi:10.1103/PhysRevLett.77.3865.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2538.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "I do not remember on wich samples SQUID magnetometry measurements were first performed", - "target_page": 2, - "target_passage": "SQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90 · to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies 6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane 〈 100 〉 orientations, and the latter dominant close to T C ( ∼ 35 K) giving an easy axis along the [1 ¯ 10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the T C of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field H E , indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/ d dependence of H E was found previously for MnAs/(Ga,Mn)As bilayers 4 , and is generally observed in exchanged-biased thin films 12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆ E = M FS H E d = 0 . 003 erg/cm 2 . This value is rather small compared to typical exchange bias systems 12 , reflecting the low moment density M FS of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures 13 , while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2 × 10 5 measurements, taken after discarding up to 5 × 10 4 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed 21 , as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method 22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1 × 10 3 for the single simulation, and between 1 and 5 × 10 4 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l :\n\nm l = √ ( m x l ) 2 +( m y l ) 2 , (2)\n\nwhich is related to the SO (2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\nM = 1 n n ∑ l =1 m l . (3)\n\nTurning to the helical order, which is the relevant quantity for the Z 2 × SO (2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter 1,2\n\nκ = 1 4( n -1) L 2 sin Q z ∑ 〈 ij 〉 [ S x i S y j -S y i S x j ] , (4)\n\nwhere the sum refers to spins belonging to NN layers i and j , respectively, while Q z is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\nM HM = 1 K ∫ π 0 dq z S ( /vector q ) (5)\n\nwhere S ( /vector q ), with /vectorq = (0 , 0 , q z ), is the structure factor 24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Q z\n\nFIG. 2: (color online) Specific heat c v per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of c v vs. L obtained through MH technique. The continuum red line is a power law fit.\n\n\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs. 14,15 , where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S ( /vectorq ) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\nc v = nL 2 β 2 ( 〈 e 2 〉 - 〈 e 〉 2 ) , (6)\n\n∂ β o = nL 2 ( 〈 oe 〉 - 〈 o 〉〈 e 〉 ) , (8)\n\nχ o = nL 2 β ( 〈 o 2 〉 - 〈 o 〉 2 ) , (7)\n\nu 4 ( o ) = 1 -〈 o 4 〉 3 〈 o 2 〉 2 , (9)", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures T N ( n ) and T C ( n ) vs. film thickness n .\n\n\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at T C (8) = 133 . 3(3)K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that T C ( n ) results quite n -independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify T C ( n ), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χ κ (Fig. 4c), which for the largest L has a maximum at T = 85K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of T N (8) by looking at the Binder cumulant u 4 ( κ ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at T N (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at T N (8), being the entropy substantially removed at T C (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n /lessorsimilar 15, where a clear separation between T N ( n ) and T C ( n ) can be easily figured out. In such temperature window, the strong surface effects produce a quasi -FM set-up of the magnetic film structure along the z -direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of T N ( n ) and T C ( n ) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where T N (6) = 38(4), that is T N (6) ∼ 1 3 T C (6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below T C ( n ). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ ϕ l between magnetic moments on NN layers ( l + 1 , l ) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\n\n\nangle of the magnetization between nearest planes:\n\n∆ ϕ l = ϕ l +1 -ϕ l = arccos [ M x l M x l +1 + M y l M y l +1 ] (10)\n\nwhere ( M x l , M y l ) is the magnetic vector profile for each plane l . ∆ ϕ l is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ ϕ l keeps an almost temperature independent very small value; what's more, ∆ ϕ l seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of 'bulk planes' inside the film, so that we are left with only a 2d trend at T C ( n ), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n## IV. DISCUSSION AND CONCLUSION", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "Here, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers 4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures 10,11 ) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref. 7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260 · C, using previously established methods 3,8 . A low Mn concentration of x ≈ 0 . 03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼ 0 · C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L 2 , 3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "To confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe\n\nL 2 , 3 absorption edges in order to determine the magnetic response of the individual elements. In L 2 , 3 XMCD, electrons are excited from a 2 p core level to the unoccupied 3 d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3 d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products - either fluorescent x-rays or electrons - of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L 2 , 3 absorption, the probing depths for FY and TEY detection are λ FY ≈ 100 nm and λ TEY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as ( I l -I r ) / ( I l + I r ) where I l ( r ) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L 3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70 · to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L 2 , 3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules 14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/ d dependence (dashed line).\n\n\n\n/s32\n\n - M. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73 , 165205 (2006).\n - 16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102 , 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "1\n\nFIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75 -80% of the spectral weight is recovered up to 1 eV .\n\n\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ω c . Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆ W has not yet reached ∆ W K up to the bandwidth. The dashed line is the FGT result.\n\n\n\nc\n\nThis clearly affects n k because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at /epsilon1 < 0, n k in a superconductor is larger than n k in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆ W ( ω c ) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of W K with Γ for the original MFLI model at very small α = 0 . 05. We set ω 1 = ∆ = 32 meV . Observe the inconsistency with W K in the BCSI model in Fig 4.\n\n\n\nFIG. 14: The special case of α = 1 . 5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\n\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆ W K is still positive, but ∆ W ( ω c ) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆ W ( ω c ) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω 1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α . Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ '' has a square-root singularity at ω = ∆ + ω o (with ω o = 0). Meanwhile Σ '' in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω 1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0 . 05. We see that the optical integral W K in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Acknowledgements\n\nWe would like to thank M. Norman, Tom Timusk, Dmitri Basov, Chris Homes, Nicole Bontemps, Andres Santander-Syro, Ricardo Lobo, Dirk van der Marel, A. Boris, E. van Heumen, A. B. Kuzmenko, L. Benfato, and\n\n- 1 R. Kubo, J. Phys. Soc. Jpn 12 , 570(1957).\n- 2 R.A. Ferrrel and R.E. Glover, Phys. Rev. 109 , 1398 (1958).\n- 3 M. Tinkham and R.A. Ferrrel, Phys. Rev. Lett. 2 , 331 (1959), M. Tinkham, Introduction to Superconductivity (McGraw-Hill, New York, 1975).\n- 4 J. Hirsch, Physica C 199 , 305 (1992).\n- 5 D. N. Basov and T. Timusk, Rev. Mod. Phys. 77 , 721 (2005); A. V. Puchkov, D. N. Basov and T. Timusk, J. Phys. Cond. Matter 8 , 10049 (1996).\n- 6 C. M. Varma et al , Phys. Rev. Lett. 63 , 1996 (1989).\n- 7 D. N. Basov, S. I. Woods, A. S. Katz, E. J. Singley, R. C. Dynes, M. Xu, D. G. Hinks, C. C. Homes and M. Strongin, Science 283 , 49 (1999).\n- 8 H.J.A Molegraaf, C. Presura, D. van der Marel, P.H. Kess, M. Li, Science 295 , 2239 (2002); A. B. Kuzmenko, H. J. A. Molegraaf, F. Carbone and D. van der Marel, Phys. Rev. B 72 , 144503 (2005).\n- 9 A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003);\n- 10 A. V. Boris, N. N. Kovaleva, O. V. Dolgov, T. Holden, C. T. Lin, B. Keimer and C. Bernhard, Science 304 , 708 (2004).\n- 11 G. Deutscher, A. F. Santander-Syro and N. Bontemps, Phys. Rev. B 72 , 092504 (2005).\n- 12 F. Carbone, A. B. Kuzmenko, H. J. A. Molegraaf, E. van Heumen, V. Lukovac, F. Marsiglio, D. van der Marel, K. Haule, G. Kotliar, H. Berger, S. Courjault, P. H. Kes and M. Li, Phys. Rev. B 74 , 064510 (2006).\n- 13 C. C. Homes, S. V. Dordevic, D. A. Bonn, R. Liang and W. N. Hardy, Phys. Rev. B 69 , 024514 (2004).\n- 14 J. Hwang et al , Phys. Rev. B 73 , 014508 (2006).\n- 15 E. van Heumen, R. Lortz, A. B. Kuzmenko, F. Carbone, D. van der Marel, X. Zhao, G. Yu, Y. Cho, N. Barisic, M. Greven, C. C. Homes and S. V. Dordevic, Phys. Rev. B 75 , 054522 (2007).\n- 16 M. Ortolani, P. Calvani and S. Lupi, Phys. Rev. Lett. 94 , 067002 (2005).\n- 17 A.F. Santander-Syro, R.P.S.M. Lobo, and N. Bontemps, Phys. Rev. B 70 , 134504(2004), A. F. Santander-Syro, R. P. S. M. Lobo, N. Bontemps, Z. Konstantinovic, Z. Z. Li and H. Raffy, Europhys. Lett. 62 , 568 (2003).\n- 18 P. F. Maldague, Phys. Rev. B 16 2437 (1977); E. H. Kim, Phys. Rev. B 58 2452 (1998).\n- 19 J. Hirsch, Physica C, 201 , 347 (1992) and Ref 4.\n- 20 for a review see F. Marsiglio, J. Superconductivity and Novel Magnetism 22 , 269 (2009).\n- 21 F. Marsiglio, E. van Heumen, A. B. Kuzmenko, Phys. Rev. B 77 144510 (2008).\n- 22 M. R. Norman, A. V. Chubukov, E. van Heumen, A. B. Kuzmenko, and D. van der Marel, Phys. Rev. B 76 , 220509 (2007).\n- 23 J. E. Hirsch and F. Marsiglio, Physica C 331 , 150 (2000)", - "page_start": 14, - "page_end": 14, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 7: (color online) ∆ ϕ l ( T ) vs. temperature for the surface planes, l = 1 (triangles), l = 2 (squares), l = 3 (diamonds), l = 4 (circles). Straight lines and full symbols: n = 8. Dashed lines and open symbols: n = 16.\n\n\n\nfilm leads to an effective 2d-like trend. Region ii ) looks however more intriguing, and requires a more accurate discussion, which can benefit from a careful comparison of the behaviour of a given quantity in regions i ) and ii ).\n\n/negationslash\n\nFor this purpose, we look at the temperature dependence of the rotation angle of the magnetization between NN planes. In Fig. 7, ∆ ϕ l ( T ) for n = 8 and n = 16 (continuous and dashed lines, respectively), is plotted for the outermost planes, l = 1 . . . 4. For both thicknesses, a monotonic trend is observed for all l , but at variance with what happens for the highest thickness, for n = 8 we see, starting from a temperature T /lessorsimilar T N (8), an abrupt drop of ∆ ϕ 3 and ∆ ϕ 4 , which rapidly reach an almost constant value, only slightly larger than ∆ ϕ 1 . In the temperature range T N (8) /lessorsimilar T < T C (8) we thus substantially observe the same small magnetic phase shifts between all NN layers, testifying an energetically stable quasi -FM configuration giving no contribution to the helical order parameters. The latter point can be made clearer by looking at the the peak position Q z,max of the structure factor S (0 , 0 , q z ). In Fig. 8 the average of Q z,max vs T is reported, again for n = 8 and for different lateral dimensions L 26 . As expected from the previous argument, we see that Q z,max = 0 for T N (8) < T < T C (8), while it begins to shift to higher values as soon as the temperature decreases below T N (8), making apparent a progressive fan stabilization with Q z,max = 0 and reaching a value of about 21 · for T = 10K.\n\nIn a previous study, where the magnetic properties of Ho thin films were investigated by MC simulations of a Heisenberg model with easy-plane single-ion anisotropy and six out-of-plane coupling constants (as obtained by experimental neutron scattering measurements 16 ) on a HCPlattice 14,15 , it was found that for thicknesses comparable with the helical pitch the phase diagram landscape is quite different from what we find here. Indeed, for n = 9 -16, three different magnetic phases could be sin-\n\nFIG. 8: (color online) Q z , position of the maximum of S ( /vector q ), vs. temperature for thickness n = 8. Inset: magnetic vector ( m x l , m y l ) profile for some temperatures for L = 64. Colors and symbols as in Fig. 2.\n\n\n\nFIG. 9: ∆ ϕ l for a BCT lattice and n = 12, when the six coupling constants set employed in Ref. 14,15 (see text) is used. The temperature range has been chosen around T C ( n ) (error bars lye within point size).\n\n\n\ngled out, with the high-temperature, paramagnetic phase separated from the low-temperature, long-range ordered one, by an intermediate-temperature block phase where outer ordered 4-layers blocks coexist with some inner disordered ones. Moreover, it was observed that the phase transition of such inner layers turns out to have the signatures of a Kosterlitz-Thouless one.\n\nThe absence of the block phase in the J 1 -J 2 model here investigated has to be attributed to the different range of interactions, rather than to the different lattice structure. We came to this conclusion by doing some simulations using the same set of interaction constants employed in Refs. 14,15, but using a BCT lattice: the results we obtained for ∆ ϕ l with n = 12 are reported in Fig. 9. The latter is absolutely similar to Fig.7 of Ref. 15 and clearly displays the footmarks of the block phase (see down-triangle), with two external blocks of ordered layers ( l =1.. . 5 and 8. . . 12 ), where ∆ ϕ l is roughly 10 · , separated by a block of disordered layers, and with almost", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0510.pdf" - }, - { - "text": "samples 15 , the projected Mn 3 d magnetic moments are obtained as -1.4 µ B and +0.8 µ B per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory 7 . Evidence for this can be observed from measurement of the Mn L 2 , 3 XMCD signal at temperatures above the (Ga,Mn)As T C . Similar to the previous study 7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L 2 , 3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As 7,9,15 but in contrast to Mn in more metallic environments such as Mn x Fe 1 -x 7 or MnAs 16 . A slight broadening is observed on the low energy side of the Mn L 3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I 0 exp( -z/λ TEY ), the thickness of the strongly coupled interface layer is estimated to be ∼ 0.7 nm or 2-3\n\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101 , 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93 , 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91 , 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78 , 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103 , 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54 , 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref. 7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.2449.pdf", - "query": "What are the differences observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes ?", - "target_page": 2, - "target_passage": "For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high mag netic fields, whereas for TEY at remanence it is approx imately a factor of two larger than at 1000 Oe.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1. (color) Main figure: Major (red/black) and minor (green) hysteresis loops along the [110] axis at 5 K, for a Fe (2 nm)/(Ga,Mn)As (20 nm) film, and the hysteresis loop for a control (Ga,Mn)As (20 nm) film along the same axis (blue). Left inset: Magnetization versus temperature for the Fe/(Ga,Mn)As film at remanence (black) and under a 500 Oe applied field (red). Right inset: Exchange bias field versus thickness d of the (Ga,Mn)As film (points) and fit showing 1/ d dependence (dashed line).\n\n\n\n/s32\n\n - M. Sawicki, M. Polini, J. Sinova, A. H. MacDonald, R. P. Campion, L. X. Zhao, N. R. S. Farley, T. K. Johal, G. van der Laan, C. T. Foxon, and B. L. Gallagher, Phys. Rev. B 73 , 165205 (2006).\n - 16 K. W. Edmonds, A. A. Freeman, N. R. S. Farley, K. Y. Wang, R. P. Campion, B. L. Gallagher, C. T. Foxon, G. van der Laan, and E. Arenholz, J. Appl. Phys. 102 , 023902 (2007).", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2449.pdf" - }, - { - "text": "To confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe\n\nL 2 , 3 absorption edges in order to determine the magnetic response of the individual elements. In L 2 , 3 XMCD, electrons are excited from a 2 p core level to the unoccupied 3 d valence states of the element of interest by circularly polarized x-rays at the resonance energies of the transitions. The difference in absorption for opposite polarizations gives a direct and element-specific measurement of the projection of the 3 d magnetic moment along the xray polarization vector. The absorption cross-section is conventionally obtained by measuring the decay products - either fluorescent x-rays or electrons - of the photoexcited core hole. The type of decay product measured determines the probing depth of the technique. For Mn L 2 , 3 absorption, the probing depths for FY and TEY detection are λ FY ≈ 100 nm and λ TEY ≈ 3 nm. In the current experiment, the Mn XMCD measured using FY and TEY are thus sensitive to the bulk of the (Ga,Mn)As film and the near-interface layers, respectively.\n\nFigure 2(a)-(c) shows the magnetic field dependence of XMCD asymmetry, defined as ( I l -I r ) / ( I l + I r ) where I l ( r ) is the absorption for left- (right-) circularly polarized x-rays. This is measured at the Fe and Mn L 3 absorption peaks for a Fe(2 nm)/(Ga,Mn)As(10 nm) sample at 2 K. The external field is applied along the photon incidence direction, which is at 70 · to the surface normal with an in-plane projection along the [110] axis. The XMCD data show that the Fe film displays a square hysteresis loop with a single magnetization switch, as expected for a monocrystalline Fe film with strong uniaxial magnetic anisotropy. The Mn XMCD shows a more complicated loop due to the effect of the interlayer coupling. The projected Mn moment aligns antiparallel to the Fe moment at remanence, and undergoes a magnetization reversal of opposite sign to the Fe. With further increase of the external magnetic field, the Mn moment gradually rotates away from antiparallel alignment with the Fe layer, and into the field direction. Qualitatively similar behavior is observed for the Fe(2 nm)/(Ga,Mn)As(20 nm) sample: the (Ga,Mn)As layer is aligned antiparallel to the Fe layer at zero field, although the bias field is lower by approximately a factor of two.\n\nClear differences are observed between the Mn XMCD hysteresis loops obtained using TEY and FY detection modes. For FY the magnitude of the XMCD is similar (but of opposite sign) at remanence and at high magnetic fields, whereas for TEY at remanence it is approximately a factor of two larger than at 1000 Oe. The Mn L 2 , 3 XMCD spectra recorded at remanence and at 1000 Oe, shown in Fig. 3, confirm this result. At remanence the FY and TEY detected XMCD have similar magnitudes. However, under a large external field the XMCD is substantially smaller in TEY than in FY, confirming that the net magnetization of the Mn ions near the interface is significantly less than in the bulk of the (Ga,Mn)As film. This is the case even up to the highest field applied (20 kOe). By applying the XMCD sum rules 14 to the TEY data, and by comparing the spectra to previous measurements on well-characterized (Ga,Mn)As", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "measurements were performed on beamline I06 at the Diamond Light Source, and on beamline 4.0.2 at the Advanced Light Source. Total-electron yield (TEY) and fluorescence yield (FY) were monitored simultaneously using the sample drain current and the photocurrent of a diode mounted at 90 · to the incident beam, respectively.\n\nSQUID magnetometry measurements were first performed on control Fe/GaAs(001) and (Ga,Mn)As/GaAs(001) samples, grown under the same conditions as the bilayers, to determine the magnetic anisotropies of the individual layers and the Curie temperature of the (Ga,Mn)As layer. The Fe film has a uniaxial magnetic anisotropy with easy axis along the [110] orientation, similar to previous studies 6 . For the (Ga,Mn)As control sample, there is a competition between cubic and uniaxial magnetic anisotropies, with the former dominant at low temperatures and favoring easy axes along the in-plane 〈 100 〉 orientations, and the latter dominant close to T C ( ∼ 35 K) giving an easy axis along the [1 ¯ 10] orientation. Figure 1 shows [110] magnetization versus temperature curves and low temperature hysteresis loops for a bilayer film containing a 20 nm thick (Ga,Mn)As layer. The total remnant moment of the bilayer film decreases on cooling under zero magnetic field below the T C of the (Ga,Mn)As, indicating that this layer aligns antiparallel to the Fe magnetization at zero field. The hysteresis curve shows a two-step magnetization reversal, indicating different behavior of the Fe and (Ga,Mn)As layers, with the smaller loop attributed to the dilute moment (Ga,Mn)As film. The minor hysteresis loop shown in Fig. 1 clearly shows a shift from zero field by a bias field H E , indicating that the Fe layer induces an exchange bias in the magnetic semiconductor. The shape and size of the minor loop is in agreement with the hysteresis loop for the control (Ga,Mn)As sample, also shown in Fig. 1. This strongly indicates that the exchange bias affects the whole of the (Ga,Mn)As layer in the bilayer sample.\n\nSimilar behavior is observed for bilayer samples containing a 10 nm or 50 nm (Ga,Mn)As layer, with a bias field which is approximately inversely proportional to the thickness d of the ferromagnetic semiconductor layer (Fig. 1, inset). This 1/ d dependence of H E was found previously for MnAs/(Ga,Mn)As bilayers 4 , and is generally observed in exchanged-biased thin films 12 . From this dependence it is possible to describe the exchange bias in terms of an interface energy per unit area, ∆ E = M FS H E d = 0 . 003 erg/cm 2 . This value is rather small compared to typical exchange bias systems 12 , reflecting the low moment density M FS of the diluted FM semiconductor layer. However, the bias field for a given (Ga,Mn)As thickness is larger than is observed for MnO/(Ga,Mn)As structures 13 , while the reproducibility and flexibility of the present structures is much higher due to the single-crystalline ferromagnetic nature of the Fe layer.\n\nTo confirm the presence of AFM interlayer coupling, we performed XMCD measurements at the Mn and Fe", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2449.pdf" - }, - { - "text": "samples 15 , the projected Mn 3 d magnetic moments are obtained as -1.4 µ B and +0.8 µ B per ion at remanence and 1000 Oe, respectively.\n\nThe difference between these values can be understood as being due to an interface layer which is strongly antiferromagnetically coupled to the Fe layer. At zero field, both the interfacial and bulk Mn are aligned antiparallel to the Fe layer. At high fields, the bulk of the (Ga,Mn)As layer away from the interface is re-oriented into the external field direction. However, the interfacial Mn remains antiparallel to the Fe layer and thus partially compensates the XMCD signal from the bulk of the (Ga,Mn)As. From the size of the remanent and 1000 Oe magnetic moments, it can be estimated that around 25-30% of the TEY XMCD signal can be ascribed to the interfacial Mn which is strongly coupled to the Fe moments.\n\nThe interfacial Mn moments are ascribed to the proximity polarization of the (Ga,Mn)As interface by the Fe layer, such as was shown previously by XMCD as well as ab initio theory 7 . Evidence for this can be observed from measurement of the Mn L 2 , 3 XMCD signal at temperatures above the (Ga,Mn)As T C . Similar to the previous study 7 , we observe a small but not negligible signal at room temperature (Fig. 3), with opposite sign to the Fe L 2 , 3 XMCD. Its spectral shape is characteristic of a localized electronic configuration close to d 5 , similar to bulk (Ga,Mn)As 7,9,15 but in contrast to Mn in more metallic environments such as Mn x Fe 1 -x 7 or MnAs 16 . A slight broadening is observed on the low energy side of the Mn L 3 peak, which may be due to the different screening induced by proximity to the Fe layer. Since the measured intensity is attenuated with distance z from the surface as I = I 0 exp( -z/λ TEY ), the thickness of the strongly coupled interface layer is estimated to be ∼ 0.7 nm or 2-3\n\n- 2 J.-H. Chung, S. J. Chung, S. Lee, B. J. Kirby, J. A. Borchers, Y. J. Cho, X. Liu, and J. K. Furdyna, Phys. Rev. Lett. 101 , 237202 (2008).\n- 3 M. Wang, R. P. Campion, A. W. Rushforth, K. W. Edmonds, C. T. Foxon, and R. P. Campion, Appl. Phys. Lett. 93 , 132103 (2008).\n- 4 M. Zhu, M. J. Wilson, B. L. Sheu, P. Mitra, P. Schiffer, and N. Samarth, Appl. Phys. Lett. 91 , 192503 (2007); M. Zhu, M. J. Wilson, P. Mitra, P. Schiffer, and N. Samarth, Phys. Rev. B 78 , 195307 (2008).\n- 5 S. Mark, C. Gould, K. Pappert, J. Wenisch, K. Brunner, G. Schmidt, and L. W. Molenkamp, Phys. Rev. Lett. 103 , 017204 (2009).\n- 6 G. Wastlbauer and J.A.C. Bland, Adv. Phys. 54 , 137 (2005).\n- 7 F. Maccherozzi, M. Sperl, G. Panaccione, J. Minar, S.\n\nmonolayers, assuming a uniform distribution of Mn ions and magnetic moments throughout the (Ga,Mn)As film. This is around a factor of three thinner than in Ref. 7 , which could be due to the lower Mn concentration or the different preparation method of the present samples.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2449.pdf" - }, - { - "text": "Here, we demonstrate an antiferromagnetic coupling and exchange bias in Fe/(Ga,Mn)As bilayer films, by combining element-specific XMCD measurements and bulk-sensitive superconducting quantum interference device (SQUID) magnetometry. As with previous studies of FM metal/FM semiconductor bilayers 4,5 (and in contrast to AFM coupled FM metal/FM metal exchange bias structures 10,11 ) the layers are in direct contact without a non-magnetic spacer in between. We distinguish interface and bulk (Ga,Mn)As layers that are respectively strongly and weakly antiferromagnetically coupled to the Fe overlayer. In agreement with Ref. 7 , the interface layer remains polarized at room temperature.\n\nThe Fe and (Ga,Mn)As layers of the present study were both grown by molecular beam epitaxy in the same ultra-high vacuum system, in order to ensure a clean interface between them. The (Ga,Mn)As layer of thickness 10 to 50 nm was deposited on a GaAs(001) substrate at a temperature of 260 · C, using previously established methods 3,8 . A low Mn concentration of x ≈ 0 . 03 was chosen in order to avoid the formation of compensating Mn interstitials. The substrate temperature was then reduced to ∼ 0 · C, before depositing a 2 nm Fe layer, plus a 2 nm Al capping layer. In-situ reflection high energy electron diffraction and ex-situ x-ray reflectivity and diffraction measurements confirmed that the layers are single-crystalline with sub-nm interface roughness. SQUID magnetometry measurements were performed using a Quantum Design Magnetic Property Measurement System. Mn and Fe L 2 , 3 x-ray absorption and XMCD", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - }, - { - "text": "/s32\n\nFIG. 3. (color online) (a) Polarization-averaged Mn L 2 , 3 spectrum for a Fe/(Ga,Mn)As film; (b) XMCD spectra measured in remanence at 2 K; (c) XMCD spectra measured under a 1000 Oe applied field at 2 K; (d) XMCD spectrum measured under a 2000 Oe applied field at 300 K. XMCD spectra are obtained using TEY (thick red lines) and FY (thin blue lines) detection.\n\n\n\n/s32", - "page_start": 5, - "page_end": 5, - "source_file": "1001.2449.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2 × 10 5 measurements, taken after discarding up to 5 × 10 4 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed 21 , as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method 22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1 × 10 3 for the single simulation, and between 1 and 5 × 10 4 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l :\n\nm l = √ ( m x l ) 2 +( m y l ) 2 , (2)\n\nwhich is related to the SO (2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\nM = 1 n n ∑ l =1 m l . (3)\n\nTurning to the helical order, which is the relevant quantity for the Z 2 × SO (2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter 1,2\n\nκ = 1 4( n -1) L 2 sin Q z ∑ 〈 ij 〉 [ S x i S y j -S y i S x j ] , (4)\n\nwhere the sum refers to spins belonging to NN layers i and j , respectively, while Q z is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\nM HM = 1 K ∫ π 0 dq z S ( /vector q ) (5)\n\nwhere S ( /vector q ), with /vectorq = (0 , 0 , q z ), is the structure factor 24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Q z\n\nFIG. 2: (color online) Specific heat c v per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of c v vs. L obtained through MH technique. The continuum red line is a power law fit.\n\n\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs. 14,15 , where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S ( /vectorq ) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\nc v = nL 2 β 2 ( 〈 e 2 〉 - 〈 e 〉 2 ) , (6)\n\n∂ β o = nL 2 ( 〈 oe 〉 - 〈 o 〉〈 e 〉 ) , (8)\n\nχ o = nL 2 β ( 〈 o 2 〉 - 〈 o 〉 2 ) , (7)\n\nu 4 ( o ) = 1 -〈 o 4 〉 3 〈 o 2 〉 2 , (9)", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 5: Transition temperatures T N ( n ) and T C ( n ) vs. film thickness n .\n\n\n\nthe same is true for the crossing point of the Binder cumulant of the average magnetization M (not reported in figure), which is located at T C (8) = 133 . 3(3)K. These data give a first rough indication that also for n = 8 all the planes of the sample are still ordering almost at the same temperature; such property has been observed for all the investigated thicknesses n below 16, so that T C ( n ) results quite n -independent (see also Fig. 5) .\n\nAlthough the layer subtraction does not seem to modify T C ( n ), the onset of helical arrangement is observed to shift at lower temperatures as n decreases. The chirality κ defined in Eq. (4) is reported in Fig 4b for n = 8. As the temperature decreases, around T ∼ 80K we can identify a finite-size behaviour of κ which, at variance with the previous one, can be easily recognized as typical of an effective phase transition. Such conclusion is confirmed by the analysis of the chiral susceptibility χ κ (Fig. 4c), which for the largest L has a maximum at T = 85K. Assuming that the order parameter (4) is the relevant one to single out the onset of the fan arrangement, we can get a more accurate estimate of T N (8) by looking at the Binder cumulant u 4 ( κ ), reported in Fig. 4d. By making use of the MH technique, we locate the crossing point at T N (8) = 92(2) K. Finally, it is worthwhile to observe as the specific heat does not show any anomaly at T N (8), being the entropy substantially removed at T C (8).\n\nThe scenario just outlined for n = 8 results to be correct in the thickness range 6 ≤ n /lessorsimilar 15, where a clear separation between T N ( n ) and T C ( n ) can be easily figured out. In such temperature window, the strong surface effects produce a quasi -FM set-up of the magnetic film structure along the z -direction. While leaving to the next Section a more detailed discussion of this regime, we report in Fig. 5 a plot of T N ( n ) and T C ( n ) vs. n for all the simulated thicknesses. The separation between the two critical temperatures is maximum for n = 6, where T N (6) = 38(4), that is T N (6) ∼ 1 3 T C (6). For films with less than six layers no fan order is observed, i.e. for n = 5 and below the chirality does not display any typical feature of fan ordering at any temperature below T C ( n ). As a representative quantity we finally look at the rotation\n\nFIG. 6: Rotation angle ∆ ϕ l between magnetic moments on NN layers ( l + 1 , l ) at some low temperatures, for thickness n = 5 and n = 6, and lateral dimension L = 64.\n\n\n\nangle of the magnetization between nearest planes:\n\n∆ ϕ l = ϕ l +1 -ϕ l = arccos [ M x l M x l +1 + M y l M y l +1 ] (10)\n\nwhere ( M x l , M y l ) is the magnetic vector profile for each plane l . ∆ ϕ l is displayed in Fig. 6a and Fig. 6b, for n = 6 and n = 5, respectively. In Fig. 6a, a quite clear fan stabilization is observed when the temperature decreases, while in Fig. 6b, i.e. for n = 5, ∆ ϕ l keeps an almost temperature independent very small value; what's more, ∆ ϕ l seems to loose any temperature dependence as T = 0 is approached. We attribute the absence of fan arrangement for n ≤ 5 as simply due to the lack of 'bulk planes' inside the film, so that we are left with only a 2d trend at T C ( n ), i.e. at the temperature where the order parameters defined in Eqs. (2) and (3) show a critical behaviour.\n\n## IV. DISCUSSION AND CONCLUSION", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 2. (color online) XMCD asymmetry versus applied field along the [110] axis at 2 K, for a Fe (2 nm)/(Ga,Mn)As (10 nm) film. (a) Fe L 3 , total electron yield; (b) Mn L 3 , total electron yield; (c) Mn L 3 , fluorescent yield. Black and red points are data for increasing and decreasing fields respectively; lines are to guide the eye.\n\n\n\n/s32\n\n/s32\n\n/s32", - "page_start": 4, - "page_end": 4, - "source_file": "1001.2449.pdf" - }, - { - "text": "## Exchange bias of a ferromagnetic semiconductor by a ferromagnetic metal\n\nK. Olejnik, 1, 2 P. Wadley, 3 J. Haigh, 3 K. W. Edmonds, 3 R. P. Campion, 3 A. W. Rushforth, 3 B. L. Gallagher, 3 C. T. Foxon, 3 T. Jungwirth, 2, 3 J. Wunderlich, 1, 2 S. S. Dhesi, 4 S. Cavill, 4 G. van der Laan, 4 and E. Arenholz 5\n\n1 Hitachi Cambridge Laboratory, Cambridge CB3 0HE, United Kingdom\n\n2 Institute of Physics ASCR, v.v.i., Cukrovarnicka 10, 16253 Praha 6, Czech Republic\n\n3 School of Physics and Astronomy, University of Nottingham, Nottingham NG7 2RD, United Kingdom 4 Diamond Light Source, Harwell Science and Innovation Campus, Didcot, Oxfordshire, OX11 0DE, United Kingdom Advanced Light Source, Lawrence Berkeley National Laboratory, Berkeley, California 94720, USA\n\n5 (Dated: August 24, 2018)\n\nWe demonstrate an exchange bias in (Ga,Mn)As induced by antiferromagnetic coupling to a thin overlayer of Fe. Bias fields of up to 240 Oe are observed. Using element-specific x-ray magnetic circular dichroism measurements, we distinguish a strongly exchange coupled (Ga,Mn)As interface layer in addition to the biassed bulk of the (Ga,Mn)As film. The interface layer remains polarized at room temperature.\n\nPACS numbers: 75.70.Cn, 75.50.Pp, 75.50.Bb\n\nFerromagnetic (FM) semiconductors offer the prospect of combining high-density storage and gate-controlled logic in a single material. The realization of spin-valve devices from FM semiconductors requires the controlled switching of magnetization in adjacent layers between antiferromagnetic (AFM) and FM configurations. This has motivated several theoretical investigations of interlayer coupling in all-semiconductor devices 1 , and AFM coupling has recently been demonstrated in (Ga,Mn)As multilayers separated by p -type non-magnetic spacers 2 . However, the Curie temperature T C of (Ga,Mn)As is currently limited to 185 K in single layers 3 , and is typically much lower for layers embedded within a heterostructure 2 , which is an obstacle to the practical implementation of semiconductor spintronics.\n\nThe development of FM metal/FM semiconductor heterostructures has the potential to bring together the benefits of metal and semiconductor based spintronics, offering access to new functionalities and physical phenomena. Recent studies of MnAs/(Ga,Mn)As and NiFe/(Ga,Mn)As bilayer films have shown FM interlayer coupling and independent magnetization behavior, respectively 4,5 . Of particular interest is the Fe/(Ga,Mn)As system, since the growth of epitaxial Fe/GaAs(001) films is well-established 6 . Remarkably, a recent x-ray magnetic circular dichroism (XMCD) study has shown that Fe may induce a proximity polarization in the near-surface region of (Ga,Mn)As, antiparallel to the Fe moment and persisting even above room temperature 7 . Devices incorporating Fe/(Ga,Mn)As therefore offer the prospect of obtaining non-volatile room temperature spin-polarization in a semiconductor.\n\nUntil now, no information has been revealed about the coupling of Fe to (Ga,Mn)As layers away from the nearsurface region. At the surface, the (Ga,Mn)As layer may be highly non-stoichiometric and Mn-rich, due to its nonequilibrium nature 8,9 . Previously, Fe/(Ga,Mn)As layers were produced by a process including exposure to air followed by sputtering and annealing prior to Fe deposition,\n\nwhich may further disrupt the interface order. The origin of the interface magnetism then had to be inferred by comparison to a series of reference samples 7 . Demonstration of coupling between the bulk of the layers, i.e. , an exchange bias effect, would provide direct evidence of the interface magnetic order. Moreover, such coupling would offer new means of manipulating the FM semiconductor spin state and utilizing the proximity polarization effect in a spintronic device.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2449.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is Kingsgate ?", - "target_page": 2, - "target_passage": "Kingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\nTHAI LA ND\n\nKingsgate is a highly successful gold mining, development and exploration company with two operating gold mines and two advanced development projects. Shareholders can look forward to the benefits of this strong operating and development platform, where Kingsgate aims to build value though operating, earnings and dividend growth for the benefit of all stakeholders.\n\nAUST RA LI\n\nA\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## (d) Equity instrument disclosures relating to key management personnel\n\n## Share holdings\n\nThe number of shares in the Company held during the financial year by each Director of Kingsgate and each of the other Key Management Personnel of the Group, including their personally-related entities are set out as follows:", - "page_start": 106, - "page_end": 106, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## 29. Key management personnel disclosures\n\n## (a) Directors\n\nThe following persons were Directors of Kingsgate during the financial year.\n\n - 〉 Ross Smyth-Kirk\n\nChairman\n\n - 〉 Peter Alexander\n\nNon-Executive Director\n\n - 〉 Craig Carracher\n\nNon-Executive Director\n\n - 〉 Peter McAleer\n\nNon-Executive Director\n\n - 〉 Gavin Thomas\n\nManaging Director\n\n## (b) Other key management personnel\n\n - 〉 Duane Woodbury\n\nChief Financial Officer\n\n - 〉 Tim Benfield\n\nChief Operating Officer\n\n - 〉 Phil MacIntyre\n\nChief Operating Officer and General Manager - Akara Mining Limited (retired 30 June 2013)\n\n - 〉 Ron James\n\nGeneral Manager Exploration and Resources Development\n\n - 〉 Ross Coyle\n\nGeneral Manager Finance and Administration and Company Secretary", - "page_start": 105, - "page_end": 105, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## Corporate Information\n\nKingsgate Consolidated Limited ABN 42 000 837 472\n\n## Directors\n\nRoss Smyth-Kirk (Chairman)\n\nGavin Thomas (Managing Director)\n\nPeter Alexander\n\nCraig Carracher\n\nPeter McAleer\n\n## Company Secretary\n\nRoss Coyle\n\n## Chief Executive Officer\n\nGavin Thomas\n\n## Stock Exchange Listing\n\nKingsgate Consolidated Limited is a Company limited by shares, listed on the Australian Stock Exchange under the code KCN. The Company's shares also trade in the United States of America over-the-counter (OTC) as an American Depository Receipt (ADR) under the code OTC: KSKGY.\n\n## Registered Office & Principal Business Address\n\nKingsgate Consolidated Limited\n\nSuite 801, Level 8, 14 Martin Place Sydney NSW 2000 Australia\n\nTel:\n\n+61 2 8256 4800\n\nFax:\n\n+61 2 8256 4810\n\nEmail: info@kingsgate.com.au\n\n## Bangkok Office\n\nAkara Resources Public Company Limited\n\n19th Floor, Sathorn Thani Building 2 No. 92/54-55 North Sathorn Road Kwaeng Silom, Khet Bangrak Bangkok 10500 Thailand\n\nTel:\n\n+66 2 233 9469\n\nFax:\n\n+66 2 236 5512\n\n## Chatree Mine Office\n\nAkara Resources Public Company Limited\n\nNo. 99 Moo 9, Tambon Khao Luk Amphur Thap Khlo Phichit 66230 Thailand Tel: +66 56 614 500 Fax: +66 56 614 195\n\n## Thailand Exploration Office\n\nIssara Mining Limited\n\n156/9-10 Moo 11, Tambol Dong Khui Amphur Chon Daen Phetchabun 67190\n\nThailand\n\nTel:\n\n+66 56 649 253\n\nFax:\n\n+66 56 649 082\n\n## Challenger Mine\n\nChallenger Gold Operations Pty Ltd\n\nC/- 14 Lum Street Export Park SA 5950 Australia\n\nTel:\n\n+61 8 8450 0100\n\nFax:\n\n+61 8 8234 3956\n\n## Chile Office\n\nLaguna Resources Chile Ltda\n\nSan Pio X 2460 oficina 508 Providencia, Santiago Chile\n\nTel:\n\n+56 2 2231 7565\n\n\n\n## Share Registry\n\nSecurity Transfer Registrars Pty Ltd\n\n770 Canning Highway Applecross WA 6153 PO Box 535\n\nApplecross WA 6953\n\nAustralia\n\nTel:\n\n+61 8 9315 2333\n\nFax:\n\n+61 8 9315 2233\n\nEmail: registrar@securitytransfer.com.au Website: www.securitytransfer.com.au\n\n## ADR Depository\n\n(American Depository Receipts)\n\nThe Bank of New York Mellon ADR Division 101 Barclay Street, 22nd Floor New York, NY 10286 USA Tel: +1 212 815 2293\n\n## Auditor\n\nPricewaterhouseCoopers\n\n201 Sussex Street Sydney NSW 2000\n\nAustralia\n\nTel:\n\n+61 2 8266 0000\n\nFax:\n\n+61 2 8266 9999", - "page_start": 117, - "page_end": 117, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Senior Management\n\nKingsgate's executives have a comprehensive range of skills and experience including mine development and operations, exploration, finance and administration. They are supported by highly qualified specialists, whose backgrounds cover the full scope of mining resources activities.\n\nSenior members of Kingsgate's management team are:\n\n## Gavin Thomas\n\nBSc (Geology), FAusIMM\n\n## Managing Director and Chief Executive Officer\n\nGavin Thomas was appointed Chief Executive Officer of Kingsgate in 2004 and joined the Kingsgate Board on 16th November 2007. Gavin has had a successful career in developing mining companies from the exploration phase into mid-tier gold or copper producers. He has over 42 years of international experience in exploring for, evaluating, developing, operating and reclaiming mines in North and South America, Australia, the Southwest Pacific, Asia and Europe. Amongst Gavin's credits is the discovery of 'Lihir' in Papua New Guinea, one of the largest gold deposits in the world. In particular, he has extensive experience in Thailand and South America.\n\n## Duane Woodbury\n\nBEc (Hons)\n\n## Chief Financial Officer\n\nDuane Woodbury was appointed Chief Financial Officer of Kingsgate on 1 September 2011. Duane has a BEc (Hons) Degree and has worked in various financial, accounting and advisory roles during his career in a number of locations, including London, New York and Singapore. He has been assisting Kingsgate in its business development initiatives since August 2007 and brings over 20 years of experience in financial markets and corporate finance transactions, principally with the Macquarie Group.\n\n## Tim Benfield\n\nDip CSM (mining), MBA, MAusIMM\n\n## Chief Operating Officer\n\nTim Benfield joined Kingsgate in February 2012 as Chief Operating Officer. Tim is a mining engineer with over 21 years underground and open pit experience in the mining industry in both operational and corporate roles. He has operational and project development experience in Australia, Africa and Saudi Arabia. This includes 10 years with Barrick Gold of Australia where he provided support to four operating mines and two development projects. Tim was most recently General Manager of the Pajingo Gold mine in Queensland for Evolution Mining Limited.\n\n## Ross Coyle\n\nBA, FCPA, FCIS\n\n## General Manager Finance and Administration Company Secretary\n\nRoss Coyle joined Kingsgate in March 2011 following the Company's acquisition of Dominion Mining Limited and was with the Dominion group for over 25 years. He is a qualified accountant and has over 30 years experience in finance and accounting within the resource industry. He was Finance Director of Dominion from 1996. Ross was appointed Kingsgate's Company Secretary in September 2011.\n\n## Joel Forwood\n\nBsc (Hons) FFin\n\n## General Manager Corporate and Markets\n\nJoel Forwood joined Kingsgate in November 2010 and has over 27 years experience in the resource and investment industries covering investor relations, funds management and exploration. For over 12 years, he has been leading investor relations at a number of listed companies, most recently for Lihir Gold Limited. Prior to this he was a fund manager with Queensland Investment Corporation (QIC) following his early career in mineral exploration with BHP and corporate development with RGC.\n\n## Ronald James\n\nBSc (Geology), MAusIMM, MAIG\n\n## General Manager Exploration and Resource Development", - "page_start": 40, - "page_end": 40, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Financing Arrangements\n\n## Corporate loan facility\n\nKingsgate has a three year secured loan facility with Investec which was amended during the year. The amended facility has a limit of $40 million (30 June 2012: $50 million), of which $20 million has been drawn down as at 30 June 2013 (30 June 2012: $40 million).\n\n## Convertible loan facility\n\nKingsgate has a five year A$35 million convertible loan facility with Investec entered into in a prior period to provide funding for the Bowdens acquisition. Kingsgate has the option to make a prepayment against the facility with an issue of Kingsgate shares.\n\n## Restructure of corporate loan and convertible loan facilities\n\nAs indicated previously in the Preliminary Final report, at balance date it was the Group's intention to restructure and amalgamate these facilities in the next financial year. This relates to the potential for completion of the Initial Public Offering ('IPO') of Akara on the Stock Exchange of Thailand and the updated mine plan for Challenger. Any restructure would optimise the Group's anticipated balance sheet liquidity and operational cash flows. Accordingly, the Group classified the total amount drawn down under these facilities of $55 million as a current liability at 30 June 2013.\n\nSubsequent to the end of the financial year, the Group received from its lenders a credit approved term sheet (subject to formal documentation) for the restructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to $40 million. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n\n - 〉 Tranche one will be a $25 million Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part of the Akara IPO, although at Kingsgate's election repayment can be made by either cash or in Kingsgate's shares.\n - 〉 Tranche two is an amortising facility with $5 million to be repaid during the 2014 financial year and the balance of $10 million repaid during the 2015 financial year.\n\n\n\n## Convertible revolving credit facility\n\nThe Group also has a three year $25 million Convertible Revolving Credit Facility available. As at the date of this report the facility is undrawn. Under the terms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is intended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the company to repay any cash drawdown under the facility by the issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although this position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP over a period by reference to the draw down date. Shareholder approval is not required.\n\n## Multi-currency and syndicated loan facilities\n\nKingsgate's Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to US$125 million (fully drawn as at period end) and an additional Thai Baht denominated working capital facility equivalent to US$15 million (undrawn as at year end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100 million Baht denominated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n\n\n\n## Financial Position\n\nShareholders' equity at 30 June 2013 was $474 million (2012: $776 million). The decrease of $302 million reflects the year's loss together with dividends paid.\n\n## Dividends", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## Directors' Report\n\nYour Directors present their report on the Group consisting of Kingsgate Consolidated Limited and the entities it controlled at the end of, or during, the year ended 30 June 2013.\n\n## Directors\n\nThe following persons were Directors of Kingsgate Consolidated Limited during the whole of the financial year and up to the date of this report.\n\n - 〉 Ross Smyth-Kirk Chairman\n - 〉\n\nPeter Alexander Non-Executive Director\n\n - 〉\n\nCraig Carracher Non-Executive Director\n\n - 〉 Peter McAleer\n\nNon-Executive Director\n\n - 〉 Gavin Thomas\n\nExecutive Director\n\n## Principal activities\n\nThe principal activities of Kingsgate Consolidated Limited are mining and mineral exploration in Australia, South East Asia and South America.\n\n## Dividends\n\n## Review of operations and results\n\n## Operational performance\n\nKingsgate is a gold mining, development and exploration company based in Sydney, Australia. Kingsgate owns and operates two gold mines, the world class Chatree Mine in Thailand and the underground Challenger Mine in South Australia. In addition, the Company has two advanced development projects, the Nueva Esperanza Silver / Gold Project, in the highly prospective Maricunga Gold / Silver Belt in Chile, and the Bowdens Silver Project in New South Wales, Australia. From this operating and development platform, Kingsgate aims to build value for all shareholders.\n\nGroup gold production was 199,897 ounces, a decrease of 4% on the previous corresponding year. The contribution from Chatree was 133,681 ounces with 66,216 ounces from Challenger.\n\nDividends paid to members during the financial year were as follows:\n\n| | 2013 $'000 | 2012 $'000 |\n|-------------------------------------------------------------------------------------------------------------------|---------------|---------------|\n| Final dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share paid on 1 October 2012 | 15,148 | 6,829 |\n| Interim dividend declared for the year ended 30 June 2013 of 5 cents per fully paid share paid on 12 April 2013 | 7,591 | 15,196 |\n| Total dividends | 22,739 | 22,025 |\n\nChatree gold production was 10% higher than the previous corresponding period as a result of an increase in throughput from the expanded Chatree process plant and access to higher grade oxide ore from Q Prospect.\n\nChallenger gold production was 24% lower than the previous corresponding year given additional dilution and depletion at Challenger Deeps and a shortfall in planned development. This resulted in lower ore tonnes from the mine that was supplemented by low grade stockpiled ore. Following the fall in the gold price a strategic review of Challenger was implemented that has resulted in a new mine plan to focus primarily on the higher grade Challenger West orebody. The new mine plan will be implemented during the first three months of the 2014 financial year.", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## Independent Auditor's Report\n\n\n\n## Independent auditor's report to the members of Kingsgate Consolidated Limited\n\n## Report on the financial report\n\nWe have audited the accompanying financial report of Kingsgate Consolidated Limited (the company), which comprises the statement of financial position as at 30 June 2013, the statement of comprehensive income, statement of changes in equity and statement of cash flows for the year ended on that date, a summary of significant accounting policies, other explanatory notes and the directors' declaration for Kingsgate Group (the consolidated entity). The consolidated entity comprises the company and the entities it controlled at year's end or from time to time during the financial year.\n\n## Directors' responsibility for the financial report\n\nThe directors of the company are responsible for the preparation of the financial report that gives a true and fair view in accordance with Australian Accounting Standards and the Corporations Act 2001 and for such internal control as the directors determine is necessary to enable the preparation of the financial report that is free from material misstatement, whether due to fraud or error. In Note 1, the directors also state, in accordance with Accounting Standard AASB 101 Presentation of Financial Statements, that the financial statements comply with International Financial Reporting Standards.\n\n## Auditor's responsibility\n\nOur responsibility is to express an opinion on the financial report based on our audit. We conducted our audit in accordance with Australian Auditing Standards. Those standards require that we comply with relevant ethical requirements relating to audit engagements and plan and perform the audit to obtain reasonable assurance whether the financial report is free from material misstatement.\n\nAn audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the financial report. The procedures selected depend on the auditor's judgement, including the assessment of the risks of material misstatement of the financial report, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the consolidated entity's preparation and fair presentation of the financial report in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity's internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by the directors, as well as evaluating the overall presentation of the financial report.\n\nWe believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.\n\n", - "page_start": 113, - "page_end": 113, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Deferred rights\n\nThe number of deferred rights held during the financial year by each Director of Kingsgate and each of the specified executives of the Group, including their personally-related entities, are set out as follows:", - "page_start": 108, - "page_end": 108, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The Board of Kingsgate is determined to reestablish the path to building shareholder wealth via profits and dividends despite a difficult external environment. Shareholders can look forward to a steady performance from Chatree and a turn-around at Challenger coupled with the completion of feasibility studies at the two major development projects over the coming year.\n\nI would also like to thank our Chief Executive Officer and Managing Director, Gavin Thomas, Kingsgate management and all of the Kingsgate, Akara and Challenger personnel and the project teams for their part in delivering the operational performance during what was a difficult year for your Company.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What does demonstatre the feasibility study on the Nueva Esperanza Project ?", - "target_page": 6, - "target_passage": "The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\nu\n\n## Nueva Esperanza Project\n\n## Chile\n\n## Summary\n\nThe Nueva Esperanza Project is 100% owned by Kingsgate since February 2012. Nueva Esperanza is located in the Maricunga Gold Belt near Copiapó, a regional mining centre in Northern Chile. The silver-rich mineralisation is hosted by the Esperanza high-sulphidation epithermal alteration system associated with the Cerros Bravos volcanic complex.\n\nThe project consists of three well-defined mineralised deposits and a number of undeveloped exploration targets. The main deposits are Arqueros, Chimberos and Teterita. Arqueros was previously mined on a limited scale by underground methods and Chimberos was exploited as an open pit mine, delivering about 40 million ounces of silver in 1998/99. All three deposits currently have a combined Mineral Resources of about 93 million ounces of silver equivalent or 1.6 million ounces of gold equivalent (EQ60) 1 .\n\nA feasibility study for a decision to mine the Arqueros portion of Nueva Esperanza was completed in late 2012, demonstrating that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible. Work remained to integrate the Teterita and Chimberos deposits into the project, as well as to test lower cost options for processing. Continued metallurgical testwork has shown that mineralisation from all three deposits by heap leaching is technically and economically feasible and the preferred alternative for development.\n\nEnvironmental approvals to commence construction and mining at Nueva Esperanza were granted in July 2013 for the original Arqueros project. Work is underway to modify and update the environmental assessment to incorporate the heap leach process.\n\n - 1 Equivalence is based on gold/silver price ratio of 60. Gold equivalence = gold content plus (silver content divided by 60), whereas Silver equivalent silver content plus (gold content multiplied by 60).", - "page_start": 29, - "page_end": 29, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n4\n\nManaging Director and CEO's Report\n\n## Development Projects\n\n## Bowdens\n\nThe Bowdens Project continued to advance during the year with field programs supporting the ongoing feasibility and environmental studies. Sterilisation drilling and additional metallurgical sampling were undertaken with the resource evaluation drilling completed in October 2012.\n\nDuring 2013, the process design and engineering work for the Definitive Feasibility Study ('DFS') progressed to a point where the draft study was close to completion as at 30 June 2013. The study encompassed detailed process design based on using the most recent metallurgical test results, capital and operating cost estimates, project water and power supply, infrastructure requirements and mine optimisation.\n\nThe preparation for lodgement of an Environmental Impact Statement ('EIS') to the NSW Department of Planning continues. It is envisaged that the EIS will be completed and lodged in 2014. Data for flora and fauna, surface water, groundwater, meteorology, ambient noise and dust levels are collected routinely. Further investigations of cultural heritage, social-economic impact, traffic impact, soil type and agricultural suitability have also been undertaken.\n\nWith the fall in metal prices in late 2013, work and expenditure on the DFS and EIS have been phased to coordinate and synchronise the timing of the two programs with completion and lodgement now not expected before mid-2014.\n\n## Nueva Esperanza\n\nThe Nueva Esperanza Project was advanced during the year with the completion of a draft feasibility study. This study included a decision to mine the Arqueros and Teterita portions of Nueva Esperanza. The study demonstrated that open pit mining at two million tonnes per year and processing by milling and agitation leaching in cyanide was technically feasible, although high capital and power costs negatively impacted project economic returns.\n\nAs a consequence, feasibility work has transitioned to assess a lower capital cost and lower power requirement options, namely the potential for heap leach processing. Metallurgical testwork recently completed demonstrated that processing of mineralisation from all three deposits by heap leaching has the potential to be technically and economically feasible and as a consequence may become the preferred alternative for development.\n\nEnvironmental approval for the original Arqueros Project was granted in July 2013.\n\n## Financials\n\nKingsgate made an after tax loss of $323.7 million for the full year to 30 June 2013 compared to an after tax profit of $75.0 million for the previous corresponding year. The result for the year reflected an impairment of $311.9 million pre-tax ($291.3 million post-tax) against the Challenger Mine and associated assets and an impairment of $20.4 million against greenfield exploration projects in Australia and Thailand.\n\n| Financial Summary | 2013 $000 | 2012 $000 |\n|----------------------------------------|---------------|--------------|\n| Total sales revenue | 329,282 | 357,372 |\n| EBITDA before significant items | 115,845 | 168,583 |\n| (Loss) / profit before tax | ( 339,615) | 91,277 |\n| Income tax benefit / (expense) | 15,889 | (16,271) |\n| (Loss) / profit after income after tax | (323,726) | 75,006 |\n| Dividend declared (¢/share) | 5 | 20 |\n\n\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Nueva Esperanza and Bowdens Mineral Resources\n\n| | | | Grade | Grade | Grade | Grade | Grade | Grade | Contained Metal | Contained Metal | Contained Metal | Contained Metal |\n|-------------------------------|-------------------------|-------------------|-------------|---------------|-----------|-----------|-----------------|-----------------|-------------------|-------------------|-------------------|-------------------|\n| Source | Category | Tonnes (Million) | Gold (g/t) | Silver (g/t) | Lead (%) | Zinc (%) | Au Equiv (g/t) | Ag Equiv (g/t) | Gold (M oz) | Silver (M oz) | Au Equiv (M oz) | Ag Equiv (M oz) |\n| Nueva Esperanza | Measured | 1.5 | 0.01 | 101 | - | - | 1.69 | 102 | 0.00 | 4.9 | 0.08 | 4.9 |\n| | Indicated | 21.3 | 0.28 | 88 | - | - | 1.75 | 105 | 0.19 | 60.3 | 1.20 | 71.8 |\n| | Inferred | 6.1 | 0.3 | 68 | - | - | 1.43 | 86 | 0.06 | 13.3 | 0.28 | 16.9 |\n| | Total | 28.9 | 0.27 | 84 | - | - | 1.68 | 101 | 0.25 | 78.5 | 1.56 | 93.5 |\n| Bowdens | Measured | 23.6 | - | 56.6 | 0.31 | 0.41 | 1.64 | 74.5 | - | 43.0 | 1.25 | 57.0 |\n| | Indicated | 28.4 | - | 48.0 | 0.27 | 0.36 | 1.40 | 63.6 | - | 43.8 | 1.28 | 58.0 |\n| | Inferred | 36.0 | - | 41.0 | 0.30 | 0.40 | 1.27 | 58.0 | - | 47.5 | 1.47 | 68.0 |\n| | Total | 88.0 | - | 47.4 | 0.29 | 0.39 | 1.41 | 64.4 | - | 134.1 | 4.00 | 182 |\n| Total Mineral Resources | Total Mineral Resources | 116.9 | 0.07 | 57 | - | - | 1.48 | 73 | 0.25 | 213 | 5.56 | 276 |\n| Group Total Mineral Resources | | 307.4 | - | - | - | - | - | - | 5.02 | 246 | 10.64 | 774 |\n\n - * Chatree data as at 30 April 2013\n\nDetailed individual Mineral Resources and Ore Reserve reports for each project are available on the company website.\n\n", - "page_start": 33, - "page_end": 33, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "A lower gold price and industry wide cost pressures had a negative impact on the underlying earnings of the Group which contributed to a major impairment to the carrying value of a number of Group assets, particularly assets relating to the Challenger Gold Operations. Impairments totalling $332,808,000 were the major contributor to the after tax loss of $323,726,000 for the year.\n\nThe development projects continued to advance during the year. At Nueva Esperanza, the feasibility work shifted to focus on identifying the lowest cost and lowest power consumption development alternatives. This included reviewing a heap leach process option with on-site power generation. Further work is expected to be completed in the December quarter 2013. At Bowdens, the feasibility work has confirmed the optimum process route. Completion of the technical feasibility study including mine planning, infrastructure and metallurgy, and lodging of the Environmental Impact Statement ('EIS') are scheduled for 2014.\n\n", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The environmental permitting process for the original Arqueros project has been completed, with approval to commence construction and mining granted by the Chilean authorities. A modification of the environmental assessment is being prepared to have the approvals modified for heap leaching and on-site power generation.\n\nExtensive community consultation has been undertaken with positive outcomes, and relationships with indigenous rural and urban communities remain a priority.\n\n\n\n", - "page_start": 30, - "page_end": 30, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Notes to the Ore Reserves and Mineral Resources Table:\n\nSome rounding of figures may cause numbers to not add correctly.\n\n - (1) Nueva Esperanza equivalent factors:\n - · Silver equivalent: AgEq (g/t) = Ag (g/t) + Au(g/t) x 60;\n - · Gold Equivalent: AuEq (g/t) = Au (g/t) + Ag (g/t) / 60;\n - · Calculated from prices of US$1,380/ oz Au and US$21.50/oz Ag, and metallurgical recoveries of 70% Au and 75% Ag estimated from test work by Kingsgate, and metallurgical recoveries of 85% Au and 78% Ag estimated from test work by Kingsgate and Laguna.\n - (2) Bowdens equivalent factors:\n - · Silver equivalent: AgEq (g/t) = Ag (g/t) + 22.4 x Pb (%) + 25.5 x Zn (%);\n - · Gold equivalent: AuEq (g/t) = AgEq (g/t) /45 ;\n - · Calculated from prices of US$28/oz Ag, US$1250/oz Au, US$2200/t Pb, US$2200/t Zn and metallurgical recoveries of 81% Ag, 73% Pb, and 83% Zn estimated from test work by Silver Standard, and assuming consistent metallurgical recoveries for gold and silver of 81%.\n - (3) Chatree equivalent factors:\n - · Chatree gold equivalent: AuEq/t = Au (g/t) + Ag (g/t) /105;\n - · Silver equivalent: AgEq g/t = Au (g/t) x 105 + Ag g/t;\n - · Calculated from prices of US$1480/oz Au and US$26/oz Ag and metallurgical recoveries of 80.5% Au and 43.6% silver based on metallurgical testwork and plant performance.\n - (4) Challenger equivalent factors:\n - · Silver equivalent: AgEq/t = Au (g/t) x 57;\n - · Calculated from prices of US$1480/oz Au and US$26/oz Ag and consistent metallurgical recoveries for gold and silver.\n - (5) Cut-off grade for Chatree is 0.35g/t Au; Nueva Esperanza is 0.5g/t AuEq; Bowdens is 30g/t AgEq. For Challenger it is 1.5 Au g/t for open cut resources, and 5.0 g/t for undeground resources.\n - (6) It is the Company's opinion that all the elements included in the metal equivalents calculation have a reasonable potential to be recovered.\n\nOre Reserves and Mineral Resources\n\n## Competent Persons Statement\n\nIn this report, information concerning Thailand operations relates to Exploration Results, Mineral Resources and Ore Reserve estimates and is based on and fairly represents information compiled by the following Competent Persons: Ron James, Brendan Bradley, Kevin Woodward and Suphanit Suphananthi who are employees of the Kingsgate Group - all except Brendan Bradley are members of The Australasian Institute of Mining and Metallurgy. Brendan Bradley is a member of the Australian Institute of Geoscientists. These people qualify as Competent Persons as defined in the 'Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves' (the JORC Code, 2012 edition) and possess relevant experience in relation to the mineralisation being reported herein as Exploration Results, Mineral Resources and Ore Reserves. Each Competent Person has consented to the public reporting of these statements and the inclusion of the material in the form and context in which it appears.", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "- 3. How can it be demonstrated that the proposed solution realizes the set of goals?", - "page_start": 625, - "page_end": 625, - "source_file": "sg247938.pdf" - }, - { - "text": "Changes in the gold and silver price also impact assessments of the feasibility of exploration and the Group's two development projects, Nueva Esperanza and Bowdens.\n\n\n\n## Mineral reserves and resources\n\nOre reserves and mineral resources are estimates. These estimates are substantially based on interpretations of geological data obtained from drill holes and other sampling techniques. Actual mineralisation or geological conditions may be different from those predicted and, as a consequence, there is a risk that any part or all of mineral resources will not be converted into reserves.\n\nMarket price fluctuations of gold and silver, as well as increased production and capital costs, may render ore reserves unprofitable to develop at a particular site for periods of time.\n\n## Replacement of depleted reserves\n\nThe Group aims to continually replace reserves depleted by production to maintain production levels over the long term. Reserves can be replaced by expanding known ore bodies, locating new deposits or making acquisitions.\n\nAs a result, there is a risk that depletion of reserves will not be offset by discoveries or acquisitions. The mineral base may decline if reserves are mined without adequate replacement and as a consequence the Group may not be able to sustain production beyond the current mine lives, based on current production rates.\n\n## Mining risks and insurance risks\n\nThe mining industry is subject to significant risks and hazards, including environmental hazards, industrial accidents, unusual or unexpected geological conditions, unavailability of materials and unplanned equipment failures. These risks and hazards could result in significant costs or delays that could have a material adverse impact on the Group's financial performance and position.\n\nThe Group maintains insurance to cover some of these risks and hazards at levels that are believed to be appropriate for the circumstances surrounding each identified risk, however there remains the possibility that the level of insurance may not provide sufficient coverage for losses related to specific loss events.\n\nu", - "page_start": 46, - "page_end": 46, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## DELIVERING ON THE EXPLORATION STRATEGY\n\nExploration is a key growth driver for Santos and success with the drill bit is vital to adding value for Santos shareholders. During the past four years Santos has been working to build exploration opportunities by:\n\n - · acquiring new exploration acreage\n - · adding material exploration prospects\n - · drilling wildcat exploration wells.\n\n## SUCCESS RATE OF 44% IN 2004\n\nSantos' 2004 exploration effort produced good results, as the Company high graded its exploration acreage and started drilling one of the most exciting portfolios in the industry.\n\nSantos discovered hydrocarbons in seven of the sixteen wildcat wells that were drilled, achieving an impressive success rate of 44%.\n\nThe program added at least 93 million boe (including the pre-drill estimate for Jeruk) of recoverable resources that will be further evaluated by delineation and, in some cases, production history to determine 1P and 2P reserve additions.\n\nImportantly, these results were achieved with financial discipline, spending $126 million which was substantially less than forecast.\n\nThe most significant drilling result for the year was the Jeruk oil discovery in the Sampang PSC offshore East Java, Indonesia. The Jeruk discovery is still under evaluation but its commercial significance appears encouraging. Santos has confirmed an oil column of at least 379 metres with a likely gross recoverable resource in excess of the pre-drill estimate of 170 million barrels.\n\nSantos also had further exploration successes in the\n\nCooper Basin in central Australia where four of six wildcat wells were cased and suspended as gas discoveries.\n\nThere was also success in the offshore Otway Basin with the Martha gas discovery near the Casino field, which is currently being evaluated to determine its commercial significance. Additional drilling is planned to occur nearby in 2005 to follow up this encouraging result.\n\nSantos discovered gas in the United States at the Torres 1A onshore well, which was brought onto production only two months after drilling was completed.\n\nOther wells in the offshore Otway Basin included the deep water Amrit 1 well, which was plugged and abandoned after failing to intersect economic hydrocarbons, and Callister 1 which was also plugged and abandoned with gas shows.\n\n\n\n\n\n'2004 was a great year for our explorers. We started drilling one of the most exciting portfolios in our industry and our success to date shows that our strategy of basin excellence is delivering.'\n\n## JACQUES GOUADAIN\n\nVice President Geoscience and New Ventures", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "As a consequence, feasibility work has transitioned to assess a lower capital cost and lower power requirement option, namely the potential for heap leach processing. Recently completed metallurgical testwork demonstrated that processing of mineralisation from all three deposits by heap leaching has the potential to be technically and economically feasible and, as a consequence, may become the preferred alternative for development.\n\nEnvironmental approval for the original Arqueros Project was granted in July 2013.\n\n## Bowdens Silver Project\n\nThe Bowdens Project continued to advance during the year with field programs supporting the feasibility and environmental studies ongoing. Sterilisation drilling and additional metallurgical sampling were undertaken with the resource evaluation drilling completed in October 2012.\n\n\n\nDuring 2013, the process design and engineering work for the Definitive Feasibility Study ('DFS') progressed to a point where the study was close to draft completion as at 30 June 2013. The study encompassed detailed process design based on using the most recent metallurgical test results, capital and operating cost estimates, project water and power supply, infrastructure requirements and mine optimisation.\n\nThe preparation for lodgement of an EIS to the NSW Department of Planning continues. It is envisaged that the EIS will be completed and lodged in 2014. Data for flora and fauna, surface water, groundwater, meteorology, ambient noise and dust levels are collected routinely. Further investigations of cultural heritage, social-economic impact, traffic impact, soil type and agricultural suitability have also been undertaken.\n\nWith the fall in metal prices in late 2013, work and expenditure on the DFS and EIS have been phased to coordinate the two programs with completion and submission now not expected before mid-2014.\n\n## Exploration\n\nThe Group has a portfolio of exploration tenements and applications in Thailand, Chile and Lao PDR. Following the sale of exploration tenements to Caravel (refer below), exploration in Australia is currently only conducted in the vicinity of the Challenger Mine in South Australia and the Bowdens Silver Project in New South Wales.\n\n## Sale of Exploration Assets\n\nOn 28 March 2013, the Group sold its exploration assets in Western Australia and Queensland through the sale of shares in its subsidiary company, Quadrio Resources Limited, to Caravel Minerals Limited ('Caravel'), an Australian company listed on the ASX.\n\nKingsgate received 135,000,000 fully paid ordinary shares in the issued capital of Caravel and 20,000,000 unlisted options to acquire Caravel shares exercisable at 10 cents on or before three years from the date of issue. Subsequent to the sale, Kingsgate became the largest shareholder in Caravel with 35.54% held at 30 June 2013. Kingsgate's holding in Caravel reduced to 27.04% post 30 June 2013 following a rights issue by Caravel that Kingsgate did not participate in.\n\nu", - "page_start": 44, - "page_end": 44, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_KCN_2013.pdf", - "query": "What is the Kingsgate net cash outflows from finiancing activities in 2013 ?", - "target_page": 11, - "target_passage": " Net cash outflows from financing activities was $1.7 million", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Finance Report\n\n## Summary\n\nKingsgate has recorded the following financial performance for the year to 30 June 2013:\n\n- 〉 Revenue of $329.3 million.\n- 〉 EBITDA (before significant items) of $115.8 million.\n- 〉 Profit before tax and significant items of $17.2 million.\n- 〉 Loss after tax and significant items of $323.7 million. This includes a net tax benefit of $20.6 million, relating to the Challenger Gold Operations ('Challenger') impairment.\n- 〉 Non-cash asset impairments and other significant items of $356.8 million pre-tax, with $311.9 million principally relating to Challenger ($291.3 million post-tax).\n- 〉 No final dividend has been declared. An interim dividend of 5 cents per share was declared for the half year to 31 December 2012.\n\n\n\n\n\n## Earnings\n\nThe lower realised gold price of US$1,588 per ounce (2012: US$1,663 per ounce), lower gold sales of 195,948 ounces (2012: 204,145 ounces) and industry wide cost pressures had a negative impact on the underlying earnings of the Group.\n\nThe lower gold price and changes to mine operating plans also resulted in a major impairment to the carrying value of a number of Group assets, particularly the Challenger Mine. The impairments were the major contributor to the after tax loss of $323.7 million for the year.\n\nThe fall in gold sales reflected a 24% decrease in production at Challenger compared to the prior year due to lower grade and volume of ore mined. The lower production at Challenger was offset by a 10% increase in gold production at the Chatree Gold Mine ('Chatree'), reflecting increased throughput from the expanded Chatree processing plant and higher grade ore mined.\n\n## Cost of sales\n\nCost of sales before depreciation increased by 14% to $195.1 million compared to last year and largely reflects increased throughput and production from Chatree due to the first full year of operation of Plant #2. The total unit cash costs for Chatree for the year were US$767/oz (US$620/oz excluding royalties), up from US$618/oz in 2012. The total unit cash costs for Challenger for the year were US$1,135/oz (2012: US$862/oz), with the increase mainly due to the lower throughput and lower production from the Challenger Mine. On a unit cost basis, total cash costs for the Group were US$888/oz, up from US$720/oz last year.\n\n## Depreciation and amortisation\n\nThe increase in depreciation and amortisation to $85.6 million (2012: $67.6 million) reflects amortisation of the higher capitalised development costs at the Challenger Mine, depreciation of Plant #2 at Chatree and commencement of amortising the capital cost of the Chatree Tailings Storage Facility #2.\n\n## Impairment and write-downs\n\nFollowing a strategic review of Challenger, a new mine plan focussing mainly on the Challenger West orebody was implemented effective 1 July 2013.\n\nBased on the revised plan Challenger is expected to generate positive cash flows though, as a result of this plan together with the continuing low gold price environment, the estimated future cash flows no longer supported the full recovery of the carrying value. For this reason, the Group has recorded a pre-tax impairment charge of $311.9 million ($291.3 million post tax) related to the carrying value of the property, plant and equipment and mine properties at Challenger so that the carrying value reflects recoverable value.\n\nA review of the carrying value of all regional greenfield exploration projects was also conducted which resulted in the write down of $6.1 million, primarily against the Barton West Mineral Sands project in South Australia and the write down of $14.3 million against the carrying value of exploration projects in Thailand that fall outside the Chatree Mine area of influence.\n\nThe impairment and write-downs are non-cash items and therefore have no impact on the Company's cash position. The written down asset values do not create any concern with regard to conditions around the Company's debt facilities.", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\nNotes to the Financial Statements\n\n| 22. Dividends | 2013 $'000 | 2012 $'000 |\n|-----------------------------------------------------------------------------------------------------------------|---------------|---------------|\n| Final dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share paid on 1 October 2012 | 15,148 | 6,829 |\n| Interim dividend declared for the year ended 30 June 2013 of 5 cents per fully paid share paid on 12 April 2013 | 7,591 | 15,196 |\n| Total dividends | 22,739 | 22,025 |\n\nRefer Note 18 for the dividend reinvestment plan portion of total dividends.\n\nThe Group's franking credit balance as at 30 June 2013 is $880,548 (2012: $880,548).\n\n## 23. Related parties\n\n## Transaction with related parties\n\nInformation on remuneration of Directors and Key Management Personnel is disclosed in Note 29.\n\n## Controlling entity\n\nThe ultimate parent entity of the Group is Kingsgate Consolidated Limited.\n\n## 24. Employee benefits and share-based payments\n\n| Provision for employee benefits - current | 3,797 | 2,993 |\n|-----------------------------------------------|---------|---------|\n| Provision for employee benefits - non-current | 5,416 | 4,482 |\n| Total employee provisions | 9,213 | 7,475 |\n\n## Share-based payments\n\nThe following share-based payments were made during the year:\n\n - 〉 performance and deferred rights issued to employees $917,397 (2012: nil); and\n - 〉 shares issued as part consideration of a legal dispute $1,512,000 (2012: $3,024,000).\n\n## Superannuation\n\nThe Group makes contributions on behalf of employees to externally managed defined contribution superannuation funds. Contributions are based on percentages of employee's wages and salaries and include any salary-sacrifice amounts. Contributions to defined contribution plans for 2013 were $964,000 (2012: $752,000).\n\n## Kingsgate executive option plan\n\nThe terms of the options issued pursuant to the plan are as follows:\n\n - i. each option will entitle the holder to subscribe for one ordinary share of the Company;\n - ii. options are granted under the plan for no consideration; and\n - iii. options granted under the plan carry no dividend or voting rights.\n\nu", - "page_start": 96, - "page_end": 96, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "The contractual cash flows presented above in respect of 30 June 2013 and the increase in the one year or less time category of $46,132,000 when compared to 30 June 2012 mainly relates to classification of the corporate loan facility of $20,000,000 and the convertible loan facility of $35,000,000 as current liability at 30 June 2013. These facilities were mainly included in the one to two years and two to five years' time category at 30 June 2012. As indicated in Note 16, these facilities have been classified as current liabilities at 30 June 2013 on the basis that at balance sheet date it was the Group's intention to restructure and amalgamate these facilities in the next financial year.\n\nSubsequent to the end of the financial year, the Group has received from its lenders a credit approved term sheet (subject to formal documentation) for the restructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to $40,000,000. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n\n - 〉 Tranche one will be a $25,000,000 Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part of the Akara IPO although at Kingsgate's election repayment can be made by either cash or in Kingsgate's shares.\n - 〉 Tranche two is an amortising facility with $5,000,000 to be repaid during the 2014 financial year and the balance of $10,000,000 repaid during the 2015 financial year.\n\nThe Group also has a three year $25,000,000 Convertible Revolving Credit Facility available. At the date of this report the facility is undrawn. Under the terms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is intended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the Company to repay any cash drawdown under the facility by issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although this position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP over a period by reference to the draw down date. Shareholder approval is not required.\n\nAs indicated in Note 16, Kingsgate's Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to US$125,000,000 (fully drawn as at year end) and an additional Thai Baht denominated working capital facility equivalent to US$15,000,000 (undrawn as at year end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100,000,000 Baht denominated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n\n## (d) Fair value measurements\n\nThe carrying values of financial assets and liabilities of the Group approximate their fair values. Fair values of financial assets and liabilities have been determined for measurement and / or disclosure purposes.\n\n## Fair value hierarchy", - "page_start": 104, - "page_end": 104, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Financing Arrangements\n\n## Corporate loan facility\n\nKingsgate has a three year secured loan facility with Investec which was amended during the year. The amended facility has a limit of $40 million (30 June 2012: $50 million), of which $20 million has been drawn down as at 30 June 2013 (30 June 2012: $40 million).\n\n## Convertible loan facility\n\nKingsgate has a five year A$35 million convertible loan facility with Investec entered into in a prior period to provide funding for the Bowdens acquisition. Kingsgate has the option to make a prepayment against the facility with an issue of Kingsgate shares.\n\n## Restructure of corporate loan and convertible loan facilities\n\nAs indicated previously in the Preliminary Final report, at balance date it was the Group's intention to restructure and amalgamate these facilities in the next financial year. This relates to the potential for completion of the Initial Public Offering ('IPO') of Akara on the Stock Exchange of Thailand and the updated mine plan for Challenger. Any restructure would optimise the Group's anticipated balance sheet liquidity and operational cash flows. Accordingly, the Group classified the total amount drawn down under these facilities of $55 million as a current liability at 30 June 2013.\n\nSubsequent to the end of the financial year, the Group received from its lenders a credit approved term sheet (subject to formal documentation) for the restructure of the corporate loan and convertible loan facilities. Following completion of the restructure the total amount outstanding will be reduced to $40 million. This loan will be provided through a single senior corporate facility which will consist of two tranches:\n\n - 〉 Tranche one will be a $25 million Akara Pre IPO Bond with a maturity date of 31 July 2015. The current intention is for this tranche to be repaid as part of the Akara IPO, although at Kingsgate's election repayment can be made by either cash or in Kingsgate's shares.\n - 〉 Tranche two is an amortising facility with $5 million to be repaid during the 2014 financial year and the balance of $10 million repaid during the 2015 financial year.\n\n\n\n## Convertible revolving credit facility\n\nThe Group also has a three year $25 million Convertible Revolving Credit Facility available. As at the date of this report the facility is undrawn. Under the terms of this facility, Kingsgate has the option of repaying any funds drawn down under the facility through either cash or by issuing ordinary shares. It is intended that this facility will be utilised during the 2014 financial year for corporate and working capital purposes. It is the current intention of the company to repay any cash drawdown under the facility by the issuance of fully paid ordinary shares which would rank parri pasu with all existing ordinary shares, although this position will be reviewed at the appropriate time. The number of shares has not yet been determined and they will be issued at a 2.5% discount to VWAP over a period by reference to the draw down date. Shareholder approval is not required.\n\n## Multi-currency and syndicated loan facilities\n\nKingsgate's Thai operating subsidiary, Akara, established a six year amortising multi-currency loan facility equivalent to US$125 million (fully drawn as at period end) and an additional Thai Baht denominated working capital facility equivalent to US$15 million (undrawn as at year end) during the period. The proceeds from these borrowings were used to fully repay the outstanding balance on the US$100 million Baht denominated syndicated loan facility in existence at the beginning of the period as well as to repay part of the corporate loan facility noted above.\n\n\n\n## Financial Position\n\nShareholders' equity at 30 June 2013 was $474 million (2012: $776 million). The decrease of $302 million reflects the year's loss together with dividends paid.\n\n## Dividends", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "\n\n## Financial results\n\nKingsgate made an after tax loss of $323.7 million for the full year to 30 June 2013 compared to an after tax profit of $75.0 million for the previous corresponding year. The result for the year reflected an impairment of $311.9 million pre-tax ($291.3 million post-tax) against the Challenger Mine and associated assets and an impairment of $20.4 million against greenfield exploration projects in Australia and Thailand.\n\n| | 2013 | 2012 | 2011 | 2010 | 2009 |\n|---------------------------------------------|-----------|--------|--------|--------|--------|\n| Net (loss) / profit after tax ($'000) | (323,726) | 75,006 | 20,879 | 73,066 | 32,522 |\n| Dividends paid (Cash and DRP) ($'000) | 22,739 | 22,026 | 33,647 | 29,082 | - |\n| Share price 30 June ($) | 1.27 | 4.85 | 8.00 | 9.47 | 6.70 |\n| Basic (loss) / earnings per share (Cents) | (213.3) | 52.5 | 18.7 | 75.2 | 34.9 |\n| Diluted (loss) / earnings per share (Cents) | (213.3) | 52.5 | 18.6 | 74.5 | 34.9 |\n\n## EBITDA before significant items\n\nBefore pre-tax significant items, the pre-tax profit of the Group was $17.2 million. Pre-tax significant items are detailed below.\n\nEBITDA before significant items was $115.8 million down from $168.6 million in the previous year.\n\n| Consolidated | 2013 $'000 | 2012 $'000 |\n|----------------------------------------------------------------------|---------------|---------------|\n| (Loss) / Profit before tax | (339,615) | 91,277 |\n| Significant items (pre-tax) | | |\n| Foreign exchange (gain) / loss | 745 | (1,268) |\n| Dominion acquisition costs | - | 964 |\n| Write off of capitalised borrowing fees | 5,722 | - |\n| Change in fair value of undesignated gold contracts held for trading | (1,414) | 425 |\n| Change in fair value of available-for-sale financial assets | 855 | 260 |\n| Share of loss in associate | 1,353 | - |\n| Loss on sale of exploration assets (Quadrio Resources Limited) | 16,709 | - |\n| Impairment Challenger Gold Project | 311,850 | - |\n| Impairment of capitalised exploration | 20,421 | - |\n| Impairment of associate | 537 | - |\n| Profit before tax and significant items | 17,163 | 91,658 |\n| Finance costs | 13,087 | 9,372 |\n| Depreciation and amortisation | 85,595 | 67,553 |\n| EBITDA before significant items | 115,845 | 168,583 |\n\nEBITDA before significant items is a financial measure which is not prescribed by International Financial Reporting Standards ('IFRS') and represents the profit under IFRS adjusted for specific significant items. The table above summarises key items between statutory profit before tax and EBITDA before significant items. The EBITDA before significant items has not been subject to any specific auditor review procedures by our auditor but has been extracted from the accompanying audited financial statements.\n\n", - "page_start": 45, - "page_end": 45, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "Notes to the Financial Statements\n\n## Notes to the Financial Statements\n\nfor the year ended 30 June 2013\n\nThe Financial Report of Kingsgate Consolidated Limited (Kingsgate or the 'Company') for the year ended 30 June 2013 was authorised for issue in accordance with a resolution of Directors on 23 September 2013.\n\nKingsgate is a Company limited by shares incorporated in Australia whose shares are publicly traded on the Australian Securities Exchange using the ASX code KCN. The consolidated financial statements of the Company as at and for the year ended 30 June 2013 comprise the Company and its subsidiaries (together referred to as the 'Group' and individually as 'Group entities'). A description of the nature of the Group's operations and its principal activities is included in the Directors' Report.\n\n## 1. BASIS OF PREPARATION\n\nThe general purpose financial statements have been prepared in accordance with Australian Accounting Standards, other authoritative pronouncements of the Australian Accounting Standards Board and the Corporations Act 2001 . The Company is a for-profit entity for the purpose of preparing the financial statements.\n\n## Compliance with IFRS\n\nThe financial statements comply with International Financial Reporting Standards (IFRS) adopted by the International Accounting Standards Board (IASB).\n\n## Historical cost convention\n\nThe financial statements have been prepared under the historical cost convention, as modified by the revaluation of available-for-sale financial assets and financial instruments (including derivative instruments) at fair value through profit or loss.\n\n## Functional and presentation currency\n\nThe financial statements of the Group entities are measured using the currency of the primary economic environment in which the entity operates ('the functional currency'). The consolidated financial statements are presented\n\nin Australian dollars, which is the Company's functional currency and presentation currency.\n\n## Rounding of amounts\n\nThe Company is of a kind referred to in ASIC Class Order 98/100 dated 10 July 1998 and in accordance with that Class Order, all financial information presented in Australian dollars has been rounded to the nearest thousand, or in certain cases, the nearest dollar.\n\n## Critical accounting estimates\n\nThe preparation of financial statements requires the use of certain critical accounting estimates. It also requires management to exercise its judgement in the process of applying the Group's accounting policies. The areas involving a higher degree of judgement or complexity, or areas where assumptions and estimates are significant to the financial statements are disclosed in Note 3.\n\n## 2. SIGNIFICANT ACCOUNTING POLICIES\n\nThe principal accounting policies adopted in the preparation of the financial statements are set out below. These policies have been consistently applied to all the years presented.\n\n## a . Principles of consolidation\n\n## (i) Business combinations\n\nBusiness combinations are accounted for using the acquisition method as at the acquisition date, which is the date on which control is transferred to the Group. Control is the power to govern the financial and operating policies of an entity so as to obtain benefits from its activities. In assessing control, the Group takes into consideration potential voting rights that currently are exercisable.\n\nThe consideration transferred for the acquisition of a subsidiary comprises the fair values of the assets transferred, the liabilities incurred and the equity interests issued by the Group. The consideration transferred does not include\n\namounts related to the settlement of a preexisting relationship. Such amounts are generally recognised in profit or loss.", - "page_start": 69, - "page_end": 69, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## 2013 HIGHLIGHTS\n\n## Key Financial Information", - "page_start": 30, - "page_end": 30, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## Directors' Report\n\nYour Directors present their report on the Group consisting of Kingsgate Consolidated Limited and the entities it controlled at the end of, or during, the year ended 30 June 2013.\n\n## Directors\n\nThe following persons were Directors of Kingsgate Consolidated Limited during the whole of the financial year and up to the date of this report.\n\n - 〉 Ross Smyth-Kirk Chairman\n - 〉\n\nPeter Alexander Non-Executive Director\n\n - 〉\n\nCraig Carracher Non-Executive Director\n\n - 〉 Peter McAleer\n\nNon-Executive Director\n\n - 〉 Gavin Thomas\n\nExecutive Director\n\n## Principal activities\n\nThe principal activities of Kingsgate Consolidated Limited are mining and mineral exploration in Australia, South East Asia and South America.\n\n## Dividends\n\n## Review of operations and results\n\n## Operational performance\n\nKingsgate is a gold mining, development and exploration company based in Sydney, Australia. Kingsgate owns and operates two gold mines, the world class Chatree Mine in Thailand and the underground Challenger Mine in South Australia. In addition, the Company has two advanced development projects, the Nueva Esperanza Silver / Gold Project, in the highly prospective Maricunga Gold / Silver Belt in Chile, and the Bowdens Silver Project in New South Wales, Australia. From this operating and development platform, Kingsgate aims to build value for all shareholders.\n\nGroup gold production was 199,897 ounces, a decrease of 4% on the previous corresponding year. The contribution from Chatree was 133,681 ounces with 66,216 ounces from Challenger.\n\nDividends paid to members during the financial year were as follows:\n\n| | 2013 $'000 | 2012 $'000 |\n|-------------------------------------------------------------------------------------------------------------------|---------------|---------------|\n| Final dividend declared for the year ended 30 June 2012 of 10 cents per fully paid share paid on 1 October 2012 | 15,148 | 6,829 |\n| Interim dividend declared for the year ended 30 June 2013 of 5 cents per fully paid share paid on 12 April 2013 | 7,591 | 15,196 |\n| Total dividends | 22,739 | 22,025 |\n\nChatree gold production was 10% higher than the previous corresponding period as a result of an increase in throughput from the expanded Chatree process plant and access to higher grade oxide ore from Q Prospect.\n\nChallenger gold production was 24% lower than the previous corresponding year given additional dilution and depletion at Challenger Deeps and a shortfall in planned development. This resulted in lower ore tonnes from the mine that was supplemented by low grade stockpiled ore. Following the fall in the gold price a strategic review of Challenger was implemented that has resulted in a new mine plan to focus primarily on the higher grade Challenger West orebody. The new mine plan will be implemented during the first three months of the 2014 financial year.", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## Statement of Cash Flows\n\nfor the year ended 30 June 2013\n\n| | Note | 2013 $'000 | 2012 $'000 |\n|---------------------------------------------------------------------|--------|---------------|---------------|\n| Cash flows from operating activities | | | |\n| Receipts from customers (net of goods and services tax) | | 332,624 | 361,754 |\n| Payments to suppliers and employees (net of goods and services tax) | | (224,500) | (182,759) |\n| Interest received | | 2,587 | 1,394 |\n| Finance costs paid | | (10,120) | (8,431) |\n| Income tax paid | | (15,571) | ( 6,711) |\n| Net cash inflow from operating activities | 25 | 85,020 | 165,247 |\n| Cash flows from investing activities | | | |\n| Payments for property, plant and equipment | | ( 7, 0 3 5 ) | (92,343) |\n| Payments for exploration, evaluation and development | | (122,722) | (75,054) |\n| Payments for acquisition of Bowdens Silver Project | | - | (41,000) |\n| Cash acquired on acquisition of subsidiaries, net of cash paid | | - | 136 |\n| Interest capitalised to expansion and development projects | | (3,948) | (6,939) |\n| Deposits and debt service reserve account | | (8,612) | (2,470) |\n| Payments for other assets | | (108) | (3,526) |\n| Net cash outflow from investing activities | | (142,425) | ( 2 21,196) |\n| Cash flows from financing activities | | | |\n| Proceeds from borrowings, net of transaction costs | | 133,968 | 96,627 |\n| Repayment of borrowings | | (116,250) | (26,622) |\n| Proceeds from the issue of shares | | - | 70,792 |\n| Payments for acquisition of non-controlling interests | | - | (11,359) |\n| Dividends paid | | (19,409) | (18,933) |\n| Net cash (outflow) / inflow from financing activities | | (1,691) | 110,505 |\n| Net (decrease) / increase in cash held | | (59,096) | 54,556 |\n| Cash at the beginning of the year | | 90,623 | 35,864 |\n| Effects of exchange rates on cash and cash equivalents | | 1,460 | 203 |\n| Cash at the end of the year | 7 | 32,987 | 90,623 |\n\nThe above Statement of Cash Flows should be read in conjunction with the accompanying notes.\n\n", - "page_start": 68, - "page_end": 68, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "| Operating expenses | (195,064) | (171,505) | ( 8 6,147 ) | ( 74,305) | (65,599) |\n| Administration expenses | (15,515) | (12,737) | (11,304) | (3,615) | (4,595) |\n| Other (expenses) / income | (23,693) | (6,398) | (28,424) | 618 | 3,509 |\n| EBITDA | 95,010 | 166,732 | 46,481 | 98,178 | 46,330 |\n| Impairment losses | (332,808) | - | - | - | - |\n| Depreciation & amortisation | (85,595) | (67,553) | ( 2 7, 7 7 2 ) | (14,004) | (11,575) |\n| EBIT | (323,393) | 99,179 | 18,709 | 84,174 | 34,755 |\n| Net finance (costs) / income | (16,222) | ( 7, 9 0 2 ) | (922) | (1,823) | (1,698) |\n| Profit / (loss) before income tax | (339,615) | 91,277 | 17,787 | 82,351 | 33,057 |\n| Income tax (expense) / benefit | 15,889 | (16,271) | 3,092 | (9,285) | (535) |\n| Net profit / (loss) after income tax | (323,726) | 75,006 | 20,879 | 73,066 | 32,522 |\n| Non-controlling interests | - | 153 | 269 | - | - |\n| Net profit attributable to owners of Kingsgate Consolidated Limited | (323,726) | 75,159 | 21,148 | 73,066 | 32,522 |\n| BALANCE SHEET (A$'000) | | | | | |\n| Current assets - cash | 32,987 | 90,623 | 35,864 | 49,098 | 29,680 |\n| Current assets - other | 109,575 | 103,433 | 70,280 | 54,203 | 27,848 |\n| Non-current assets | 6 2 7, 4 2 6 | 854,403 | 688,919 | 265,774 | 217,4 4 5 |\n| Total assets | 769,988 | 1,048,459 | 795,063 | 369,075 | 274,973 |\n| Total borrowings | 199,758 | 157,544 | 99,896 | 11,064 | 2,144 |\n| Other liabilities | 96,270 | 115,102 | 88,243 | 41,968 | 27,789 |\n| Total liabilities | 296,028 | 272,646 | 188,139 | 53,032 | 29,933 |\n| Shareholders' equity | 473,960 | 775,813 | 606,924 | 316,043 | 245,040 |\n| Non-controlling interests | - | - | 7,10 9 | - | - |", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_KCN_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "To which countries extend the marriage regulations ?", - "target_page": 1, - "target_passage": "These Regulations extend to England and Wales. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 538\n\n## MARRIAGE, ENGLAND AND WALES\n\nThe Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n29th April 2021\n\nComing into force - -\n\n4th May 2021\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949( a ).\n\n## Citation, commencement, extent and interpretation\n\n- 1. -(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n- (2) These Regulations come into force on 4th May 2021.\n- (3) These Regulations extend to England and Wales.\n- (4) In these Regulations, 'chapel' does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies( b ).\n\n## Duty of parochial church councils to provide registers of marriage services\n\n- 2. -(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England( c ) in that parish in which banns of matrimony may be published.\n- (2) Books provided under paragraph (1) are to be known as 'registers of marriage services'.\n- (3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n- (4) The register must be made of durable material.\n- (5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "29th April 2021\n\nKevin Foster Parliamentary Under Secretary of State Home Office\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as 'registers of marriage services' to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "Australia\n\nBrunei\n\nFalkland Islands\n\nFaroe Islands\n\nGibraltar\n\nIceland\n\nIsrael\n\nNew Zealand\n\nPortugal, including the Azores and Madeira\n\nSaint Helena, Ascension and Tristan da Cunha\n\nSingapore\n\nSouth Georgia and the South Sandwich Islands\n\n## SCHEDULE 2\n\nRegulation 2(1)\n\nRegulation 2(1)\n\nCategory 2 countries and territories\n\nAny country or territory outside the common travel area not listed in Schedule 1 or Schedule 3.\n\n## SCHEDULE 3\n\nCategory 3 countries and territories\n\nRegulation 2(1)\n\nAngola\n\nArgentina\n\nBangladesh\n\nBolivia\n\nBotswana\n\nBrazil\n\nBurundi\n\nCape Verde\n\nChile\n\n## SCHEDULES\n\n## SCHEDULE 1\n\n## Category 1 countries and territories", - "page_start": 31, - "page_end": 31, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Further requirements on arrivals from category 2 countries and territories", - "page_start": 12, - "page_end": 12, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (c) Cape Verde;\n - (d) Chile;\n - (e) Ethiopia;\n - (f) The Maldives;\n - (g) Oman;\n - (h) Qatar;", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n - (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n - (6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales\n\n - 3. -(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n - (2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)-\n - (a) the date and place of the marriage;\n - (b) the name and surname of each party;\n - (c) the date of birth of each party;\n - (d) the occupation (if any) of each party;\n - (e) the address of each party at the time of the marriage;\n - (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n - (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n - (h) the name and surname of the clergyman by whom the marriage was solemnized.\n - (3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n - (4) After making a record under paragraph (2) the clergyman must sign it.\n - (5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n## Requirements about the keeping of registers of marriage services\n\n - 4. -(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must-\n - (a) ensure that the register is kept in that church or chapel, and\n - (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n - (2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\nAbi Tierney Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (i) South Africa;\n - (j) Turkey;\n - (k) United Arab Emirates.\n - 5. The countries or territories referred to in paragraph 3(1) are-\n - Turkey", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 366 The Nordic countries (Denmark, Finland, Iceland, Norway and Sweden) are particularly active in this area. They have summarised the current challenges for labour inspections and supervision in general, giving extensive and detailed recommendations; Nordic Future of Work Group, 2020: Work today and in the future : Perspectives on Occupational Safety and Health challenges and opportunities for the Nordic labour inspectorates, here BAuA, 2020: Scientific workshop on the future of smart and effective labour inspection, 3 November 2020, here", - "page_start": 153, - "page_end": 153, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Figure 32: Age classes and work-related health problems in 2007, 2013, 2020 - LFS ad hoc module\n\n\n\nWhen looking at the differences between countries in 2020, the countries with the highest values are: Poland (36.6%), Finland (25.7%) and Sweden (20.3%); all three are far above the average. Austria, Luxembourg and Germany have figures close to the EU27 average of 10.3%. In most other countries the response values are under or close to 6%, like in Estonia, Romania, Ireland, Latvia, Lithuania, Hungary, Malta, Bulgaria, Greece, Croatia, Cyprus, Czechia and Slovenia. 257", - "page_start": 92, - "page_end": 92, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## Annex 1: Non -Annex I (NAI) Parties\n\n| 1 | Afghanistan | AFG |\n|-----|----------------------------------------|-------|\n| 2 | Albania | ALB |\n| 3 | Algeria | DZA |\n| 4 | Andorra | AND |\n| 5 | Angola | AGO |\n| 6 | Antigua and Barbuda | ATG |\n| 7 | Argentina | ARG |\n| 8 | Armenia | ARM |\n| 9 | Azerbaijan | AZE |\n| 10 | Bahamas | BHS |\n| 11 | Bahrain | BHR |\n| 12 | Bangladesh | BGD |\n| 13 | Barbados | BRB |\n| 14 | Belize | BLZ |\n| 15 | Benin | BEN |\n| 16 | Bhutan | BTN |\n| 17 | Bolivia | BOL |\n| 18 | Bosnia and Herzegovina | BIH |\n| 19 | Botswana | BWA |\n| 20 | Brazil | BRA |\n| 21 | Brunei Darussalam | BRN |\n| 22 | Burkina Faso | BFA |\n| 23 | Burundi | BDI |\n| 24 | Cambodia | KHM |\n| 25 | Cameroon | CMR |\n| 26 | Cape Verde | CPV |\n| 27 | Central African Republic | CAF |\n| 28 | Chad | TCD |\n| 29 | Chile | CHL |\n| 30 | China | CHN |\n| 31 | Colombia | COL |\n| 32 | Comoros | COM |\n| 33 | Congo | COG |\n| 34 | Cook Islands | COK |\n| 35 | Costa Rica | CRI |\n| 36 | Cote d'Ivoire | CIV |\n| 37 | Cuba | CUB |\n| 38 | Democratic People's Republic of Korea | PRK |\n| 39 | Democratic Republic of the Congo | COD |\n| 40 | Djibouti | DJI |\n| 41 | Dominica | DMA |", - "page_start": 44, - "page_end": 44, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": "What the parochial church council must provide to make marriage records ?", - "target_page": 1, - "target_passage": " The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England(c) in that parish in which banns of matrimony may be published.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 538\n\n## MARRIAGE, ENGLAND AND WALES\n\nThe Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n29th April 2021\n\nComing into force - -\n\n4th May 2021\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949( a ).\n\n## Citation, commencement, extent and interpretation\n\n- 1. -(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n- (2) These Regulations come into force on 4th May 2021.\n- (3) These Regulations extend to England and Wales.\n- (4) In these Regulations, 'chapel' does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies( b ).\n\n## Duty of parochial church councils to provide registers of marriage services\n\n- 2. -(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England( c ) in that parish in which banns of matrimony may be published.\n- (2) Books provided under paragraph (1) are to be known as 'registers of marriage services'.\n- (3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n- (4) The register must be made of durable material.\n- (5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "29th April 2021\n\nKevin Foster Parliamentary Under Secretary of State Home Office\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as 'registers of marriage services' to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n - (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n - (6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales\n\n - 3. -(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n - (2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)-\n - (a) the date and place of the marriage;\n - (b) the name and surname of each party;\n - (c) the date of birth of each party;\n - (d) the occupation (if any) of each party;\n - (e) the address of each party at the time of the marriage;\n - (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n - (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n - (h) the name and surname of the clergyman by whom the marriage was solemnized.\n - (3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n - (4) After making a record under paragraph (2) the clergyman must sign it.\n - (5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n## Requirements about the keeping of registers of marriage services\n\n - 4. -(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must-\n - (a) ensure that the register is kept in that church or chapel, and\n - (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n - (2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\nAbi Tierney Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "## 66. A ppointm ent of S ecretary to Independent Electoral C om m ission\n\n - (1) There shall be a S ecretary to the Independent E lectoral C om m ission referred to in section 65A (in this section referred to as \"the S ecretary\").\n - (2) The S ecretary shall be appointed by the P resident.\n - (3) The functions of the S ecretary shall, subject to the directions and supervision of the Independent E lectoral C om m ission, be to exercise general supervision over the registration of voters for elections of-\n - ( a ) the E lected M em bers of the N ational A ssem bly; and\n - ( b ) the m em bers of any local authority, and over the conduct of such elections.\n\n(4) A person shall not be qualified to be appointed as S ecretary to the Independent E lectoral C om m ission if-", - "page_start": 30, - "page_end": 30, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (4) The C ourt of A ppeal shall be a superior court of record and save as otherw ise provided by P arliam ent shall have all the pow ers of such a court.", - "page_start": 42, - "page_end": 42, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (a) the relevant head of the mission, consular post, or office representing a foreign territory in the United Kingdom, or a Governor of a British overseas territory (as the case may be), or a person acting on their authority, confirms in writing to the Foreign, Commonwealth and Development Office that P is required to undertake work in the United Kingdom which is essential to the foreign country represented by the mission or consular post, the foreign territory represented by the office or the British overseas territory; and\n - (b) the Foreign, Commonwealth and Development Office has then confirmed in writing to the person giving the confirmation referred to in paragraph (a) that-\n - (i) it has received that confirmation, and", - "page_start": 74, - "page_end": 74, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "| | Pow er to specify qualifications for certain offices |\n| 108. | |\n| 110. | Public S ervice C om m ission Appointm ent, etc., of public officers |\n| 111. | |", - "page_start": 2, - "page_end": 2, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "\n\n - Conseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n - Conseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n - Conseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an honorary post in most cases)-this was one of the few posts in the council available to the high aristocracy. [38]\n\n## Early wars in the Low Countries\n\n## Spain\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees. [39] The marriage treaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants. [39] Mazarin", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "- (1) There shall be an Independent E lectoral C om m ission w hich shall consist of-\n - ( a ) a C hairm an w ho shall be a judge of the H igh C ourt appointed by the Judicial Service C om m ission;\n - ( b ) a legal practitioner appointed by the Judicial S ervice C om m ission; and\n - ( c ) five other persons w ho are fit, proper and im partial, appointed by the Judicial Service C om m ission from a list of persons recom m ended by the A ll P arty C onference.\n - (2) W here the A ll P arty C onference fail to agree on all or any num ber of persons referred to in subsection (1)( c ) of this section up to dissolution of P arliam ent, the Judicial Service C om m ission shall appoint such person or persons as are necessary to fill any vacancy.\n - (3) For the purposes of this section, \"A ll P arty C onference\" m eans a m eeting of all registered political parties convened from tim e to tim e by the M inister.\n - (4) The first appointm ents of the C hairm an and the M em bers of the C om m ission shall be m ade not later than 31st January, 1999, and thereafter subsequent appointm ents shall be m ade at the last dissolution of every tw o successive lives of Parliam ent.", - "page_start": 29, - "page_end": 29, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(1) The H igh C ourt shall have jurisdiction to hear and determ ine any question w hether-\n\n - ( a ) any person has been validly elected as an E lected M em ber of the N ational Assem bly or the seat of any such M em ber has becom e vacant;\n - ( b ) any person has been validly elected as S peaker of the A ssem bly or, having been so elected, has vacated the office of S peaker.\n\n(2) A ny question w hether any person has been validly elected as a S pecially Elected M em ber of the N ational A ssem bly or w hether the seat of any such M em ber has becom e vacant shall be determ ined by the S peaker.\n\n - (3) P arliam ent m ay m ake provision w ith respect to-\n - ( a ) the persons w ho m ay apply to the H igh C ourt for the determ ination of any question under this section;\n - ( b ) the circum stances and m anner in w hich the conditions upon w hich any such application m ay be m ade; and\n - ( c ) the pow ers, practice and procedure of the H igh C ourt in relation to any such application.\n\n## 70. C lerk of the A ssem bly\n\n(1) There shall be a C lerk of the N ational A ssem bly and an A ssistant C lerk of the N ational A ssem bly and their offices shall be offices in the public service.", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the prison population grew in average by year between 1993 and 2008 ?", - "target_page": 8, - "target_passage": "The prison population grew rapidly between 1993 to 2008, at an average of 4% a year.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 2. Recent trends in the population\n\nThe 'Story of the Prison Population 1993 to 2012' is an in-depth look at what happened to the prison population between 1993 and 2012 and the major factors contributing to the changes. 4\n\nThe prison population grew rapidly between 1993 to 2008, at an average of 4% a year. This rapid rise was driven by:\n\n -  increased numbers of people sentenced to immediate custody from 1993 to 2002;\n -  increases in the average custodial sentence length and increased use of indeterminate sentences; and\n -  an increase in numbers recalled to prison following breaches of the conditions of licence and these offenders spending longer in prison once recalled.\n\nThe rise in the prison population slowed considerably from the summer of 2008, in part due to the introduction of the Criminal Justice and Immigration Act (CJIA) 2008 5 which changed sentencing and offender management in ways which helped to reduce growth in the prison population.\n\nThis flatter trend continued until the public disorder seen in UK cities from 6 to 9 August 2011 which had an immediate but temporary impact on the prison population.\n\nDuring 2012 and into 2013, the prison population began to fall due to a falling remand population and a continued decline in the number of under 18s in custody. The falling remand population during 2012 reflected falling volumes going through the courts plus the introduction, in December 2012, of measures restricting the use of remand for all offenders who would be unlikely to receive a custodial sentence. 6\n\nFrom the end of August 2013 to the end of October 2013, the remand\n\npopulation rose sharply, driving an overall increase in the prison population. This was being driven by an increase in demand in the Crown Courts, especially among more serious tri-able either way cases. The total population has continued to rise since the beginning of 2014 and reached 85,925 7 on the", - "page_start": 7, - "page_end": 7, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 4. Results\n\nThe Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020.\n\nChart 2 presents Prison population projections from November 2014 to December 2020.\n\nChart 2: Projected monthly prison population (all scenarios)\n\n\n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 by the end of June 2015 and then fall to 81,400 by the end of June 2020.\n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 by the end of June 2015 and to 98,900 by the end of June 2020.\n\nThe projected trends reflect the cumulative impacts of the various sentencing, legislative and procedural assumptions that are used to generate the projections. The seasonal pattern reflects the dip in the prison population which is always seen around the Christmas period.\n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by June 2020. The projected population increase is largely due to the recent trends in case mix where we have seen more serious cases come before the courts. This results in offenders receiving longer custodial sentence lengths, which in turn places an upward pressure on the prison population. The growth in this scenario is largely driven by the rise in the determinate population which is projected to grow to 60,200 by June 2020. This is partially due to the", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## Key points\n\nThis bulletin presents projections of the prison population in England and Wales from November 2014 to December 2020. The prison population projections are based on assumptions about future custodial convictions and incorporate the anticipated impacts of agreed policy and procedural initiatives.\n\nThe 'Central Scenario' estimates that the prison population will increase from the current position 85,925 1 to 87,700 by June 2015. By the end of June 2020 the prison population is projected to be 90,200. This Central Scenario is our best estimate based on the available information. The projected prison population under our Central Scenario is shown in Chart 1.\n\nThe prison population projections are produced using a model of flows of offenders into and out of prison which counts the resulting prison population each month.\n\nChart 1: Projected prison population (Central Scenario)\n\n\n\nThe Central Scenario has been modelled assuming custodial convictions are broadly in line with recent trends and average length of sentence to be flat based on recent trends.\n\nThe projections do not attempt to estimate the impact of any future Government policy that is yet to achieve Royal Assent, and therefore become less certain over time.", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## Appendix A: Additional tables 9\n\nAnnual tables of overall projected prison population\n\nTable A1: Projected prison population (end of June figures)Table A2: Average projected prison population (financial year figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 87,100 | 87,700 | 88,900 |\n| Jun-16 | 86,800 | 89,100 | 92,000 |\n| Jun-17 | 85,200 | 89,300 | 93,600 |\n| Jun-18 | 83,900 | 89,700 | 95,800 |\n| Jun-19 | 82,600 | 90,100 | 97,600 |\n| Jun-20 | 81,400 | 90,200 | 98,900 |\n\nTable A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario projections (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|---------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 | 87,000 | 88,200 | 89,700 |\n| 2016/17 | 86,200 | 89,100 | 92,400 |\n| 2017/18 | 84,700 | 89,300 | 94,100 |\n| 2018/19 | 83,400 | 89,800 | 96,300 |\n| 2019/20 | 82,200 | 90,100 | 97,900 |\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | 2013 | 2014 | Difference |\n| Jun-14 | 83,400 | -- | -- |\n| Jun-15 | 82,100 | 87,700 | 6.8% |\n| Jun-16 | 82,000 | 89,100 | 8.6% |\n| Jun-17 | 81,600 | 89,300 | 9.4% |\n| Jun-18 | 81,500 | 89,700 | 10.1% |\n| Jun-19 | 81,800 | 90,100 | 10.2% |\n| Jun-20 | -- | 90,200 | -- |", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 3a) Producing prison population projections\n\nPrison population projections are produced using the Prison Population StockFlow Model. The principal sub-populations in prison - determinate sentence, life sentence, imprisonment for public protection (IPP) and remand - are modelled using stock-flow structures based on the generic structure shown in Figure B2. The stock-flow structures model the flow of offenders into and out of prison and count the resulting prison population at the end of each month.\n\nFigure B2: Generic stock-flow structure in the Prison Population Stock-Flow Model\n\n\n\nFor the determinate population, the monthly inflows to prison are based on the custodial convictions projections described above. These custodial convictions include offenders that may already be serving a sentence for a previous crime or those who would serve their whole custodial sentence on remand, meaning that they would not be a new reception to prison. To convert from custodial convictions to prison receptions we apply a conversion ratio derived from the historical proportions of custodial convictions to prison receptions for each sub-population averaged over the last twelve months of historical data (April 2013 to March 2014 inclusive).\n\nMonthly outflows for the determinate population are based on observed custodial sentence lengths and the observed percentage of sentence length served taken from October 2013 to April 2014. Each projected offender that enters the model is given a custodial sentence length that is randomly selected from the relevant distribution. These distributions are populated with custodial sentence lengths from actual offender receptions who share the same characteristics of offence, gender and age group in the observed time period. The percent of custodial sentence length served is derived in the same manner, except that the observed distribution is made up of discharged offenders further disaggregated by custodial sentence length band.\n\nFor offenders who receive the new EDS sentence an adjustment is made to the percent of custodial length served to reflect that these offenders will spend a greater proportion of their sentence in custody than standard determinate sentenced offenders discharged to date.\n\nProjected prison receptions are sub-divided by age category (Juvenile, Young Adult, Adult) with the exact age of the offender attributed in the same manner as the custodial sentence lengths. This allows the model to explicitly age the offenders whilst in prison (e.g. move from Juvenile to Young Adult categories).", - "page_start": 26, - "page_end": 26, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "At the core of the method is a model of flows of offenders into and out of prison which counts the resulting prison population each month for sentenced, recall and remand prisoners.\n\nInputs to the prison projections model include projections of future custodial convictions. These are generated from time series projections of numbers of defendants entering the criminal courts and take into account the age, gender and offence of defendants entering the system, the flow of cases through the courts and the sentences which concluded cases attract.\n\nThe prison projections model monitors the sizes of the sentenced, recall and remand prison populations. These populations depend on the inflows defined above and the outflows. These outflows are defined by observed distributions of custodial sentence lengths, and the proportion of custodial sentences served for subsets of these populations. The model also simulates the ageing of the prison population over time.\n\nThe projection model is based on data up to June 2014 from various sources including court proceedings and performance data, sentencing data and prison receptions and population data.\n\nThe results of the prison projections model are supplemented with an estimate of the future non-criminal and fine defaulter populations, which is based on the latest available data to September 2014.\n\nThree scenarios have been modelled. These scenarios track the impact of three different incremental changes in sentencing behaviour:\n\n -  The Central Scenario assumes custodial convictions are broadly in line with recent trends. The average length of sentence is assumed to be flat based on recent trends in sentence lengths. This broadly reflects the assumptions for Scenario 2 in the November 2013 projections.\n\nWe also consider two illustrative scenarios\n\n -  Scenario 1 assumes that custodial convictions will fall against recent trends. The average length of sentence is assumed to be lower than what has been observed in recent trends in sentence lengths.\n -  Scenario 2 assumes a rise in custodial convictions when compared to recent trends. Also the average length of sentence is assumed to be higher than what has been observed in recent trends in sentence lengths.\n\nThe three scenarios also incorporate the impact of:\n\n -  trends in the age, gender and offence of defendants entering the system and in the flow of cases through the courts;", - "page_start": 10, - "page_end": 10, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "- 21 November 2014. The latest projections assume demand in the courts remains at this higher level.\n\nTable 1 summarises these changes.\n\nTable 1: Population in custody changes from 2006 to 2014\n\n| | Offender Management Statistics | Offender Management Statistics | Year on year % |\n|------------------------|----------------------------------|----------------------------------|------------------|\n| | Start of Year | End of Year | difference |\n| June 2006 to June 2007 | 77,982 | 79,734 | 2.2% |\n| June 2007 to June 2008 | 79,734 | 83,194 | 4.3% |\n| June 2008 to June 2009 | 83,194 | 83,454 | 0.3% |\n| June 2009 to June 2010 | 83,454 | 85,002 | 1.9% |\n| June 2010 to June 2011 | 85,002 | 85,374 | 0.4% |\n| June 2011 to June 2012 | 85,374 | 86,048 | 0.8% |\n| June 2012 to June 2013 | 86,048 | 83,842 | -2.6% |\n| June 2013 to June 2014 | 83,842 | 85,509 | 2.0% |\n\nFurther statistics and commentary on the changes seen in prison population over the last year, is presented in the Offender Management Statistics Quarterly publication. This is available online on GOV.UK at: www.gov.uk/government/collections/offender-management-statistics-quarterly", - "page_start": 8, - "page_end": 8, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## Contents\n\n| Key points | Key points | 2 |\n|---------------------------------------------------------|---------------------------------------------------------|-----|\n| 1. | Central Scenario | 4 |\n| 2. | Recent trends in the population | 6 |\n| 3. | Modelling methodology and projection scenarios | 8 |\n| 4. | Results | 11 |\n| 5. | Previous Projections | 13 |\n| 6. | Caveats on prison population projections | 14 |\n| Appendix A: Additional tables | Appendix A: Additional tables | 15 |\n| Appendix B: Detail of models, scenarios and assumptions | Appendix B: Detail of models, scenarios and assumptions | 21 |\n| Contact Points for further information | Contact Points for further information | 28 |", - "page_start": 2, - "page_end": 2, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\n## Prison Population Projections 2014 - 2020 England and Wales\n\nMinistry of Justice Statistics Bulletin\n\nPublished 27th November 2014", - "page_start": 0, - "page_end": 0, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 5. Previous Projections\n\nAt the end of September 2014 the published prison population was within 1.8 % of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 Scenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does not indicate which scenario the actual prison population will track going forward.\n\nDifferences between the 2013 projections and the actual population could be explained by changes, different to those projected, in overall demand, offence mix, age and gender of defendants, court routes, custody rates or sentence lengths.\n\nChart 3 plots the 2014 Central Scenario projection against the three 2013 prison population projections. The 2014-2020 Central Scenario projection is above all three scenarios from last year. The higher level of the new projections can be attributed to a more serious case mix coming into the courts with a resulting increase in average custodial sentence lengths. The projection for June 2019 in the Central Scenario this year is 10.2 % above the equivalent scenario (Scenario 2) last year.\n\nChart 3: Comparing 2013 and 2014 projections (November 2014 - December 2020)\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "Do you know the prison population estimation for the and of June 2020 ?", - "target_page": 13, - "target_passage": "The Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## Key points\n\nThis bulletin presents projections of the prison population in England and Wales from November 2014 to December 2020. The prison population projections are based on assumptions about future custodial convictions and incorporate the anticipated impacts of agreed policy and procedural initiatives.\n\nThe 'Central Scenario' estimates that the prison population will increase from the current position 85,925 1 to 87,700 by June 2015. By the end of June 2020 the prison population is projected to be 90,200. This Central Scenario is our best estimate based on the available information. The projected prison population under our Central Scenario is shown in Chart 1.\n\nThe prison population projections are produced using a model of flows of offenders into and out of prison which counts the resulting prison population each month.\n\nChart 1: Projected prison population (Central Scenario)\n\n\n\nThe Central Scenario has been modelled assuming custodial convictions are broadly in line with recent trends and average length of sentence to be flat based on recent trends.\n\nThe projections do not attempt to estimate the impact of any future Government policy that is yet to achieve Royal Assent, and therefore become less certain over time.", - "page_start": 3, - "page_end": 3, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 4. Results\n\nThe Central Scenario estimates that the prison population will rise to 87,700 by the end of June 2015 and to 90,200 by the end of June 2020.\n\nChart 2 presents Prison population projections from November 2014 to December 2020.\n\nChart 2: Projected monthly prison population (all scenarios)\n\n\n\nIllustrative Scenario 1 estimates that the prison population will rise to 87,100 by the end of June 2015 and then fall to 81,400 by the end of June 2020.\n\nIllustrative Scenario 2 estimates that the prison population will rise to 88,900 by the end of June 2015 and to 98,900 by the end of June 2020.\n\nThe projected trends reflect the cumulative impacts of the various sentencing, legislative and procedural assumptions that are used to generate the projections. The seasonal pattern reflects the dip in the prison population which is always seen around the Christmas period.\n\nIn the Central Scenario, the prison population is expected to rise to 90,200 by June 2020. The projected population increase is largely due to the recent trends in case mix where we have seen more serious cases come before the courts. This results in offenders receiving longer custodial sentence lengths, which in turn places an upward pressure on the prison population. The growth in this scenario is largely driven by the rise in the determinate population which is projected to grow to 60,200 by June 2020. This is partially due to the", - "page_start": 12, - "page_end": 12, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\n\n## Prison Population Projections 2014 - 2020 England and Wales\n\nMinistry of Justice Statistics Bulletin\n\nPublished 27th November 2014", - "page_start": 0, - "page_end": 0, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## Appendix A: Additional tables 9\n\nAnnual tables of overall projected prison population\n\nTable A1: Projected prison population (end of June figures)Table A2: Average projected prison population (financial year figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 87,100 | 87,700 | 88,900 |\n| Jun-16 | 86,800 | 89,100 | 92,000 |\n| Jun-17 | 85,200 | 89,300 | 93,600 |\n| Jun-18 | 83,900 | 89,700 | 95,800 |\n| Jun-19 | 82,600 | 90,100 | 97,600 |\n| Jun-20 | 81,400 | 90,200 | 98,900 |\n\nTable A3: Comparison of 2013 based Scenario 2 and 2014 Central Scenario projections (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|---------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| 2015/16 | 87,000 | 88,200 | 89,700 |\n| 2016/17 | 86,200 | 89,100 | 92,400 |\n| 2017/18 | 84,700 | 89,300 | 94,100 |\n| 2018/19 | 83,400 | 89,800 | 96,300 |\n| 2019/20 | 82,200 | 90,100 | 97,900 |\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | 2013 | 2014 | Difference |\n| Jun-14 | 83,400 | -- | -- |\n| Jun-15 | 82,100 | 87,700 | 6.8% |\n| Jun-16 | 82,000 | 89,100 | 8.6% |\n| Jun-17 | 81,600 | 89,300 | 9.4% |\n| Jun-18 | 81,500 | 89,700 | 10.1% |\n| Jun-19 | 81,800 | 90,100 | 10.2% |\n| Jun-20 | -- | 90,200 | -- |", - "page_start": 16, - "page_end": 16, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Table A10: Projected male 21 years and over prison population (end of June figures)\n\n| | Males 21 years and over | Males 21 years and over | Males 21 years and over | Males 21 years and over | Males 21 years and over | Males 21 years and over |\n|----------|---------------------------|---------------------------|---------------------------|---------------------------|---------------------------|---------------------------|\n| | Total Population | Total Population | Total Population | Determinates | Determinates | Determinates |\n| Scenario | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 76,500 | 77,100 | 78,700 | 47,400 | 48,200 | 49,800 |\n| Jun-16 | 75,800 | 78,300 | 82,000 | 46,800 | 49,500 | 53,300 |\n| Jun-17 | 74,400 | 78,500 | 83,700 | 45,900 | 50,400 | 55,700 |\n| Jun-18 | 73,200 | 78,900 | 85,800 | 45,200 | 51,300 | 58,200 |\n| Jun-19 | 72,200 | 79,300 | 87,500 | 44,600 | 52,000 | 60,300 |\n| Jun-20 | 71,100 | 79,400 | 88,700 | 44,000 | 52,600 | 62,000 |\n\n| | Indeterminates | Indeterminates | Indeterminates | Remand | Remand | Remand |\n|----------|------------------|------------------|------------------|------------|----------|------------|\n| Scenario | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 11,700 | 11,700 | 11,700 | 10,800 | 10,200 | 9,600 |\n| Jun-16 | 11,200 | 11,200 | 11,200 | 10,800 | 10,200 | 9,600 |\n| Jun-17 | 10,500 | 10,500 | 10,500 | 10,800 | 10,200 | 9,500 |\n| Jun-18 | 10,100 | 10,100 | 10,100 | 10,800 | 10,200 | 9,600 |\n| Jun-19 | 9,600 | 9,600 | 9,600 | 10,900 | 10,200 | 9,600 |\n| Jun-20 | 9,200 | 9,200 | 9,200 | 10,800 | 10,200 | 9,600 |\n\nTable A11: Projected male 18-20 years old prison population (end of June figures)\n\n| | Recall | Recall | Recall | Non Criminal | Non Criminal | Non Criminal |\n|----------|------------|----------|------------|----------------|----------------|----------------|\n| Scenario | Scenario 1 | Central | Scenario 2 | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 4,900 | 5,200 | 5,800 | 1,700 | 1,700 | 1,700 |\n| Jun-16 | 5,200 | 5,500 | 6,100 | 1,700 | 1,700 | 1,700 |\n| Jun-17 | 5,300 | 5,600 | 6,100 | 1,700 | 1,700 | 1,700 |\n| Jun-18 | 5,300 | 5,600 | 6,100 | 1,700 | 1,700 | 1,700 |\n| Jun-19 | 5,300 | 5,600 | 6,100 | 1,700 | 1,700 | 1,700 |\n| Jun-20 | 5,300 | 5,600 | 6,100 | 1,700 | 1,700 | 1,700 |", - "page_start": 19, - "page_end": 19, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Table A8: Projected non-criminal prison population (end of June figures) 10Table A9: Projected fine defaulter prison population (end of June figures) 8\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 1,800 | 1,800 | 1,800 |\n| Jun-16 | 1,800 | 1,800 | 1,800 |\n| Jun-17 | 1,800 | 1,800 | 1,800 |\n| Jun-18 | 1,800 | 1,800 | 1,800 |\n| Jun-19 | 1,800 | 1,800 | 1,800 |\n| Jun-20 | 1,800 | 1,800 | 1,800 |\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 100 | 100 | 100 |\n| Jun-16 | 100 | 100 | 100 |\n| Jun-17 | 100 | 100 | 100 |\n| Jun-18 | 100 | 100 | 100 |\n| Jun-19 | 100 | 100 | 100 |\n| Jun-20 | 100 | 100 | 100 |", - "page_start": 18, - "page_end": 18, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Annual tables of subgroups within the overall projected prison population\n\nTable A4: Projected determinate sentence prison population (end of June figures)Table A5: Projected indeterminate sentence prison population (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 54,600 | 55,500 | 56,600 |\n| Jun-16 | 54,400 | 57,000 | 60,000 |\n| Jun-17 | 53,500 | 57,900 | 62,300 |\n| Jun-18 | 52,600 | 58,800 | 64,900 |\n| Jun-19 | 51,800 | 59,600 | 67,200 |\n| Jun-20 | 51,000 | 60,200 | 68,900 |\n\nTable A6: Projected remand prison population (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 12,200 | 12,200 | 12,200 |\n| Jun-16 | 11,700 | 11,700 | 11,700 |\n| Jun-17 | 11,000 | 11,000 | 11,000 |\n| Jun-18 | 10,500 | 10,500 | 10,500 |\n| Jun-19 | 10,100 | 10,100 | 10,100 |\n| Jun-20 | 9,600 | 9,600 | 9,600 |\n\nTable A7: Projected recall prison population (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 12,900 | 12,300 | 11,700 |\n| Jun-16 | 13,000 | 12,300 | 11,600 |\n| Jun-17 | 12,900 | 12,300 | 11,600 |\n| Jun-18 | 13,000 | 12,300 | 11,600 |\n| Jun-19 | 13,000 | 12,300 | 11,700 |\n| Jun-20 | 13,000 | 12,300 | 11,700 |\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 5,400 | 5,700 | 6,300 |\n| Jun-16 | 5,700 | 6,100 | 6,700 |\n| Jun-17 | 5,800 | 6,100 | 6,800 |\n| Jun-18 | 5,800 | 6,100 | 6,800 |\n| Jun-19 | 5,800 | 6,100 | 6,800 |\n| Jun-20 | 5,800 | 6,100 | 6,800 |", - "page_start": 17, - "page_end": 17, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 5. Previous Projections\n\nAt the end of September 2014 the published prison population was within 1.8 % of the 2013 Scenario 2 (central) projection, and within 3.4 % of the 2013 Scenario 1 projection and 0.2 % of the 2013 Scenario 3 projection. This does not indicate which scenario the actual prison population will track going forward.\n\nDifferences between the 2013 projections and the actual population could be explained by changes, different to those projected, in overall demand, offence mix, age and gender of defendants, court routes, custody rates or sentence lengths.\n\nChart 3 plots the 2014 Central Scenario projection against the three 2013 prison population projections. The 2014-2020 Central Scenario projection is above all three scenarios from last year. The higher level of the new projections can be attributed to a more serious case mix coming into the courts with a resulting increase in average custodial sentence lengths. The projection for June 2019 in the Central Scenario this year is 10.2 % above the equivalent scenario (Scenario 2) last year.\n\nChart 3: Comparing 2013 and 2014 projections (November 2014 - December 2020)\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Table A12: Projected female 18 years and over prison population (end of June figures)\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 4,100 | 4,100 | 4,300 |\n| Jun-16 | 3,900 | 4,100 | 4,600 |\n| Jun-17 | 3,800 | 4,100 | 4,700 |\n| Jun-18 | 3,600 | 4,100 | 4,800 |\n| Jun-19 | 3,600 | 4,200 | 4,900 |\n| Jun-20 | 3,500 | 4,200 | 4,900 |\n\nTable A13: Projected 15-17 years old prison population (end of June figures) 11\n\n| | Sentencing Scenarios | Sentencing Scenarios | Sentencing Scenarios |\n|--------|------------------------|------------------------|------------------------|\n| | Scenario 1 | Central | Scenario 2 |\n| Jun-15 | 700 | 700 | 600 |\n| Jun-16 | 800 | 800 | 500 |\n| Jun-17 | 800 | 800 | 500 |\n| Jun-18 | 800 | 800 | 500 |\n| Jun-19 | 800 | 700 | 500 |\n| Jun-20 | 800 | 800 | 500 |", - "page_start": 20, - "page_end": 20, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## 3a) Producing prison population projections\n\nPrison population projections are produced using the Prison Population StockFlow Model. The principal sub-populations in prison - determinate sentence, life sentence, imprisonment for public protection (IPP) and remand - are modelled using stock-flow structures based on the generic structure shown in Figure B2. The stock-flow structures model the flow of offenders into and out of prison and count the resulting prison population at the end of each month.\n\nFigure B2: Generic stock-flow structure in the Prison Population Stock-Flow Model\n\n\n\nFor the determinate population, the monthly inflows to prison are based on the custodial convictions projections described above. These custodial convictions include offenders that may already be serving a sentence for a previous crime or those who would serve their whole custodial sentence on remand, meaning that they would not be a new reception to prison. To convert from custodial convictions to prison receptions we apply a conversion ratio derived from the historical proportions of custodial convictions to prison receptions for each sub-population averaged over the last twelve months of historical data (April 2013 to March 2014 inclusive).\n\nMonthly outflows for the determinate population are based on observed custodial sentence lengths and the observed percentage of sentence length served taken from October 2013 to April 2014. Each projected offender that enters the model is given a custodial sentence length that is randomly selected from the relevant distribution. These distributions are populated with custodial sentence lengths from actual offender receptions who share the same characteristics of offence, gender and age group in the observed time period. The percent of custodial sentence length served is derived in the same manner, except that the observed distribution is made up of discharged offenders further disaggregated by custodial sentence length band.\n\nFor offenders who receive the new EDS sentence an adjustment is made to the percent of custodial length served to reflect that these offenders will spend a greater proportion of their sentence in custody than standard determinate sentenced offenders discharged to date.\n\nProjected prison receptions are sub-divided by age category (Juvenile, Young Adult, Adult) with the exact age of the offender attributed in the same manner as the custodial sentence lengths. This allows the model to explicitly age the offenders whilst in prison (e.g. move from Juvenile to Young Adult categories).", - "page_start": 26, - "page_end": 26, - "source_file": "legal4_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal4_opengouvernementlicense.pdf", - "query": "What is the phone number of the Ministry of Justice press office ?", - "target_page": 30, - "target_passage": "Press enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Contact Points for further information\n\nCurrent and previous editions of this publication are available for download from www.justice.gov.uk/publications/statistics-and-data/index.htm\n\nPress enquiries should be directed to the Ministry of Justice press office, telephone: 020 3334 3536\n\nOther enquiries about these statistics should be directed to:\n\nJustice Statistics Analytical Services Ministry of Justice 7th Floor 102 Petty France London SW1H 9AJ\n\nGeneral enquiries about the statistical work of the Ministry of Justice can be emailed to: statistics.enquiries@justice.gsi.gov.uk\n\nGeneral information about the official statistics system of the UK is available from www.statistics.gov.uk", - "page_start": 29, - "page_end": 29, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "Alternative format versions of this report are available on request from the Ministry of Justice at statistics.enquiries@justice.gsi.gov.uk\n\n© Crown copyright Produced by the Ministry of Justice", - "page_start": 30, - "page_end": 30, - "source_file": "legal4_opengouvernementlicense.pdf" - }, - { - "text": "## FOR FURTHER INFORMATION, PLEASE CONTACT\n\n## Investor Relations\n\n## Nissan Motor Co., Ltd.\n\nGlobal Communications, CSR and IR Division 17-1, Ginza 6-chome, Chuo-ku Tokyo 104-8023, Japan phone: +81(0)3-5565-2334 fax: +81(0)3-3546-2669 e-mail: nissan-ir@mail.nissan.co.jp\n\n## Corporate Information Website\n\nhttp://www.nissan-global.com/\n\n## Investor Relations Website\n\nhttp://www.nissan-global.com/EN/IR/", - "page_start": 111, - "page_end": 111, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## GETTING IN TOUCH WITH THE EU\n\n## In person\n\nAll over the European Union there are hundreds of Europe Direct centres. You can /find the address of the centre nearest you online (european-union.europa.eu/contact-eu/meet-us\\_en).\n\n## On the phone or in writing\n\nEurope Direct is a service that answers your questions about the European Union. You can contact this service:\n\n - · by freephone: 00 800 6 7 8 9 10 11 (certain operators may charge for these calls),\n - · at the following standard number: +32 22999696,\n - · via the following form: european-union.europa.eu/contact-eu/write-us\\_en.\n\n## FINDING INFORMATION ABOUT THE EU\n\n## Online\n\nInformation about the European Union in all the o/fficial languages of the EU is available on the Europa website (european-union.europa.eu).\n\n## EU publications\n\nYou can view or order EU publications at op.europa.eu/en/publications. Multiple copies of free publications can be obtained by contacting Europe Direct or your local documentation centre (european-union.europa.eu/contact-eu/meet-us\\_en).\n\n## EU law and related documents\n\nFor access to legal information from the EU, including all EU law since 1951 in all the o/fficial language versions, go to EUR-Lex (eur-lex.europa.eu).\n\n## EU open data\n\nThe portal data.europa.eu provides access to open datasets from the EU institutions, bodies and agencies. These can be downloaded and reused for free, for both commercial and non-commercial purposes. The portal also provides access to a wealth of datasets from European countries.", - "page_start": 162, - "page_end": 162, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "\n\n\n\n## Corporate Headquarters\n\n110 SE 6th Street, 28th Floor, Fort Lauderdale, Florida 33301 Phone: (954) 769-2400 · Fax: (954) 769-2664 · www.republicservices.com", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| | la r3,msgtxt 01360005 |\n| | slr r0,r0 01370000 wto text=(r3),mf=(E,wtoe) 01380005 |\n| j exit exit 01390000 | |\n| | 01400000 |\n| | exit ds 0h 02260000 |\n| | 02250000 |", - "page_start": 279, - "page_end": 279, - "source_file": "sg246915.pdf" - }, - { - "text": "Contract number: ECHA/2019/355\n\naudits and investigations.", - "page_start": 38, - "page_end": 38, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "\n\nBack cover\n\n\n\nISBN 0738458376 SG24-8459-00\n\n", - "page_start": 269, - "page_end": 269, - "source_file": "sg248459.pdf" - }, - { - "text": "| iezwpl 03040005 | |", - "page_start": 280, - "page_end": 280, - "source_file": "sg246915.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is SOLR ?", - "target_page": 4, - "target_passage": "Search engine used for portal content search and dataset search ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Figure 9.1 The DL Query Tab\n\n\n\n## 9.2 SPARQL Queries\n\nSPARQL is a powerful language, and one could write a whole book about it. In fact, there are books written about it. The best one I have seen is the O'Reilly book Learning SPARQL by Bob DuCharme. This is an excellent book that not only goes into SPARQL but into topics such as RDF/RDFS and how triples are used to represent all information in OWL. I will only touch on those issues here, there is much more to say about them and DuCharme's book is a great place to learn more. If some of the following is a bit hard to understand don't be discouraged. This is just an attempt to give a very high level introduction to something that requires significant study to really understand.\n\nEssentially SPARQL is to the Semantic Web and Knowledge Graphs as SQL is to relational databases. Just as SQL can do more than just query, it can also assert new information into a database, so SPARQL can as well. The current SPARQL plugins for Protégé are somewhat limited and don't support the statements such as INSERT for entering new data so we will just cover the basics of using SPARQL as a query language but keep in mind there is a lot more to it than what we briefly cover here.\n\n## 9.21 Some SPARQL Pizza Queries\n\nTo start with go to the SPARQL Query tab. If it isn't already there you can as always add it using Window>Tabs>SPARQL Query. This tab consists of two views, the top which holds the query and the bottom which holds the results. There should be some text already there. It may look confusing, but we'll explain it. Just to start with hit the Execute button at the bottom of the tab. You should see a bunch of classes and class expressions returned.", - "page_start": 67, - "page_end": 67, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## PREFIX pizza: \n\nWe are almost ready to query the actual ontology. For our first query let's find all the Pizzas purchased by a Customer. The SPARQL code for this is:", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## 13.3.3 Retrieval testing\n\nThe goal of retrieval testing is to verify that, under stressful system conditions, the maximum number of concurrent users can be served while at the same time the system meets the business requirements. The following process is a good general approach to retrieval testing of the system:", - "page_start": 329, - "page_end": 329, - "source_file": "sg246915.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nTable 1-2: Abbreviations and Acronyms\n\n| Acronym | Description |\n|-----------|--------------------------------------|\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "## 10.3.1 Migrating index data\n\nIndex migration is the process by which Content Manager OnDemand moves index data from the database to archive storage. Index migration optimizes database storage space. With index migration, you can maintain index data for a long time. You typically migrate index data only after users no longer need to access the reports. However, for legal or other requirements, you often must maintain data for a number of months or years.", - "page_start": 248, - "page_end": 248, - "source_file": "sg246915.pdf" - }, - { - "text": "## Document indexing\n\nDocument indexing is used for reports that contain logical items, such as customer name or number. Each of the items in a report can be individually indexed on values, such as account number, customer name, and balance. Content Manager OnDemand supports up to 128 index values per item. With document indexing, the user is not necessarily required to know about reports or report cycles to retrieve a document from Content Manager OnDemand.\n\n## Report indexing\n\nReport indexing is used for reports that contain many pages of the same type of data, such as a transaction log. Each line in the report usually identifies a specific transaction, and it is not cost-effective to index each line. Content Manager OnDemand stores the report as groups of pages and indexes each group.\n\nWhen reports include a sorted transaction value (for example, transaction date and number), Content Manager OnDemand can index the data on the transaction value. This indexing is done by extracting the beginning and ending transaction values for each group of pages and storing the values in the database. This type of indexing lets users retrieve a specific transaction value directly.\n\n## 1.3 Content Manager OnDemand server and its components\n\nOn IBM z/OSfi and Multiplatforms (MP) systems, the Content Manager OnDemand server can be implemented as a library server and one or more object servers that are on one or more nodes that are connected to a Internet Protocol network. For the Content Manager OnDemand system overview, see Figure 1-1 on page 5.\n\n## 1.3.1 Library server and object server\n\nA Content Manager OnDemand library server maintains two sets of database tables:\n\n - /SM590000 The first set of database tables contains indexes about the reports that are stored in the Content Manager OnDemand Archive.\n - /SM590000 The second set of database tables contains information about the objects that are defined to the system, such as users, groups, printers, application groups, applications, folders, cabinets, and storage sets.\n\nThe database manager provides the database engine and utilities to administer the database. The library server processes client logons, queries, and print requests and updates to the database. The major functions that run on the library server are the request manager, the database manager, and the server print manager.\n\nA Content Manager OnDemand object server maintains documents on cache storage volumes and an ASM. ASMs, such as Tivoli Storage Manager on Multiplatform systems, OAM on z/OS systems, or ASM on IBM i systems, allow hierarchical storage management techniques to be applied to the stored documents. An object server loads data, retrieves documents, and expires documents. The major functions that run on an object server are the cache storage manager, data loading and maintenance programs, and optionally, the ASM.\n\nThe basic Content Manager OnDemand configuration is a library server and an object server on the same physical system or node. This single library or object server configuration supports the database functions and cache storage on one system. You can add an ASM to the single library or object server configuration to maintain documents on archive media.", - "page_start": 33, - "page_end": 33, - "source_file": "sg246915.pdf" - }, - { - "text": "Indexing parameters include information that allows the OS/400 indexer to identify key items in the print data stream, tag these items, and create index elements that point to the tagged items. The OS/400 indexer uses the tag and index data for efficient and structured search and retrieval. You specify the index information that allows the OS/400 indexer to segment the data stream into individual items called groups . A group is a collection of one or more pages. You define the bounds of the collection, for example, a bank statement, insurance policy, phone bill, or other logical segment of a report file. A group can also represent a specific number of pages in a report. For example, you might decide to segment a 10,000 page report into groups of 100 pages. The OS/400 indexer creates indexes for each group. Groups are determined when the value of an index changes (for example, account number) or when the maximum number of pages for a group is reached.\n\nFigure 7-4 on page 182 illustrates the data indexing and flow control for OS/400 indexer. For more information about the OS/400 Indexer, see IBM Content Manager OnDemand Indexing Reference , SC19-3354.", - "page_start": 204, - "page_end": 204, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 Introduction to full text search in Content Manager OnDemand\n - /SM590000 Full text search architecture in Content Manager OnDemand", - "page_start": 358, - "page_end": 358, - "source_file": "sg246915.pdf" - }, - { - "text": "## Server Based Sorting option\n\nThe Server Based Sorting option (Figure 3-8 on page 56) is used to sort the document hit list on the server before it is returned to the client.\n\nImportant: Sorting might still occur on the client if any of the following items are true:\n\n - /SM590000 Multiple application groups are searched. (The folder contains multiple application groups.)\n - /SM590000 The search query is too long or too complex for a single SQL statement.\n - /SM590000 The user specifies the Append option.\n\n## Text Search\n\nText Search (Figure 3-9) is used to search documents that contain a specific word or phrase before the document hit list is built. Only documents that contain the specified word or phrase are returned as part of the hit list. The search takes place on the server.\n\nFigure 3-9 shows the Text Search option in the Field Definition tab of the Add a Folder window.\n\nFigure 3-9 Text Search\n\n\n\nBy using Text Search, a user can further qualify a search without adding the processing that is associated with adding and maintaining additional index fields to the database. Text search is performed on the documents that match the criteria for the other query fields. For example, if the other query fields are date and account number, a text search is performed on the documents that match the specified date and account number. If the document contains the text search string, it is returned as part of the hit list. Text search fields are not mapped to database fields.", - "page_start": 80, - "page_end": 80, - "source_file": "sg246915.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.7 SPARQL Manager\n\nThe SPARQL Manager provides a graphical user interface (GUI) for sending user defined queries to the Virtuoso SPARQL query engine.\n\nThe powerful SPARQL Protocol and RDF Query Language are primarily aimed at professionals for querying metadata as Linked Data. A basic knowledge of the DCAT-AP specification is highly recommended.\n\nIn the future, users of the SPARQL Manager will be able to save their queries for scheduled execution. Additionally a notification will be send to the user when a result has changed.\n\nClicking the info icon in the upper right corner will display a step-by-step walkthrough of all components with a short info about their function.\n\nThis is possible in both of modes of the SPARQL Manager, the search and the assistant mode, which will be described in the following sections.\n\n## 3.7.1 SPARQL Search\n\n\n\nIn this mode you can load some predefined example queries from the right side into the editable text area to introduce yourself with the very basic SPARQL syntax. Limiting the number of returned results is possible by selecting a value from the Limit-dropdown or by editing the query directly. Furthermore the format for the result can be selected. After clicking the Search-Button the result is displayed in Result data preview area below. The preview may be truncated depending on the size of the result. The complete result could always be downloaded as a file by clicking the Download-link on the right side.", - "page_start": 53, - "page_end": 53, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "What is the function of the Graphical Data Visualisation Tool module ?", - "target_page": 6, - "target_passage": "How to visualize graphical data from a dataset resource ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.4 Graphical Data Visualisation Tool\n\nThis section describes the features of the graphical visualisation tool for numeric data. The features are currently available for XLS (Excel) and CSV files, except for the selection of the sheet name which is applicable only for Excel files.\n\nMost GUI elements from th e 'Graph' tab (records selection, search box, filters and fields buttons) are al so available on the 'Grid' tab and work in the same way.\n\n## 3.4.1 How to visualize graphical data from a dataset resource\n\nAs a result of a dataset search, the system displays on th e 'Dataset' tab all distributions (resource/data files) that are part of the selected dataset. Each XLS or CSV distribution of the dataset can be further explored by clicking on ' Open Visualization ' under the ' Options ' button -if available.\n\n", - "page_start": 42, - "page_end": 42, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "| 4 | Graphical Data Visualisation Tool | How to visualize graphical data from a dataset resource |\n| 5 | Help Desk | How to contact The Portal's Help Desk |\n| 6 | Metadata Quality Assurance (MQA) | Monitoring tool for the metadata quality: - The Global Dashboard View - The Catalogue details view |\n| 7 | SPARQL Manager | How to run SPARQL Queries using: - SPARQL Search |", - "page_start": 5, - "page_end": 5, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.3 Visualization of Geo-Spatial Data (map.apps)\n\nThe visualization of geo-spatial data within the European Data Portal provides previewing functionality for spatial open data. The aim is to allow the user to assess if a dataset meets specific requirements in terms of spatial and thematic coverage. The functionality that is provided in the header (links to disclaimers and language switching) is consistent in the entire portal.\n\n## 3.3.1 How to visualize geo-spatial data from a dataset resource\n\nAccessing the geo-spatial visualization is achieved via the Data Platform interface. A user searches for specific data, enters the dataset view of reasonable results and displays the available distributions (see Section 3.2.5). If a dataset distribution is supported by the geo-spatial visualization, a globe button is displayed (see Figure 3). This is the entry point into the map viewer application. Supported formats are OGC Web Map Service (WMS) and GeoJSON. If the user visits the geo-spatial visualization for the first time, an interactive user tutorial is provided to guide the use through specific functions of the user interface, similar to this written user manual.\n\nFigure 3 -Dataset Resource Page with Link to Geo-Spatial Visualisation.\n\n", - "page_start": 37, - "page_end": 37, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\nFigure 5 -Feature Info tool.\n\n\n\nThe different disp layed layers can be examined using the 'Legend' tool. If the external service provides legend graphics, the user can interpret the given symbology and temporarily disable the display of layers (see Figure 6).\n\nFigure 6 -Legend tool.\n\n", - "page_start": 39, - "page_end": 39, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "| | Figure 2: EDP Home Page (lower part) .................................................................................................... 9 |\n| Figure 3 | - Dataset Resource Page with Link to Geo-Spatial Visualisation. ........................................... 38 |\n| Figure 4 | - Selection of layers................................................................................................................. 39 |\n| Figure 5 | - Feature Info tool. .................................................................................................................. 40 |\n| Figure 6 | - Legend tool. .......................................................................................................................... 40 |\n| Figure 7 - Disclaimer and tutorial buttons. ........................................................................................... 41 | Figure 7 - Disclaimer and tutorial buttons. ........................................................................................... 41 |\n| Figure 8 - Error message dialog. ........................................................................................................... 42 | Figure 8 - Error message dialog. ........................................................................................................... 42 |", - "page_start": 2, - "page_end": 2, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Step 3: The Graph Tab\n\nClick on the graph tab in order to display the corresponding graph.\n\n\n\n - 1. Selection of the sheet name\n - 2. Button to go back to the 'G rid ' view\n - 3. Selection of a range of data records\n - 4. Search box\n - 5. Filters button to open the filters form\n - 6. Fields button to open the fields box\n - 7. Select box to select the graph type\n - 8. Select box to select the group column (Axis 1)\n - 9. Select box to select the series A (Axis 2)\n - 10. Button to add series", - "page_start": 44, - "page_end": 44, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nThe two buttons on the bottom right of the map viewer (see Figure 7) can be used to display an informational disclaimer and to start the user interface tutorial.\n\nFigure 7 -Disclaimer and tutorial buttons.\n\n\n\nIn some cases the user might experience the display of an error message. The geo-spatial visualization tries to support all flavors of external services but cannot guarantee to work with broken services. In these situations an error message dialog is presented and the user can decide if a support ticket shall be opened (see Figure 8).", - "page_start": 40, - "page_end": 40, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nBy clicking on the 'All data' icon , the system starts displaying all datasets across all data categories from the entire repository.\n\nThe user can scroll through the datasets found by using the pagination at the bottom of the page.", - "page_start": 23, - "page_end": 23, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "Figure 44. Data Entry Grid Export to Excel screen\n\n", - "page_start": 29, - "page_end": 29, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "Figure 7-3 Capturing text with the PDF graphical indexer\n\n", - "page_start": 194, - "page_end": 194, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf", - "query": "How to view “Tweets” on the EDP ?", - "target_page": 20, - "target_passage": "The Home Page displays the latest tweets on the European Data Portal in the “Tweets” panel on the right hand side. ‐ ‐ Click on any of the tweets to display the complete tweet on twitter. Scroll vertically to see previous tweets. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.1.5 How to view 'Tweets' on the EDP\n\nThe Home Page displays the latest tweets on the European Data Portal in the 'Tweets' pa nel on the right hand side.\n\n - -Click on any of the tweets to display the complete tweet on twitter.\n - -Scroll vertically to see previous tweets.\n\n", - "page_start": 19, - "page_end": 19, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "| 3.1.1 | How to browse through the Editorial Content of the Portal ......................................... 10 | |\n| 3.1.2 | How to view / search for 'Latest News' ....................................................................... 17 | |\n| 3.1.3 | How to view / search for 'Open Data Events' .............................................................. 18 | |\n| 3.1.4 | How to subscribe to the EDP Newsletter ...................................................................... 19 | |\n| 3.1.5 | How t o view 'Tweets' on the EDP ................................................................................ 20 | |\n| 3.1.6 | How to switch to another User Language ..................................................................... 21 | |\n| 3.1.7 | How to search for EDP Site Content .............................................................................. 22 | |\n| 3.1.8 | How to Search for Datasets by Data Category .............................................................. 23 | |", - "page_start": 1, - "page_end": 1, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "| | Module Name | Function |\n|----|-----------------------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 1 | Portal HomePage | (how to access Resources on Open Data: eLearning modules, Training Companion, Reports about Open Data) - How to vi ew / search for 'Latest News' - How to view / search for 'Open Data Events' - How to subscribe to the EDP Newsletter - How to view 'Tweets' on the EDP - How to switch to another User Language |\n| 2 | Datasets (Data Platform) | - How to search for Datasets by Keyword Entering the Datasets-View |\n| | | How to filter datasets by using 'Faceted Search' |\n| | | How to store personal queries |\n| | | How to download dataset distributions |\n| | | How to view licensing information How to switch to another user language |\n| | | How to browse by data catalogues |\n| 3 | Visualization of Geo-Spatial Data (map.apps) | How to visualize geo-spatial data from a dataset resource |", - "page_start": 5, - "page_end": 5, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "- 75. Newman, T.P. Tracking the release of IPCC AR5 on Twitter: Users, comments, and sources following the release of the Working Group I Summary for Policymakers. Public Underst. Sci. 2017 , 26 , 815-825. [CrossRef]\n - 76. Segerberg, A.; Bennett, W.L. Social media and the organization of collective action: Using Twitter to explore the ecologies of two climate change protests. Commun. Rev. 2011 , 14 , 197-215. [CrossRef]\n - 77. Statista. Number of Monthly Active Twitter Users Worldwide from 1st Quarter 2010 to 1st Quarter 2019 (in Millions). 2019. Available online: https: // www.statista.com / statistics / 282087 / number-of-monthly-activetwitter-users / (accessed on 10 October 2019).\n - 78. Liu, Y.; Kliman-Silver, C.; Mislove, A. The tweets they are a-changin': Evolution of Twitter users and behavior. In Proceedings of the Eighth International AAAI Conference on Weblogs and Social Media, Ann Arbor, MI, USA, 1-4 June 2014.", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "Given our goal of exploring the di GLYPH<11> erence between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to di GLYPH<11> erentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained '#globalwarming'. The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a. Given our goal of exploring the difference between the two discourses, the 615,816 tweets containing both hashtags simultaneously were excluded to differentiate between the two datasets following [67,80]. A total of 6,662,478 tweets were retained, of which 5,774,747 contained #climatechange, and 887,731 contained '#globalwarming'. The number of qualified tweets containing #climatechange and #globalwarming in each year is displayed in Figure 1a.\n\nTo collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study. To collect these tweets, we used a Python-based crawler to send requests to the Twitter server to select hashtags, language, start date, and end date as inputs. Once the first request was completed, the server responded with a file in json format and the first 20 qualified tweets in a time-descending order. By parsing the json file, we obtained a string for the crawler to build the next request and obtain the next 20 tweets. Thus, a loop was written to keep the crawler sending requests and the crawler was automatically terminated when all the qualified tweets publicly available were collected. Our crawler respected Twitter's robot.txt and we did not collect, analyze or display any user information in our study.\n\nFigure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 ( a ). The number of hashtags contained in the 'climate change' or 'global warming' datasets, and their ratio from 2009 to 2018 ( b ). Figure 1. The number of tweets containing #climatechange or #globalwarming, and their ratio from 2009 to 2018 ( a ). The number of hashtags contained in the 'climate change' or 'global warming' datasets, and their ratio from 2009 to 2018 ( b ).\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed10.pdf" - }, - { - "text": "- 58. Yang, L.; Sun, T.; Zhang, M.; Mei, Q. We know what@ you# tag: Does the dual role a GLYPH<11> ect hashtag adoption? In Proceedings of the 21st international conference on World Wide Web, Lyon, France, 16-20 April 2012; pp. 261-270.\n - 59. Weller, K.; Dröge, E.; Puschmann, C. Citation Analysis in Twitter: Approaches for Defining and Measuring Information Flows within Tweets during Scientific Conferences. In Proceedings of the Making Sense of Microposts 2011, Heraklion, Greece, 30 May 2011; pp. 1-12.\n - 60. Meraz, S. Hashtag wars and networked framing: The private / public networked protest repertoires of occupy on twitter. In Between the Public and Private in Mobile Communication ; Routledge: Abingdon, UK, 2017; pp. 303-323.\n - 61. Meraz, S.; Papacharissi, Z. Networked gatekeeping and networked framing on# Egypt. Int. J. Press. 2013 , 18 , 138-166.\n - 62. Papacharissi, Z.; de Fatima Oliveira, M. A GLYPH<11> ective news and networked publics: The rhythms of news storytelling on# Egypt. J. Commun. 2012 , 62 , 266-282.\n - 63. Wang, X.; Wei, F.; Liu, X.; Zhou, M.; Zhang, M. Topic sentiment analysis in twitter: A graph-based hashtag sentiment classification approach. In Proceedings of the 20th ACM International Conference on Information and Knowledge Management, Scotland, UK, 24-28 October 2011; pp. 1031-1040.\n - 64. Laniado, D.; Mika, P. Making sense of twitter. In Proceedings of the International Semantic Web Conference 2010, Shanghai, China, 7-11 November 2010; pp. 470-485.\n - 65. Gonz á lez-Ib á nez, R.; Muresan, S.; Wacholder, N. Identifying sarcasm in Twitter: A closer look. In Proceedings of the 49th Annual Meeting of the Association for Computational Linguistics: Human Language Technologies: Short Papers-Volume 2, Portland, OR, USA, 19-24 June 2011; pp. 581-586.\n - 66. Conover, M.D.; Ratkiewicz, J.; Francisco, M.; Gonçalves, B.; Menczer, F.; Flammini, A. Political polarization on twitter. In Proceedings of the Fifth International AAAI Conference on Weblogs and Social Media, Barcelona, Spain, 17-21 July 2011.\n - 67. Kitzie, V.; Ghosh, D. # Criming and# Alive: Network and content analysis of two sides of a story on twitter. In Proceedings of the 78th ASIS&T Annual Meeting: Information Science with Impact: Research in and for the Community, St. Louis, MO, USA, 6-10 October; 2015; p. 41.\n - 68. Burgess, J.; Galloway, A.; Sauter, T. Hashtag as hybrid forum: The case of# agchatoz. In Hashtag Publics. The Power and Politics of Discursive Networks ; Peter Lang: New York, NY, USA, 2015; pp. 61-76.\n - 69. Rushko GLYPH<11> , D. 17. Permanent revolution: Occupying democracy. In The Playful Citizen ; Amsterdam University Press: Amsterdam, The Netherlands, 2013; p. 335.\n - 70. Grundberg, M.D.; Lindgren, S. Translocal frame extensions in a networked protest: Situating the# IdleNoMore hashtag. IC Rev. Cient í fica De Inf. Y Comun. 2015 , 11 , 49-57.\n - 71. Bruns, A.; Burgess, J.E. # ausvotes: How Twitter covered the 2010 Australian federal election. Commun. Politics Cult. 2011 , 44 , 37-56.\n - 72. Pearce, W.; Holmberg, K.; Hellsten, I.; Nerlich, B. Climate change on Twitter: Topics, communities and conversations about the 2013 IPCC Working Group 1 report. PLoS ONE 2014 , 9 , e94785. [CrossRef]\n - 73. Zhao, W.X.; Jiang, J.; Weng, J.; He, J.; Lim, E.P.; Yan, H.; Li, X. Comparing twitter and traditional media using topic models. In Proceedings of the European Conference on Information Retrieval, Dublin, Ireland, 18-21 April 2011; pp. 338-349.\n - 74. Doctor, V. Hashtag History: When and What Started It? Available online: https: // www.hashtags.org / featured / hashtag-history-when-and-what-started-it / (accessed on 16 January 2020).", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed10.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.1.2 How to view / search for 'Latest News'\n\nThe Home Page displays the latest 4 news items in the 'Latest News' panel on the left hand side.\n\n - -Click on any of the 4 news items to display the complete news article (here: item#1).\n - -Or click on 'More news' in order to fin d previously published news articles in the news archive.\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - }, - { - "text": "All the hashtags in the tweets were automatically extracted with the Regular Expression Library in Python. Hashtags were transformed to lowercase letters, and clear synonyms were stemmed (e.g., #trump, #DonaldTrump, #donaldtrump). As all the tweets in the 'climate change' dataset contained the #climatechange hashtag and all the tweets in the 'global warming' dataset contained the #globalwarming hashtag, we did not document these two hashtags when processing data. The number of hashtags contained in the two discourses in each year is displayed in Figure 1b. Hashtags whose frequency was lower than ten times are excluded in the network analysis. As hashtags are intended to be a topic anchor [52], extremely low frequency means that the hashtag is not recognized socially, and excluding them helps researchers focus on meaningful rather than occasional associations.\n\n## 3.3. Measurement\n\n## 3.3.1. Hashtag Co-Occurrence Network\n\nThe co-occurrence patterns of hashtags in tweets from two datasets were documented to build semantic networks for climate change and global warming. For instance, for '#cimatechange redistributes #fish species at high latitudes. @\\_OScience @AarhusUni #Arctic', a tweet in the climate change dataset, hashtags #fish and #arctic were documented as co-occurring and their associations plus one in the semantic network of climate change. In the semantic network, nodes represent hashtags and the weight of edge refers to the frequency at which two hashtags co-occurred.\n\nWe visualized the network using Gephi software [81]. Following the established literature [60,61,82], only the most prominent hashtags were included in the visualization to concentrate our analysis on the most important hashtags. In this research, the top 50 hashtags with the highest centrality in each network were selected for visualization. Modularity analysis was then analyzed to identify the clusters of hashtags in each semantic network, and hashtags belonging to the same cluster were drawn in the same color. The network spatialization was conducted with Gephi's built-in force-directed layout algorithm proposed by Fruchterman and Reingold [83], where the more associated the hashtags, the closer they are to each other in the spatial layout.\n\n## 3.3.2. Temporal Analysis\n\nAtemporal analysis was introduced to understand the evolution of the two climate discourses over a long period. We first examined how the two semantic networks evolved in the past years. All the nodes once ranked top 50 in any of the 10 years were gathered to form a union set for each dataset. Then, they were clustered according to the strength of their associations in the whole dataset and mapped with a force-directed layout algorithm in Gephi to produce a graph of nodes. With the dynamic network function supplied by Gephi, we then added the associations between the nodes ranked on the top 50 list in 2009 to the graph of nodes and obtained the relationship of the top 50 nodes for 2009. Similarly, we produced a total of 10 graphs from 2009 to 2018, where the positions of the nodes on the 10 maps are the same, but the strengths of their associations are di GLYPH<11> erent to represent the changes in the associations of key hashtags for each discourse.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed10.pdf" - }, - { - "text": "Note: The AFP viewer plug-in, which is available with ODWEK and Content Manager OnDemand, is a version of the AFP viewer plug-in from the InfoPrint Solutions Company. Although the standard InfoPrint viewer can be used for viewing AFP, the ODWEK version uses direct communication with the Content Manager OnDemand server, enabling segmented document transfer for LOB documents.\n\n## Annotations\n\nOnly the native ODWEK viewers and the Windows client support annotations. These viewers and Windows clients support annotations in the following ways:\n\n - /SM590000 Line data applet: Supports text. Starting with version 9, the viewer can work with graphical annotations, also.\n - /SM590000 Windows Client: Supports maximum capabilities for all data types.\n - /SM590000 Other viewers, for example, the AFP plug-in viewer: Do not support and are not aware of annotations.\n\nWeb clients, such as Content Navigator or the ODWEK Java API, can work with annotations and provide access to them through the hit list. Graphical annotations cannot be accessed that way because they are not exposed through the Java API.\n\n## Large object support\n\nLarge object (LOB) support is the methodology for working with large reports. For more information about how LOB affects your reports, see 'Large object' on page 52.", - "page_start": 212, - "page_end": 212, - "source_file": "sg246915.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## 3.1.7 How to search for EDP Site Content\n\nIn order to search within the Portal's site content (i.e. editorial content, articles, events, reports etc.), enter any keyword in the 'Search site content' text box and click on the button .\n\n\n\nThe site will display all matching content found (here for keywo rd ' Brussels '):\n\n\n\n## Note:\n\nThe 'Search site content' does not perform any search on datasets.\n\nIn order to search for datasets from the EDP Home page, the user should refer to section 3.2.", - "page_start": 21, - "page_end": 21, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "Where can we open a document saved on OneDrive ?", - "target_page": 2, - "target_passage": "When you save this document in OneDrive, you’ll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## Word\n\n## Create something\n\nBegin with a Blank document to get right to work. Or start with a template to save yourself time and steps. Just select File > New , and then select or search for the template you want.\n\n\n\n\n\n## Access files anywhere\n\nNeed to work on the go and across different devices? Click File > Account to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n\n\n## Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the Table Design and Layout tabs, which offer additional options.\n\n\n\n## Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting File > Open takes you to your recently used documents and any files that you may have pinned to your list.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n\n\n## Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\nTry it: Select File > Save As , and then select OneDrive and give this document a name.\n\n\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share , and send a link to this document. (keyboard shortcut - Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n## Add visuals with pictures from the web\n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures , and then search for something, like puppy clip art .\n- 2. Select the picture you want, and select Insert .", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "- 1. Open the FlashCopy window from the Copy Services → FlashCopy menu.", - "page_start": 502, - "page_end": 502, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Open the FlashCopy window from the Copy Services → FlashCopy menu.", - "page_start": 503, - "page_end": 503, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Open the FlashCopy window from the Copy Services → FlashCopy menu.", - "page_start": 501, - "page_end": 501, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Open the Copy Services FlashCopy Mappings window.", - "page_start": 506, - "page_end": 506, - "source_file": "sg247938.pdf" - }, - { - "text": "On Multiplatforms and z/OS, you can aggregate documents that are loaded from Content Manager OnDemand Web Enablement Kit (ODWEK) before you store them in the archive. The document is stored to cache where it is appended to the storage object until the object reaches 10 MB (defined storage object size), at which point it is migrated to a storage manager, such as Tivoli Storage Manager. For more information about this topic, see the following website:\n\nhttp://www.ibm.com/support/docview.wss?uid=swg21587507", - "page_start": 310, - "page_end": 310, - "source_file": "sg246915.pdf" - }, - { - "text": "- 1. Open the FlashCopy, Consistency Groups, or FlashCopy Mappings window.", - "page_start": 508, - "page_end": 508, - "source_file": "sg247938.pdf" - }, - { - "text": "Tell us about your PDF experience.\n\n## Microsoft 365 PDF Accessibility\n\nArticle • 11/26/2024\n\nMicrosoft 365 Apps for Windows including Word, Excel, and PowerPoint allow users to export documents in PDF format. Furthermore, add-ins can use the object model to automate PDF export using either the exporter built in to each app or their own exporter that implements the IMsoDocExporter COM interface.\n\nAn important part of exporting to PDF is writing PDF/UA tags that provide the semantic information to preserve the accessibility of the content. This allows people with disabilities to consume the PDF using assistive technologies such as screen readers. This documentation provides details about the PDF/UA tags written by the exporter built in to Word, Excel, and PowerPoint as well as the APIs that add-ins need to implement to provide their own exporter.\n\n## Extending Office PDF Export\n\nExtending Office PDF Export\n\n## Office 2024\n\nOffice 2024 PDF Accessibility Improvements\n\n## Excel\n\nExcel PDF Accessibility\n\nExcel.Workbook.ExportAsFixedFormat\n\n## PowerPoint\n\nPowerPoint PDF Accessibility\n\nPowerPoint.Presentation.ExportAsFixedFormat3\n\n## Word\n\nWord PDF Accessibility", - "page_start": 0, - "page_end": 0, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the bold keyboard shortcut on word ?", - "target_page": 4, - "target_passage": "Bold (keyboard shortcut: Ctrl+B)", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Make your meaning more visual by formatting text\n\n\n\nTo format text, select it, and then select a button in the Font or Paragraph area on the Home tab.\n\nTry it: Select text in the lines below and choose formatting options so that the text is an example of the formatting it's describing:\n\n\n\nPro tip: If you selected whole words for this exercise, did you notice that Word popped up a little toolbar, with the font formatting options?\n\n\n\nBetween that and keyboard shortcuts like Ctrl+B and Ctrl+I, you save time by not having to go up to the Home tab all the time.", - "page_start": 3, - "page_end": 3, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Word\n\n## Find whatever you need\n\nType a keyword or phrase into the Search box to quickly find the Word features and ribbon commands you're looking for, to discover Help content, or to get more information online .\n\n\n\n\n\n## Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.\n\n\n\n## Next steps with Word\n\n## See what's new in Office\n\nExplore the new and improved features in Word and the other Office apps. Visit https://go.microsoft.com/fwlink/?linkid=871117 for more information.\n\n## Get free training, tutorials, and videos for Office\n\nReady to dig deeper into the capabilities that Word has to offer? Visit https://go.microsoft.com/fwlink/?linkid=871123 to explore our free training options.\n\n## Send us your feedback\n\nLove Word? Got an idea for improvement to share with us? On the File menu, select Feedback and then follow the prompts to send your suggestions directly to the Word product team. Thank you!\n\n## Share your work with others\n\nTo invite others to view or edit your documents, select the Share button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "name is meant to be entered into a field it will only be highlighted rather than highlighted and printed in Consolas font.\n\nMenu options are shown with the name of the top-level menu, followed by a > followed by the next level down to the desired selection. For example, to indicate how to open the Individuals by class tab under the Tabs section in the Window menu the following text would be used: Window>Tabs> Individuals by class.\n\nWhen a word or phrase is emphasized, it is shown in italics like this .\n\nExercises are presented like this:\n\n## Exercise 1: Accomplish this\n\n\n\n\n\n\n\n\n\n\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n- 1. Do this.\n- 2. Then do this.\n- 3. Then do this.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nPotential pitfalls and warnings are presented like this.\n\nTips and suggestions related to using Protégé are presented like this.\n\nExplanations as to what things mean are presented like this.\n\nGeneral notes are presented like this.\n\nVocabulary explanations and alternative names are presented like this.", - "page_start": 5, - "page_end": 5, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- /SM590000 Helvetica-Bold\n - /SM590000 Helvetica-BoldOblique\n - /SM590000 Helvetica-Oblique\n - /SM590000 Times-Roman\n - /SM590000 Times-Bold", - "page_start": 189, - "page_end": 189, - "source_file": "sg246915.pdf" - }, - { - "text": "## Get help with Word\n\n\n\nThe Tell me search box takes you straight to commands and Help in Word.\n\n## Try it: Get help:\n\n - 1. Go to Tell me what you want to do at the top of the window.\n - 2. Type what you want to do.\n\nFor example, type:\n\n -  Add watermark to quickly get to the watermark command.\n -  Help to go to Word help.\n -  Training to see the list of Word training courses.\n -  What's new for a list of the most recent updates to Word\n\n## Let us know what you think\n\nPlease give us feedback on this template, so we can provide content that's truly useful and helpful. Thanks!\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## SELECTING COLUMNS\n\nIf you want to make changes to an entire column , such as bolding all of the headings in a column or changing the font of all the cell entries, you must first select the column. This is done by\n\nclicking on the column header directly above the column. Remember that any changes you make will apply to every cell in the column all the way down to row 1,048,576!\n\n## Try This Yourself:\n\n\n\n - Sa m e File file with this exercise, or open the file E705 Ranges\\_1.xlsx...\n\nContinue using the previous\n\n -  Press + to make cell A1 the active cell\n -  Move the mouse pointer to the column heading for column B\n - Notice that the mouse pointer changes to a black arrow pointing down the column…\n -  Click once to select the column\n - This time the row headers\n - change to orange to indicate that at least one cell (but not all) in each row is selected…\n -  Click in cell D6 and press\n\n+\n\nThis key combination also selects an entire column…\n\n -  Click on the column header for column B to select it\n -  Hold down and click on the column header for column D\n - This time, columns B, C, and D are all selected…\n -  Click in the column header for column A , then hold down the left mouse button and drag the mouse pointer across the column headings to column E\n\n## For Your Reference…\n\n## To select an entire column :", - "page_start": 18, - "page_end": 18, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## SELECTING ROWS\n\nIf you want to make changes to an entire row , such as bolding all of the headings in a row or changing the font of all the cell entries, you must first select the row. This is done by clicking on the\n\nrow header to the left of the row. Remember that any changes you make will apply to every cell in the row all the way across to column XFD, so be careful!\n\n## Try This Yourself:\n\n\n\nContinue using the previous file with this exercise, or open the file E705 Ranges\\_1.xlsx...\n\nPress\n\n+\n\nto make cell\n\nA1\n\n\n\nthe active cell\n\n\n\n -  Move the mouse pointer to the row heading for row 5\n - Notice that the mouse pointer changes to a black arrow that points towards the row…\n -  Click once on row heading 5 to select the entire row\n\nClick in cell\n\nB7\n\nand press\n\n+\n\n\n\nThis is the key combination for selecting an entire row…\n\n -  Click on the row header for row 7 to select this row\n -  Hold down and click on the row header for row 10\n\nAll rows from 7 to 10 will be selected…\n\n -  Click in the row header for row 5 , then hold down the left mouse button and drag down the row headers to row 10\n\nThis is another technique for selecting rows, but it does require a steady hand!\n\n## For Your Reference…\n\nTo select an entire row :\n\n - 1. Click on the row header of the row that you want to select\n\n## OR\n\n - 1. Click in any cell in the row and press +\n\n\n\n## Handy to Know…\n\n -  When every cell in a row or column is selected, the corresponding row or column header is filled in dark blue. When only some of the cells are selected, the row or column header is filled in orange. These indicators help you locate the active cell(s) on the worksheet.\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Word\n\n## Get writing suggestions\n\nWith Editor , bring out your best writing. Editor helps you bring out your best writing by giving you intelligent writing suggestions. It also calculates an Editor Score based on the number and types of suggestions you have yet to address. Select an underlined word or phrase to accept or ignore a suggestion.\n\n\n\n## Review and track changes\n\nWhether you just want to check spelling, keep your word count in check, or fully collaborate with other people, the Review tab has essential commands to track, discuss, and manage all of the changes made to your documents.\n\n\n\n\n\n## View who else is typing\n\nCo-authoring Word documents that are shared on OneDrive or on a SharePoint site happens in real-time, which means you can easily view where other authors are making changes in the same document that you're currently working in.\n\n\n\n## Format with styles\n\nStyles lets you create, apply, and review the formatting styles in your current document. To open it, select the Home tab, and then select the small arrow in the lower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "- /SM590000 Courier\n - /SM590000 Courier-Bold\n - /SM590000 Courier-BoldOblique\n - /SM590000 Courier-Oblique\n - /SM590000 Helvetica", - "page_start": 189, - "page_end": 189, - "source_file": "sg246915.pdf" - }, - { - "text": "## NAVIGATING IN A FILE\n\nArrow Keys\n\nMove one cell to the right, left, up or down\n\nTab\n\nMove once cell to the right\n\nCtrl+Home\n\nTo beginning file\n\nCtrl+End\n\nTo end of typed information\n\nHome\n\nBeginning of a line\n\nEnd\n\nEnd of a line\n\nPage Down\n\nDown one screen\n\nPage Up\n\nUp one screen\n\nF5\n\nTo a specific page\n\nScroll bars\n\nAppear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document.", - "page_start": 5, - "page_end": 5, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "welcome_to_word_template.pdf", - "query": "What is the advise to make the style sets and themes work well ? ", - "target_page": 6, - "target_passage": "They work best when your document is formatted with styles", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Give your doc an instant makeover\n\n\n\nStyle sets and themes let you completely change the look of your document in an instant. They work best when your document is formatted with styles (so it's good that we fixed that Heading style, above).\n\nTry it: Explore style sets and themes:\n\n - 1. On the Design tab, select Themes , and choose a theme from the drop-down. Notice that the gallery of style sets updates to reflect the theme you picked.\n - 2. Select any theme you like from the drop-down and click to apply.", - "page_start": 5, - "page_end": 5, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Make magic: use Heading styles\n\nThe heading for this part ('Make magic: use Heading styles') looks the same as the other headings in this document, but it's not as useful. It's formatted with font settings (font, size, and color), while the other headings are formatted with a Heading style (Heading 1, to be exact).\n\n\n\nSee the little triangle when you mouse over those other headings?\n\nYou can collapse and expand everything under a heading, like an outline. But this one's not working. Let's fix it.\n\n## Try it: Apply the Heading 1 style:\n\n - 1. Put your cursor somewhere in the heading above ('Make magic: use Heading styles') don't select anything.\n - 2. On the Home tab, find Styles , and select Heading 1 (keyboard shortcut Ctrl+Alt+1).\n\nTa-da! Now it looks like a heading, and acts like one too.", - "page_start": 4, - "page_end": 4, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## CHANGING THE CHART STYLE\n\nThe style of a chart refers to its colour scheme and overall appearance and can impact the clarity of the content of the chart. Choosing a predefined chart style can save valuable time\n\n## Try This Yourself:\n\nSa m e F i le\n\nContinue using the previous file with this exercise, or open the file E1317 Charting\\_9.xlsx...\n\n Click on the Revenue Chart worksheet tab to see the chart, then click anywhere on the chart to select it\n\n -  Click on the Chart Styles tool to the right of the chart to see a gallery of style options, as shown\n -  Scroll through the gallery and point to each style to see how your chart will look in Live Preview\n -  Scroll to and click on Style 9\n -  Click on the Chart Styles tool to the right of the chart to close the gallery\n -  Click on the Chart Data\n\nworksheet tab\n\n\n\n## For Your Reference…\n\n## To change the chart style :", - "page_start": 54, - "page_end": 54, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## For Your Reference…\n\n## To change the chart layout :\n\n - 1. Ensure the chart or chart sheet is selected\n - 2. Click on the CHART TOOLS: DESIGN tab, then click on Quick Layout in the Chart Layouts group\n - 3. Select the desired layout\n\nelements of the chart are placed within the chart. Different layout options can therefore change the appearance of your chart and its readability.\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  Chart layouts are predefined themes created by Microsoft. Even if you choose one of these layouts you can still make your own modifications to the way the elements and objects are positioned and how they appear.", - "page_start": 53, - "page_end": 53, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Exercise 2: Set the Preferences for New Entities and Rendering\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. Click on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that tab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts with Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to Auto-generated name change it to User supplied name. That is the parameter most likely to be different but also check the other two as well.\n\n - 2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity rendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don't worry if this doesn't completely make sense at this point. The issues here are a bit complex and subtle so we defer them until after you have an understanding of the basic concepts of what an OWL ontology is. We will have a discussion of these details below in chapter 7. For now you just need to make sure that the preferences are set appropriately to work with the rest of the tutorial.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nFigure 4.1: The New entities tab\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- - Clear Customization", - "page_start": 204, - "page_end": 204, - "source_file": "sg247938.pdf" - }, - { - "text": "- 4. Your UI should now look similar to figure 5.5. Select OK to enter the new value. Run the reasoner.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nFigure 5.5 hasCaloricContent for MargheritaPizza1\n\n\n\n\n\nOne of the most common sources of errors in ontologies is to have the wrong datatype for data property values. The sooner you catch these errors, the easier they are to debug so it is a good idea to run the reasoner frequently after you enter any values. Note that in some versions of Protégé 5.5. there is a minor bug where the UI may lock up due to an inconsistent data value (e.g., a string value in a property typed for integer). If this happens the best thing to do is save your work if possible, quit Protégé, and then restart it. When you restart it fix the datatype errors before you run the reasoner and then run the reasoner to make sure you actually have fixed the error.\n\nExercise 30: Create More Instances and Data Property Values\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Remain in the Individuals by class tab. Click on other Pizzas and create instances of them (apx. 5-10) and then fill in their caloric content with values ranging from 200 to 800. Try to have about half of your pizzas higher than 400 calories and half less than 400. The UI retains the datatype from the previous use so once you define the first caloric content you shouldn't need to set the datatype again but it is always a good idea to make sure it is correct, in this case: xsd:integer .\n - 2. It is a good idea to adhere to an intuitive naming standard for your instances such as as we did for MargheritaPizza1 . Depending on the classes you instantiate your pizzas should have names like MargheritaPizza2 , SohoPizza1 , etc.", - "page_start": 54, - "page_end": 54, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "PETS\n\nSEASONAL\n\nSENIORS\n\nSPANISH\n\nTIPS AND HOW TO\n\nENTERTAINMENT\n\nCAREER\n\nCOMMUNITY\n\nFAMILY\n\nTIPS\n\nINTERNET\n\nHUMAN\\_INTEREST\n\nBEAUTY\n\nARTS\n\nREALESTATE\n\nSAFETY\n\nMEDICINE\n\nBOOK\\_REVIEW\n\nRECIPE\n\nAFRICAN\\_AMERICANS\n\nHOW\\_TO\n\nBYLINED\\_COLUMN\n\nCHARITY\n\nSPORTS\n\nHOME\\_IMPROVEMENT\n\nTECH\n\nWELLNESS\n\nARTS AND ENTERTAINMENT\n\nFOOD & DRINK\n\nREAL\\_ESTATE\n\nVETERANS\n\nOUTDOORS\n\nREAL ESTATE\n\nHUMAN INTEREST\n\nMONEY & FINANCE\n\nFASHION & BEAUTY", - "page_start": 2, - "page_end": 2, - "source_file": "news3.pdf" - }, - { - "text": "| Type of content | Tags |\n|---------------------------------------------------------|-----------------------------------------------|\n| Decorative Object | |\n| | no tags |\n| Object with Alt Text | |\n| |
Alt= alt text (object type) |\n| Object other than Shape without Alt Text | |\n| | no tags |\n| Shape without Alt Text with whitespace text or no text | |\n| |
Alt= blank |\n| | Alt= equation spelled out in words |\n| Shape without Alt Text with non-whitespace text without | |\n| Equation | text content |\n| Equation |
Alt= alt text + text (shape type) |", - "page_start": 50, - "page_end": 50, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Number | Improvement | Word | Excel | PowerPoint |\n|----------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------|---------|--------------|\n| 74 | Removed unnecessary tags for text with justified or distributed alignment | | | Yes |\n| 75 | Removed unnecessary tags for text runs with different formatting | | | Yes |\n| 76 | Removed unnecessary tags for text formatting marks such as highlight | | | Yes |\n| 77 | Removed unnecessary tags for WordArts that have text on a path | Yes | Yes | Yes |\n| 78 | Removed unnecessary tags for WordArts that have warped text | Yes | Yes | Yes |\n| 79 | Removed unnecessary tags for graphical effect on WordArts such as shadow and reflection | Yes | Yes | Yes |\n| 80 | Removed unnecessary tags for the slide background in PowerPoint for macOS and web | | | Yes |\n| 81 | Removed unnecessary

tags | Yes | | |\n| 82 | Fixed a problem in Word where Save as Adobe PDF did not preserve headings properly | Yes | | |\n| 83 | Fixed a problem in PowerPoint where and were omitted for empty Table Cells | | | Yes |\n| 84 | Fixed a problem in PowerPoint where Hyperlinks to slides within the presentation were going to the bottoms of the slides rather than the tops of the slides | | | Yes |", - "page_start": 41, - "page_end": 41, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "Where are the peaks of the VHE blazars ?", - "target_page": 1, - "target_passage": " VHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 5.1. Recent VERITAS Blazar Discoveries\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHEemission from 3C66A was discovered by VERITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (Γ VHE ∼ 4 . 1). RGBJ0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both 'quiescent' and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VERITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0 . 3 < z < 0 . 7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n## Acknowledgments\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation of the instrument.\n\n## References\n\n - [1] F. Aharonian et al. 2007, ApJ , 664 , L71\n - [2] F. Aharonian et al. 2006, Nature , 440 , 1018\n - [3] F. Aharonian et al. 2007, A&A , 475 , L9\n - [4] J. Holder, et al. 2008, AIPC , 1085 , 657\n - [5] L. Costamante & G. Ghisellini 2002, A&A , 384 , 56\n - [6] E.S. Perlman 2000, AIPC , 515 , 53\n - [7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n - [8] P. Giommi et al. 2005, A&A , 434 , 385\n - [9] S. Turriziani et al. 2007, A&A , 472 , 699\n - [10] L. Costamante 2006, arXiv:0612709\n - [11] P. Padovani et al. 2002, ApJ , 581 , 895\n - [12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n - [13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n - [14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n - [15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n - [16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n - [17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n - [18] L.C. Reyes 2009, arXiv:0907.5175\n - [19] R.A. Ong 2009, ATel , 1941\n - [20] R.A. Ong et al. 2009, ATel , 2272\n - [21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n - [22] R.A. Ong et al. 2009, ATel , 2301\n - [23] R.A. Ong et al. 2009, ATel , 2260\n - [24] R.A. Ong et al. 2009, ATel , 2309\n - [25] W. Benbow 2009, arXiv:0908.1412\n - [26] V.A. Acciari et al. 2009, ApJ , submitted\n - [27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n - [28] V.A. Acciari et al. 2009, ApJ , in press\n - [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 2. VERITAS\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ -rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼ 100 GeV, an energy resolution of ∼ 15%, an angular resolution of ∼ 0.1 · , and a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "What are the blazars observed in the discovery program ?", - "target_page": 2, - "target_passage": "The blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. How ever, the program also includes IBLs (intermediate peaked) and LBLs (low-peaked), as well as flat spec trum radio quasars (FSRQs), in an attempt to in crease the types of blazars known to emit VHE γ-rays.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 5.1. Recent VERITAS Blazar Discoveries\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHEemission from 3C66A was discovered by VERITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (Γ VHE ∼ 4 . 1). RGBJ0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850 µ m observations, and the open triangles represent the 1mm observations.\n\n\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0 . 03 ≤ z ≤ 2 . 19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## 2.1. Submillimeter Properties\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\nν e L ν e = 4 πD 2 L ν obs F obs 1 + z , (1)\n\nwhere D L is the luminosity distance, ν obs is the frequency of the observed band, and F obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850 µ m), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the 'tail' to the left is populated by objects with errors larger than the intrinsic variability.\n\n\n\nflux (in erg cm -2 s -1 Hz -1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H 0 = 71 km s -1 Mpc -1 , Ω M = 0 . 27, and Λ = 0 . 73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of α γ , we define spectral energy index as νF ν = ν -α S and calculate α S from the average of the energy spectral indices over the corresponding three months. We only calculate α S for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850 µ m during this time frame.\n\n## 3. VARIABILITY ANALYSIS\n\n## 3.1. Variability Index\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\nV = ( F max -σ F max ) -( F min + σ F min ) ( F max -σ F max ) + ( F min + σ F min ) (2)\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both 'quiescent' and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VERITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0 . 3 < z < 0 . 7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n## Acknowledgments\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation of the instrument.\n\n## References\n\n - [1] F. Aharonian et al. 2007, ApJ , 664 , L71\n - [2] F. Aharonian et al. 2006, Nature , 440 , 1018\n - [3] F. Aharonian et al. 2007, A&A , 475 , L9\n - [4] J. Holder, et al. 2008, AIPC , 1085 , 657\n - [5] L. Costamante & G. Ghisellini 2002, A&A , 384 , 56\n - [6] E.S. Perlman 2000, AIPC , 515 , 53\n - [7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n - [8] P. Giommi et al. 2005, A&A , 434 , 385\n - [9] S. Turriziani et al. 2007, A&A , 472 , 699\n - [10] L. Costamante 2006, arXiv:0612709\n - [11] P. Padovani et al. 2002, ApJ , 581 , 895\n - [12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n - [13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n - [14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n - [15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n - [16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n - [17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n - [18] L.C. Reyes 2009, arXiv:0907.5175\n - [19] R.A. Ong 2009, ATel , 1941\n - [20] R.A. Ong et al. 2009, ATel , 2272\n - [21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n - [22] R.A. Ong et al. 2009, ATel , 2301\n - [23] R.A. Ong et al. 2009, ATel , 2260\n - [24] R.A. Ong et al. 2009, ATel , 2309\n - [25] W. Benbow 2009, arXiv:0908.1412\n - [26] V.A. Acciari et al. 2009, ApJ , submitted\n - [27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n - [28] V.A. Acciari et al. 2009, ApJ , in press\n - [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0770.pdf", - "query": "How many VHE blazar candidates were observed by VERITAS between September 2007 andJune 2009 ?", - "target_page": 3, - "target_passage": "More than 50 VHE blazar candidates were observed by VERITAS betweenSeptember 2007 andJune 2009.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 5.1. Recent VERITAS Blazar Discoveries\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHEemission from 3C66A was discovered by VERITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (Γ VHE ∼ 4 . 1). RGBJ0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 2. VERITAS\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ -rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼ 100 GeV, an energy resolution of ∼ 15%, an angular resolution of ∼ 0.1 · , and a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both 'quiescent' and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VERITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0 . 3 < z < 0 . 7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n## Acknowledgments\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation of the instrument.\n\n## References\n\n - [1] F. Aharonian et al. 2007, ApJ , 664 , L71\n - [2] F. Aharonian et al. 2006, Nature , 440 , 1018\n - [3] F. Aharonian et al. 2007, A&A , 475 , L9\n - [4] J. Holder, et al. 2008, AIPC , 1085 , 657\n - [5] L. Costamante & G. Ghisellini 2002, A&A , 384 , 56\n - [6] E.S. Perlman 2000, AIPC , 515 , 53\n - [7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n - [8] P. Giommi et al. 2005, A&A , 434 , 385\n - [9] S. Turriziani et al. 2007, A&A , 472 , 699\n - [10] L. Costamante 2006, arXiv:0612709\n - [11] P. Padovani et al. 2002, ApJ , 581 , 895\n - [12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n - [13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n - [14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n - [15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n - [16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n - [17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n - [18] L.C. Reyes 2009, arXiv:0907.5175\n - [19] R.A. Ong 2009, ATel , 1941\n - [20] R.A. Ong et al. 2009, ATel , 2272\n - [21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n - [22] R.A. Ong et al. 2009, ATel , 2301\n - [23] R.A. Ong et al. 2009, ATel , 2260\n - [24] R.A. Ong et al. 2009, ATel , 2309\n - [25] W. Benbow 2009, arXiv:0908.1412\n - [26] V.A. Acciari et al. 2009, ApJ , submitted\n - [27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n - [28] V.A. Acciari et al. 2009, ApJ , in press\n - [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "For which language have been introduced the ActiveInference.jl library ?", - "target_page": 1, - "target_passage": " We introduce a new software package for the Julia programming language, the library ActiveInference.jl.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "In this paper, we introduce ActiveInference.jl , a new software library for Julia [28] that aims to provide easy-to-use tools for model fitting with AIF models and to introduce AIF to the growing community of researchers using Julia for computational psychiatry and cognitive modelling. Julia is a free and open-source high-level programming language that retains an easy user interface reminiscent of that in MATLAB and Python. Simultaneously,", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Julia uses its 'just-in-time' (JIT) compilations via the LLVM framework to approach the speed of languages like C without relying on external compilers [36]. Julia is also natively auto-differentiable, which means it can solve what is called the two-language problem (i.e., that high-level languages often have to rely on lower-level languages, either for performance or for auto-differentiability; this is the case with standard tools for cognitive modelling, where languages like R [37] must rely on external languages like STAN [38] for Bayesian model fitting). This means that ActiveInference , in conjunction with Turing [39], Julia's powerful library for Bayesian model fitting, and its newly developed extension for behavioural modelling, ActionModels , makes it possible to use cutting-edge Markov Chain Monte Carlo [40] methods, as well as variational methods [35], for Bayesian model fitting with AIF. Crucially, this allows researchers to not only simulate AIF in a fast programming language, but to also fit them to empirical behaviour, as is performed in cognitive modelling and computational psychiatry. Importantly, this also places AIF models in an ecosystem of other models for computational psychiatry so that it can easily be compared with models, like Hierarchical Gaussian Filters [41], and reinforcement learning models, like the classic Rescorla-Wagner model [42]. As part of making ActiveInference.jl available to the scientific community, and to the larger software ecosystem within computational psychiatry, it is implemented as part of the Translational Algorithms for Psychiatry-Advancing Science (TAPAS) ecosystem [43].\n\nIn the next section, we provide a conceptual and formal introduction to AIF, particularly in the context of using POMDP generative models. In Section 3, we demonstrate how to use the package in practice, both for simulation and parameter estimation. In Section 4, we give a fully worked example of how ActiveInference can be used with a concrete simulated dataset. Finally, we discuss potential applications and future directions for developing the package.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "\n\n\n\nArticle\n\n## Introducing ActiveInference.jl : A Julia Library for Simulation and Parameter Estimation with Active Inference Models\n\n\n\nSamuel William Nehrer 1,† , Jonathan Ehrenreich Laursen 1,† , Conor Heins 2,3, * , Karl Friston 3,4 ,\n\nChristoph Mathys 5 and Peter Thestrup Waade 5\n\n- 1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; 202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n- 2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n- 3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n- 4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n- 5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); ptw@cas.au.dk (P.T.W.)\n- * Correspondence: cheins@ab.mpg.de\n- † These authors contributed equally to this work.\n\nAbstract: We introduce a new software package for the Julia programming language, the library ActiveInference.jl . To make active inference agents with Partially Observable Markov Decision Process (POMDP) generative models available to the growing research community using Julia, we re-implemented the pymdp library for Python. ActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive and behavioural modelling, as it is used in computational psychiatry, cognitive science and neuroscience. This means that POMDP active inference models can now be easily fit to empirically observed behaviour using sampling, as well as variational methods. In this article, we show how ActiveInference.jl makes building POMDP active inference models straightforward, and how it enables researchers to use them for simulation, as well as fitting them to data or performing a model comparison.\n\nKeywords: active inference; free energy principle; predictive processing; Markov decision process; cognitive modelling; Julia\n\nPACS: 87.15.Aa\n\nMSC: 91-08\n\nJEL Classification: C63\n\n## 1. Introduction\n\nWe introduce a novel software library for Julia, ActiveInference , which lets users produce the simulated behaviour of agents and their internal belief states with active inference (AIF) models, as well as fit such models to empirically observed behaviour. AIF [1-3] is a generally applicable formal framework for understanding and simulating intelligent behaviour that is based in neurobiology and first principles from statistical physics [4-8]. AIF treats action and perception as unified under a joint imperative: to minimise the variational free energy ( VFE ), which quantifies how well the agent's internal generative model explains incoming sensory observations. It is an upper bound on the the surprise from sensory observations, making AIF formally related to prediction error\n\n\n\nAcademic Editor: Astero Provata\n\nReceived: 25 October 2024 Revised: 2 January 2025 Accepted: 7 January 2025\n\nPublished: 12 January 2025\n\nCitation: Nehrer, S.W.; Ehrenreich Laursen, J.; Heins, C.; Friston, K.; Mathys, C.; Thestrup Waade, P. Introducing ActiveInference.jl : A Julia Library for Simulation and Parameter Estimation with Active Inference Models. Entropy 2025 , 27 , 62. https://doi.org/10.3390/e27010062\n\nCopyright: ©2025 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https://creativecommons.org/ licenses/by/4.0/).", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Figure 4.2 Renderer tab\n\n\n\nFigure 4.3: The Active Ontology Tab with a New Comment\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "parameter recovery and predictive checks. In this section, we outline how to use ActiveInference for simulation and model fitting in conjunction with ActionModels . In the following section, we show how to achieve this on a concrete worked example.\n\n## 4. Usage Example\n\nIn this section, we demonstrate a full usage example of how to create an AIF agent, simulate behaviour in a classic T-maze environment and fit the AIF agent to a simulated example dataset. We provide the necessary code to run this simulation. All code required to reproduce the example simulation can be found in an open source OSF repository osf.io/j3k5q/. This example was performed with the current version of ActiveInference.jl (0.1.1); the newest version can be found at github.com/ilabcode/ActiveInference.jl.\n\n## 4.1. Setting Up Environment and Agent\n\nAT-maze is a simple task commonly employed in the behavioural sciences, as well as in the AIF literature [14,54-57]. It is a minimal type of task that requires balancing exploration and exploitation, or epistemic and pragmatic value, respectively. It is also suitably represents in a discrete state space. Together, this makes it easily compatible with a POMDP-based AIF approach.\n\nThe structure of the T-maze is, as the name suggests, a T-shaped maze, consisting of a centre location, a cue location (bottom of the T), and reward and loss locations (one in each arm of the T) (Figure 2). On every trial, the agent can move to one of the two arms of the T to receive a reward; one, called the reward location, will yield rewards with a higher probability than the other side. At the cue location, which the agent can move to, the agent receives a cue that indicates which of the locations is the reward location. Generally, the cue may be more or less informative; in this example, it always accurately reflected the reward conditions state (reward in the right or left arm). The reward location only provides a reward probabilistically. This means the agent can either take a chance and go directly to one of the two upper arms, or spend its first move seeking information about where the reward is before moving to the reward location. Since the clue location is not preferred, the second option comes with a cost in terms of pragmatic value, which has to be outweighed by the epistemic value in resolving uncertainty about the reward location state. Note that for the agent to realise that this uncertainty reduction will aid it in its subsequent choice of arm, it would have to be able to anticipate the effect of its actions on its own future beliefs, a process called 'sophisticated inference' [58].\n\nFigure 2. Adepiction of the T-maze. ( A ) The full layout of the T-maze task, with the centre location, the cue location and the two reward conditions. ( B ) A three-step example of a T-maze trial. The agent (in this case, a mouse) starts at the centre location. In order to reduce the uncertainty regarding which arm the reward is located in, the agent moves to the cue location. The cue location reveals the right arm to be the reward location, and in the subsequent time step, it goes to the right arm and observes the reward with some probability.\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## References", - "page_start": 18, - "page_end": 18, - "source_file": "arxiv1.pdf" - }, - { - "text": "## Exercise 2: Set the Preferences for New Entities and Rendering\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. Click on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that tab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts with Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to Auto-generated name change it to User supplied name. That is the parameter most likely to be different but also check the other two as well.\n\n - 2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity rendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don't worry if this doesn't completely make sense at this point. The issues here are a bit complex and subtle so we defer them until after you have an understanding of the basic concepts of what an OWL ontology is. We will have a discussion of these details below in chapter 7. For now you just need to make sure that the preferences are set appropriately to work with the rest of the tutorial.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nFigure 4.1: The New entities tab\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## A Practical Guide to Building OWL Ontologies\n\n## Using Protégé 5.5 and Plugins\n\nEdition 3.0\n\n## 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## ?customer ?relation ?relatedToCustomer.}\n\nThis would be much less intuitive than the user defined names. There are good reasons to use autogenerated names, especially for large ontologies that are implemented in multiple natural languages. However, for new users, especially those who plan to use SPARQL and SHACL, I think it is more intuitive to start with user supplied names and then progress to auto-generated names if and when the requirements show a true need for them. This approach to developing software incrementally rather than to attempt to design the perfect system that can scale for all possible future requirements is known as the Agile approach to software development. In my experience Agile methods have proven themselves in countless real-world projects to deliver better software on time and on budget than the alternative waterfall approach. For more on Agile methods see: https://www.agilealliance.org/agile101/\n\nThis just gives you a basic overview of some of the things that can be done with SPARQL. There is a lot more and if you are interested you should check out DuCharme's book or some of the many SPARQL tools and tutorials on the web. Some of these are in the bibliography.\n\nOne final point: features of OWL and SWRL that new users frequently find frustrating are the Open World Assumption (OWA) and lack of non-monotonic reasoning. The OWA was discussed in chapter 4.13. Non-monotonic reasoning will be discussed in section 11.1. For now, though remember that SPARQL is not subject to either of these restrictions. With SPARQL one can do non-monotonic reasoning and leverage the more common Closed World Assumption (CWA). E.g., one can test if the value for a property on a specific instance exists or not and can take actions if that property does not exist.", - "page_start": 71, - "page_end": 71, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "## Chapter 1 Introduction\n\nThis introduces Protégé 5 for creating OWL ontologies as well as various plugins. If you have questions specific to this tutorial, please feel free to email me directly: mdebellissf@gmail.com However, if you have general questions about Protégé, OWL, or plugins you should subscribe to and send an email to the User Support for Protégé and Web Protégé email list. This list has many people (including me) who monitor it and can contribute their knowledge to help you understand how to get the most out of this technology. To subscribe to the list, go to: https://protege.stanford.edu/support.php and click on the first orange Subscribe button. That will enable you to subscribe to the list and give you the email to send questions to.\n\nThis chapter covers licensing and describes conventions used in the tutorial. Chapter 2 covers the requirements for the tutorial and describes the Protégé user interface. Chapter 3 gives a brief overview of the OWL ontology language. Chapter 4 focuses on building an OWL ontology with classes and object properties. Chapter 4 also describes using a Description Logic Reasoner to check the consistency of the ontology and automatically compute the ontology class hierarchy.\n\nChapter 5 describes data properties. Chapter 6 describes design patterns and shows one design pattern: adding an order to an enumerated class. Chapter 7 describes the various concepts related to the name of an OWL entity.\n\nChapter 8 introduces an extended version of the Pizza tutorial developed in chapters 1-7. This ontology has a small number of instances and property values already created which can be used to illustrate the tools in the later chapters for writing rules, doing queries, and defining constraints.\n\nChapter 9 describes two tools for doing queries: Description Logic queries and SPARQL queries. Chapter 10 introduces the Semantic Web Rule Language (SWRL) and walks you through creating SWRL and SQWRL rules. Chapter 11 introduces the Shapes Constraint Language (SHACL) and discusses the difference between defining logical axioms in Description Logic and data integrity constraints in SHACL. Chapter 12 has some concluding thoughts and opinions and Chapter 13 provides a bibliography.\n\n## 1.1 Licensing\n\nThis document is freely available under the Creative Commons Attribution-ShareAlike 4.0 International Public License. I typically distribute it as a PDF but if you want to make your own version send me an email and I will send you the Word version. For details on licensing see:\n\nhttps://creativecommons.org/licenses/by-sa/4.0/legalcode\n\n## 1.2 Conventions\n\nClass, property, rule, and individual names are written in Consolas font like this . The term used for any such construct in Protégé and in this document is an Entity . Individuals and classes can also be referred to as objects.\n\nNames for user interface tabs, views, menu selections, buttons, and text entry are highlighted like this.\n\nAny time you see highlighted text such as File>Preferences or OK or PizzaTopping it refers to something that you should or optionally could view or enter into the user interface. If you ever aren't sure what to do to accomplish some task look for the highlighted text. Often, as with PizzaTopping the text you enter into a field in the Protégé UI will be the name of a class, property, etc. In those cases, where the", - "page_start": 4, - "page_end": 4, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "To which system does the AIF apply ?", - "target_page": 2, - "target_passage": "AIF was argued to be applicable to any self organising system that actively maintains a stable boundary that defines its integrity [10], a broad category that includes cells and plants [11], as well as humans [2] and even collectives [12].", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Three 'modes' of running ACIF are available:", - "page_start": 197, - "page_end": 197, - "source_file": "sg246915.pdf" - }, - { - "text": "```\n✞ # Create AIF object aif = init\\_aif( A::Vector{Array{T, N}}, # A-matrices B::Vector{Array{T, N}}; # B-matrices C::Vector{Array{Real}}, # C-matrices (optional) D::Vector{Vector{Real}}, # D-matrices (optional) E::Vector{T}, # E-vector (optional) pA::Union{Vector{Array{T, N}}, Nothing}, # Dirichlet priors for A-matrices (optional) pB::Union{Vector{Array{T, N}}, Nothing}, # Dirichlet priors for B-matrices (optional) pD::Union{Vector{Array{Real}}, Nothing}, # Dirichlet priors for D-vectors (optional) parameters::Dict{String, Real}, # Dictionary containing other parameters (optional) settings::Dict{String, Any} # Dictionary containing settings (optional) ) ✝\n```\n\n```\n✞ # Information about number of states , observations , actions and policy length states = [6] # Six states , single factor observations = [5] # Five observations , single modality controls = [2] # Two actions , single factor policy\\_length = 1 # Length of policies # Generate uniform templates for matrices and vectors of the generative model A, B, C, D, E = create\\_matrix\\_templates(states, observations, controls, policy\\_length) ✝\n```\n\n```\n✞ # We make C take the following form: [0, 0, 0, 0, 1] C[1] = onehot(5,5) # Initialize the single element of the C object with a one-hot vector # D will be: [1, 0, 0, 0, 0, 0] D[1] = onehot(1,6) # Initialize the single element of the D object with a one-hot vector # To make the agent prefer policy 2 E = onehot(2,2) # Initialize as a one-hot encoded vector: [0,1] ✝\n```\n\n☎\n\n✆\n\n☎\n\nA and B are the only mandatory arguments to the init\\_aif function-the other arguments are keyword arguments that default to uniform priors. A , B , C , D and E and their corresponding Dirichlet priors, in the cases of A , B and D , should be formatted as standard array objects. All but E can have multiple modalities/factors (see Section 4), so they should be formatted as vectors of arrays with one array per modality/factor. These arrays can be hand-specified by the user, or be generated with some of the helper functions supplied by ActiveInference . Here, we create an AIF agent equipped with a generative model with six environmental states, five possible observations and two possible actions. Here, we use helper functions to create matrices and vectors with the correct dimensions; in Section 4, we create them manually. First, we define the number of states, observations, controls and the length of policies:\n\n✆\n\n☎\n\nThe A object generated here is a one-dimensional vector containing a uniform 5 × 6 matrix (six states and five observations). The B object is a one-dimensional vector containing a uniform 6 × 6 × 2 array (six states and two actions). The C , D and E objects are onedimensional vectors, each containing uniform vectors with their corresponding sizes. We can now modify these to supply the agent with more informative priors over observations, initial states and policies. Here, we performed this using the onehot function:\n\n✆\n\nWe now create the Dirichlet priors for A , B and D . When we use parameter learning, these are used to define A , B and D defined above, and are updated at every time step. One way to construct Dirichlet priors is to simply multiply the matrices below with a scaling factor; a higher scaling leads to more precise priors that require stronger evidence to update. Here, we use a scaling parameter of 2. In the current version, parameter learning is only implemented for the A , B and D :", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## (ix) Income taxes\n\nThe Group is subject to income taxes in Australia and jurisdictions where it has foreign operations. Significant judgement is required in determining the worldwide provision for income taxes. There are certain transactions and calculations undertaken during the ordinary course of business for which the ultimate tax determination is uncertain. The Group estimates its tax liabilities based on the Group understanding of the tax law. Where the final tax outcome of these matters is different from the amounts that were initially recorded, such differences will impact the current and deferred income tax assets and liabilities in the period in which such determination is made.\n\n## (x) Capitalisation of borrowing costs to exploration, evaluation and development\n\nThe Group's funding of Bowdens Silver Project included borrowings of $35,000,000. In applying the Group's accounting policy on borrowing costs (see Note 2s), the Bowdens Silver Project is considered to be a qualifying asset as defined in AASB 123. As such finance costs in relation to these borrowings have been capitalised as part of the Bowdens Silver Project.\n\n## 4. Segment information\n\nThe Group's operating segments are based on the internal management reports that are reviewed and used by the Board of Directors (chief operating decision maker). The operating segments represent the Group's operating mines and projects and include the following:\n\n - 〉 Chatree Mine, Thailand;\n - 〉 Challenger Mine, South Australia, Australia;\n - 〉 Bowdens Silver Project, New South Wales, Australia;\n - 〉 Nueva Esperanza Silver / Gold Project, Chile; and\n - 〉 Exploration, South East Asia.\n\nInformation regarding the results of each reportable segment is included as follows:", - "page_start": 77, - "page_end": 77, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS\n\n## NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued\n\n## u) Adoption of New and Revised Accounting Standards\n\nDuring the current reporting period the Group adopted all of the new and revised Australian Accounting Standards and Interpretations applicable to its operations which became mandatory. The nature and effect of selected new standards and amendments on the Group's consolidated financial report are described below. Adoption of the other new mandatorily applicable standards did not have a material impact on the financial statement, financial position or performance of the Group.\n\n## AASB 2011-4 Amendments to Australian Accounting Standards to Remove Individual Key Management Personnel\n\n## Disclosure\n\nThis standard removes the requirements to include individual key management personnel disclosures in the notes to and forming part of the Financial Report. This standard also removes the individual KMP disclosure requirements for all disclosing entities in relation to equity holdings, loans and other related party transactions.\n\n## Amendments to IAS 32 Offsetting Financial Assets and Financial Liabilities\n\nThe amendments to IAS 32 clarify the requirements relating to the offset of financial assets and financial liabilities. Specifically, the amendments clarify the meaning of 'currently has a legally enforceable right of set-off' and 'simultaneous realization and settlement'. As the Group does not have any financial assets and financial liabilities that qualify for offset, the application of the amendments has had no impact on the disclosure or the Group's consolidated financial statements.\n\n## Recently issued accounting standards to be applied in future reporting periods:\n\nThe following Standards and Interpretations have been issued but are not yet effective. These are the standards that the Group reasonably expects will have an impact on its disclosures, financial position or performance with applied at a future date. The Group's assessment of the impact of these new standards, amendments to standards, and interpretations is set out below.\n\n## AASB 9/IFRS 9 Financial Instruments\n\nAASB 9/IFRS 9 introduces new requirements for the classification, measurement, and derecognition of financial assets and financial liabilities. The final version of IFRS 9 supersedes all previous versions of the standard. However, for annual periods beginning before 1 January 2018, an entity may elect to apply those earlier versions of IFRS 9 if the entity's relevant date of initial application is before 1 February 2015. The effective date of this standard is for fiscal years beginning on or after 1 January 2018. Management is currently assessing the impact of the new standard but it is not expected to have a material impact on the Group's consolidated financial statements.", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## 35. Australian Equivalents to International Financial Reporting Standards (continued)", - "page_start": 88, - "page_end": 88, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "30. Superannuation Commitments\n\nSantos Ltd and certain controlled entities participate in a number of superannuation funds and pension plans in Australia and the United States of America. From 1 February 2002, three of the more significant employee benefit plans were combined into a single plan which provides benefits either on a defined benefit or cash accumulation basis for employees or their dependants on retirement, resignation, temporary or permanent disablement or death. The employers and employee members make contributions as specified in the rules of the plan.\n\nIn the case of the defined benefit component of the combined plan, employer contributions are based on the advice of the plan's actuary. The most recent actuarial assessment of the plan was undertaken as at 1 January 2004.\n\nThe following is a summary of the Santos Superannuation Plan:\n\n| Type of benefit | Defined benefits and cash accumulation |\n|-----------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Basis of contributions | Percentage of member's salary contributed by member and employer. The employer's percentage reflects the amount to provide an accumulation and the amount recommended by the actuary to provide the defined benefit. |\n| Last actuarial assessment: | |\n| Balance date | 1 January 2004 |\n| Date issued | 20 December 2004 |\n| Name of valuer and qualifications | Kathryn Daniels FIAA |", - "page_start": 83, - "page_end": 83, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## NOTES TO THE CONSOLIDATED FINANCIAL STATEMENTS\n\n## NOTE 1 - STATEMENT OF SIGNIFICANT ACCOUNTING POLICIES continued\n\nDeferred tax assets and liabilities are ascertained based on temporary differences arising between the tax bases of assets and liabilities and their carrying amounts in the financial statements. Deferred tax assets also result where amounts have been fully expensed but future tax deductions are available. No deferred income tax will be recognised from the initial recognition of an asset or liability, excluding a business combination, where there is no effect on accounting or taxable profit or loss.\n\nDeferred tax assets and liabilities are calculated at the tax rates that are expected to apply to the period when the asset recognised or the liability is settled, based on tax rates enacted or substantively enacted at the reporting date. Their measurement also reflects the manner in which management expects to recover or settle the carrying amount of the related asset or liability.\n\nDeferred tax assets relating to temporary differences and unused tax losses are recognised only to the extent that it is probable that future taxable profit will be available against which the benefits of the deferred tax asset can be utilized. Where temporary differences exist in relation to investments in subsidiaries, branches, associates, and joint ventures, deferred tax assets and liabilities are not recognised where the timing of the reversal of the temporary difference can be controlled and it is not probable that the reversal will occur in the foreseeable future.\n\nCurrent tax assets and liabilities are offset where a legally enforceable right of set-off exists and it is intended that net settlement or simultaneous realisation and settlement of the respective asset and liability will occur. Deferred tax assets and liabilities are offset where a legally enforceable right of set-off exists, the deferred tax assets and liabilities relate to income taxes levied by the same taxation authority on either the same taxable entity or different taxable entities where it is intended that net settlement or simultaneous realisation and settlement of the respective asset and liability will occur in future periods in which significant amounts of deferred tax assets or liabilities are expected to be recovered or settled.\n\n## Tax Consolidation\n\nSundance Energy Australia Limited and its wholly-owned Australian controlled entities have agreed to implement the income tax consolidation regime, with Sundance Energy Australia Limited being the head company of the newly consolidated group. Under this regime the group entities will be taxed as a single taxpayer. Whilst this choice is yet to be communicated to the Australian Taxation Office, it is intended to be communicated prior to lodgement of the 31 December 2014 income tax return and will be effective from 1 January 2014. Sundance Energy Australia Limited and its wholly-owned Australian controlled entities intend to enter into a Tax Sharing Agreement and Tax Funding Agreement in due course.\n\nThe head entity of the income tax consolidated group and the controlled entities in the tax consolidated group account for their own current and deferred tax amounts. These tax amounts are measured as if each entity in the tax consolidated group continues to be a standalone taxpayer in its own right.\n\nIn addition to its own current and deferred tax amounts, Sundance Energy Australia Limited, as head company, also recognises the current tax liabilities (or assets) and the deferred tax assets arising from unused tax losses and unused tax credits assumed from controlled entities in the tax consolidated group.", - "page_start": 61, - "page_end": 61, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "- - System A", - "page_start": 579, - "page_end": 579, - "source_file": "sg247938.pdf" - }, - { - "text": "- - System A", - "page_start": 578, - "page_end": 578, - "source_file": "sg247938.pdf" - }, - { - "text": "- - System A", - "page_start": 580, - "page_end": 580, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed7_cc4.pdf", - "query": "What is the definition of POMDP ?", - "target_page": 4, - "target_passage": " The Partially Observable Markov Decision Process is a type of flexible generative model that is widely used in the AIF literature. In discrete time and usually a discrete state space, this model type is parametrised to fit a given task by a set matrices containing probability distributions.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Figure 1. Depiction of a POMDP generative model. This encodes the agent's expectations about how the state s of the environment changes over time t , and how it generates observation o at each time step. A , also called the observation model, describes how environmental states give rise to observations. B , also called the transition model, describes how environmental states change over time, depending on action u (called policy π when structured into sequences). C is the preference prior, which encodes the agent's preferences for observations. This shapes the expected free energy G associated with each policy, which is used for policy selection. D encodes the agent's prior belief over environmental states before making any observations, and E is the prior over policies that determines the agent's preferences for policies in the absence of other motivation.\n\n\n\n## 2.2. Perception in Active Inference\n\nIn AIF, perception is conceptualised as the result of variational (i.e., approximate) Bayesian inference, performed by minimising the VFE to optimise parameters of posterior beliefs about the environment. In exact Bayesian inference, we use a parametrised generative model m to make an optimal inference about state s of the environment based on observation o . This is performed by combining a prior belief over states p ( s | m ) ; a likelihood model p ( o | s , m ) ; and the model evidence p ( o | m ) , a normalisation term encoding the likelihood of receiving the given observations across all possible environmental states, as follows [1]:\n\np ( s | o , m ) = p ( o | s , m ) p ( s | m ) p ( o | m ) (1)\n\nThe posterior distribution over states given observations p ( s | o , m ) here represent the agent's beliefs about the environment. Forming beliefs in this way is thought to be the process that enables conscious, as well as unconscious, perception. The product of the likelihood model and prior is also called the joint likelihood p ( o , s | m ) , which fully defines the generative model, and which we use henceforth. In the following, for notational simplicity, we also omit denoting the dependency on the generative model m .\n\nCalculating the model evidence p ( o ) is often intractable, making exact Bayesian inference unfeasible. The way to circumvent this in AIF is to use a variational approximation to Bayesian inference [23,33,50,51]. This works by transforming the inference into an optimisation problem, specifically the minimisation of the VFE . First, an arbitrary probability distribution over environmental states q ( s ) , an approximate posterior that is used to approximate the exact posterior, is introduced. We then introduce the Kullback-Leibler (KL)", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Alibrary of pre-made canonical POMDP models could be created so that users can easily implement them directly. Alternatives to the fixed-point iteration method for updating posteriors over environmental states could be included, like the marginal message passing algorithm. There are various ways in which the package can be made more computationally efficient, and it could be compared with other software implementations. There are plenty of utility and plotting functions that could be added to the package to make it easier to use and to facilitate integration with the model-fitting packages it relies on; for example, to allow for combining the models with linear regressions to compare parameters values of different populations in a single model. More complex types of POMDP models can also be added, like hierarchical and temporally deep POMDPs. Model structure learning could be considered, where different model structures are compared and chosen between by evaluating their free energies. Sophisticated inference, where predictions are also made about changes in one's own beliefs-depending on expected action-dependent observations in the future-could also be implemented [58]. Finally, the package could be extended to other types of generative models than POMDPs, including other universal models, like generalised filtering [17] and Hierarchical Gaussian Filter models [41], as well as custom", - "page_start": 28, - "page_end": 28, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "FEP\n\nFree energy principle\n\nVFE\n\nVariational free energy\n\nEFE\n\nExpected free energy\n\nMCMC\n\nMarkov Chain Monte Carlo\n\nPOMDP\n\nPartially Observed Markov Decision Process\n\n## References\n\n - 1. Parr, T.; Pezzulo, G.; Friston, K.J. Active Inference: The Free Energy Principle in Mind, Brain, and Behavior ; The MIT Press: Cambridge, MA, USA, 2022. [CrossRef]\n - 2. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; O'Doherty, J.; Pezzulo, G. Active inference and learning. Neurosci. Biobehav. Rev. 2016 , 68 , 862-879. [CrossRef]\n - 3. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; Pezzulo, G. Active inference: A process theory. Neural Comput. 2017 , 29 , 1-49. [CrossRef]\n - 4. Friston, K.J.; Stephan, K.E. Free-energy and the brain. Synthese 2007 , 159 , 417-458. [CrossRef] [PubMed]\n - 5. Friston, K. The free-energy principle: A unified brain theory? Nat. Rev. Neurosci. 2010 , 11 , 127-138. [CrossRef] [PubMed]\n - 6. Friston, K. The free-energy principle: A rough guide to the brain? Trends Cogn. Sci. 2009 , 13 , 293-301. [CrossRef] [PubMed]\n - 7. Friston, K. A free energy principle for a particular physics. arXiv 2019 , arXiv:1906.10184. [CrossRef]\n - 8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but not too simple. Phys. Rep. 2023 , 1024 , 1-29. [CrossRef]\n - 9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. Philos. Trans. R. Soc. B Biol. Sci. 2009 , 364 , 1211-1221. [CrossRef] [PubMed]\n - 10. Karl, F. A Free Energy Principle for Biological Systems. Entropy 2012 , 14 , 2100-2121. [CrossRef]\n - 11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation, and the origins of cognition. Biol. Philos. 2020 , 35 , 32. [CrossRef]\n - 12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. Proc. Natl. Acad. Sci. USA 2024 , 121 , e2320239121. [CrossRef] [PubMed]\n - 13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in Personality, Development, and Mental Illness. Personal. Neurosci. 2018 , 1 , e18. [CrossRef] [PubMed]", - "page_start": 29, - "page_end": 29, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## Core Concepts\n\nAIF\n\nVFE\n\nEFE\n\nGenerative model\n\nPOMDP\n\nA ctive i nference is a formal framework for modelling behaviour and cognition. Perception and action are cast as minimising free energy-the VFE and EFE , respectively-given a generative model of the environment.\n\nThe v ariational f ree e nergy F quantifies how well a generative model explains incoming sensory observations. It can be rewritten as the negative log model evidence (called surprise) upper-bounded by the divergence from the optimal posterior p ( s | o ) . Perception as inference is accomplished by selecting the approximate posterior q ( s ) with the lowest associated VFE .\n\nF [ q ( s ) , o ] ≜ D KL [ q ( s ) ∥ p ( o , s )] = D KL [ q ( s ) ∥ p ( s | o )] ︸ ︷︷ ︸ Divergence -ln p ( o ) ︸ ︷︷ ︸ Surprise\n\nThe e xpected f ree e nergy G quantifies the expected future free energy under an action policy π . It consists of an information gain term and a pragmatic value term that provide a natural balance between exploratory and goal-seeking behaviour. Action as inference is accomplished by selecting the action policy with the lowest associated EFE .\n\nG π = -E q ( ˜ o , ˜ s | π ) [ ln q ( ˜ s | ˜ o , π ) -ln q ( ˜ s | π )] ︸ ︷︷ ︸ Information gain -E q ( ˜ o | π ) [ ln p ( ˜ o | C )] ︸ ︷︷ ︸ Pragmatic value\n\nThe generative model is an agent's formal assumptions about the structure and dynamics of its environment, based on which perceptual and active inferences are carried out. Many types of generative models exist that are suitable for different environments and tasks.\n\nThe P artially O bservable M arkov D ecision P rocess is a type of flexible generative model that is widely used in the AIF literature. In discrete time and usually a discrete state space, this model type is parametrised to fit a given task by a set matrices containing probability distributions.\n\n## 2. Active Inference with POMDPs\n\nIn this section, we briefly describe the core concepts of AIF and POMDPs. This should familiarise the reader with the vernacular used in the later sections regarding the functionalities of the package. While various extensions, such as structure learning, which enables an agent to learn the structure or shape of its environment through model comparison [44-47], or hierarchical and temporally deep POMDPs [48,49], are relevant for future work, describing these in detail is beyond the scope of this foundational paper.\n\nAt the core of AIF lies the minimisation of a variational free energy upper bound on surprise for perception, as well as action. This is motivated by the free energy principle [4-8], which states that self-organising systems can be described as minimising the variational free energy of their sensory states. The minimisation of free energy generally takes two", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Θ is then described by a Dirichlet distribution parametrised by a set of concentration parameters θ :\n\np ( Θ ) = Dir ( Θ | θ ) (19)\n\nThe concentration parameter of a Dirichlet distribution is essentially a non-negative count of how many times the given category (be it a type of observation or state transition) has occurred. The distribution of concentration parameter counts will determine the shape of the estimated categorical probability distribution, while the scale of the concentration parameters will determine the certainty per precision of the belief. Updating beliefs about Θ (the parameters in the matrices) then corresponds to updating these concentration parameters θ with the following update equation:\n\nθ t + 1 = ω ∗ θ t + η ∗ χ t (20)\n\nThe updated value for the concentration parameter ( θ t + 1 ) is found by adding the previous concentration parameter θ t multiplied by a forgetting rate ω to the observed data count χ (either the observation in the case of A learning, or the inferred state or state transition for other matrices) multiplied by a learning rate η . With this relatively simple update equation-which, in essence, amounts to just counting the occurrences of categories-an AIF agent can update its beliefs about the various matrices it uses to make inferences about environmental states. For more details on parameter learning with POMDPs, see [23,33,52].\n\n## 3. Using ActiveInference.jl\n\nIn this section, we provide an overview of the various functions a user will need to operate ActiveInference . This includes functionalities for creating POMDP agents, for simulating behaviour and for fitting the models to data. In the next section, we demonstrate how to use the package on a concrete worked example. ActiveInference is under continual development, and the newest version of the package, including documentation for how to use it, can be found at github.com/ilabcode/ActiveInference.jl.\n\n## 3.1. Creating and Using a POMDP\n\nThe general structure of ActiveInference.jl is heavily inspired by pymdp [23], a Python library for implementing simulations of AIF in discrete state spaces. Those already acquainted with pymdp should find the syntax here familiar. ActiveInference can be installed as normal from the official Julia General Registry using the Julia's native package manager Pkg:\n\nIt can then be loaded into the current project environment:\n\n☎\n\n✆\n\n☎\n\nCentral to the package is the AIF object. This is a structure containing all the components of the generative model, as well as the dynamic belief states and the various settings needed to perform AIF, and is used in conjunction with most of the high-level functions of the package. An AIF object can be created with the init\\_aif function, which takes as arguments the components of the generative model and a dictionary of various settings and parameters:\n\n✆\n\n```\n✞ using Pkg Pkg.add(ActiveInference) ✝\n```\n\n```\n✞ using ActiveInference ✝\n```", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "quantities as its target: the variational free energy ( VFE ) in the case of perception and the expected free energy ( EFE ) in the case of action. The VFE is the free energy associated with a given sensory observation and is resolved perceptually by updating beliefs about the environment. The EFE is the free energy that is expected in the future, contingent on a given policy or course of action. Choosing action policies associated with a low EFE lead to reducing uncertainty about the environment, as well as making preferred observations more likely.\n\n## 2.1. POMDPs in Active Inference\n\nIn AIF, the POMDP is one of the most common families of generative models used to make inferences about the environment. It is a Markovian discrete state-space model, where employing it means representing the environment and observations as inhabiting one among a set of possible (possibly multidimensional) states, and that the changes in these states can only depend on the system's previous state and the agent's actions. Environmental states are not directly observable, so they have to be inferred based on incoming sensory observations. In AIF for POMDPs and other generative models in general, both perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well as the learning of parameters of the generative model (see Section 2.4). Crucially, an agent's generative model does not a priori have to be isomorphic to the true environment (i.e., the data-generating process), although this will generally lead to a successful inference, and that the generative model will therefore often come to resemble the environment through learning.\n\nAdiscrete state-space POMDP in AIF is conventionally defined by five main sets of parameters: A , B , C , D and E [1,33], see Figure 1. Together, these parametrise the agent's prior beliefs about the prior probability of different states in the environment, how states of the environment change and how they generate observations. Typically, they will be vectors, matrices or tensors; however, henceforth we denote them by their corresponding letter in bold. These make up the components needed for the agent to perform AIF.\n\nA , also called the observation model , represents the state-to-observation likelihood model. This describes how observations depend on or are generated by states of the environment. It is structured as a matrix with a column for each possible environmental state s , and a row for each possible observation o . Each column is then a categorical probability distribution over the observations that will occur given the environmental state (meaning that each column must contain non-negative values that sum to 1). If the observations are multidimensional (i.e., multiple observations are made at each time point), there is a matrix for each observation modality. If two or more states determine the observation, the likelihood model then becomes a tensor. If A is imprecise (i.e., the probabilities are highly entropic and evenly distributed), observations are taken to carry less information about the environment, in many cases leading to more uncertain inferences, and vice versa.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "P\n\n", - "page_start": 36, - "page_end": 36, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "it means that the transitions of the environment are expected to be uncertain (and therefore, often transition to new states). In this sense, volatile and unstable environments will lead to less certain predictions about the future.\n\nC , also called the preference prior , is a prior preference over possible observations. It encodes the types of observations that an agent a priori expects to encounter; since minimising expected free energy through AIF entails taking actions that make the predicted observations come about, C also encodes the agent's preferences. It is a single categorical probability distribution over possible observations; if the observations are multidimensional, there is a separate preference prior for each observation modality. If C is imprecise (i.e., highly entropic), its preferences are weak and it will prioritise collecting information over realising its preferences; if it has low entropy, the agent will have stronger preferences and instead prioritise preferred outcomes or goals.\n\nD , also called the state prior , is the agent's prior belief about the states of the environment. It specifies the agent's belief about the environmental state before receiving any observations. There is a separate state prior over environmental states for each factor. With a more precise A , the influence of the D quickly diminishes since the likelihood overwhelms the prior in the Bayesian inference.\n\nE , also called the habit prior , is the prior over policies or paths. In the AIF vernacular, policies are allowable sequences of actions, with some specified policy length or temporal depth. E encodes the agent's preferences for choosing certain policies in the absence of plans based upon expected free energy , sometimes called the agent's 'habits'. It is a single probability distribution over each possible policy.\n\nIn addition to the five matrices, there are several hyper-parameters that are not part of the generative model, but are part of the inference algorithm. Here, we include two of the most common: the γ and α (inverse) temperature parameters. γ , the precision over policies, is the inverse temperature of a softmax transformation of expected free energies over policies, which is covered later in this section. After policies have been selected for a given time step, they are marginalised to calculate the probabilities of taking each possible action in the next time step. α , the action precision, is the inverse temperature of a softmax transformation on these final action probabilities, with higher values resulting in more stochastic action selection.\n\nAs noted, here we focus specifically on the POMDP-based generative models often used in the AIF literature. However, the basic steps when performing AIF-perception, action and learning-remain the same across generative models. In the remainder of this section, we describe each of these three steps in turn.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "- -arspdoci : Name of the command-line version of the PDF Indexer program\n - -parmdd : Specifies the name of the input file that contains the indexing parameters", - "page_start": 429, - "page_end": 429, - "source_file": "sg246915.pdf" - }, - { - "text": "free energy having some claims to being a better approximation than the information criteria classically used with MCMC methods (although see other approximations, like the Pareto-Smoothed Importance Sampling [59] or Thermodynamic Integration methods [60]; see [35] for a further review). Note that independently of which of these approaches one might take, the process involves inverting a generative model of the mental processes underlying the behaviour of a given subject, a generative model which itself is an inversion of the subject's generative model of the environment. We can call the generative model that the agent has of its environment the subjective generative model, and the model we have of the agent the objective generative model, in what has been called a meta-Bayesian approach or 'observing the observer' [1,61].\n\nHere, we demonstrated model fitting by fitting the POMDP model to the synthetic behaviour that it generated; this is called a parameter recovery study since we can then compare the estimated parameters to the generative values used for creating the simulated data [62,63]. Here, we used the simulation method shown in the previous section to produce a synthetic dataset with known parameter values for each agent (in practice, these are often participants in an experiment), here with a focus on estimating the α parameter. We then used MCMC methods to estimate the parameters for each agent and compared the estimated values with the correct values. Here, we simulated two groups of five synthetic subjects agents with different α values (the parameters for the first group were sampled from a Gaussian distribution with mean = 8 and SD = 2, and the second group with with mean = 24 and SD = 2). Each agent interacted with the T-maze environment for 300 time steps. We produced the following data frame, containing the data of each of the agents: their observations, actions and an identifier, a format suitable for cognitive and behavioural modelling.\n\n| 3000×5 DataFrame Row | Location Int64 | Reward Int64 | Cue Int64 | Action\\_Location Int64 | Action\\_Reward Int64 | SubjectID Int64 |\n|------------------------|------------------|----------------|-------------|-------------------------|-----------------------|-------------------|\n| 1 | 1 | 1 | 1 | 4 | 1 | 1 |\n| 2 | 4 | 1 | 2 | 3 | 1 | 1 |\n| 3 | 3 | 3 | 2 | 2 | 1 | 1 |\n| . | . | . | . | . | . | . |\n| . | . | . | . | . | . | . |\n| 3000 | 2 | 2 | 2 | 2 | 1 | 10 |\n\nWeused ActionModels to fit the AIF model created above to each of the agents in the dataset. We began by initialising an ActionModels agent:\n\nWe then set the prior for the parameter we wanted to estimate: the α action precision. As an example, we chose a wide, weakly informative prior: a Gaussian distribution with mean 5 and standard deviation 5, truncated at 0 and 20:\n\n☎\n\n✆\n\n```\n✞ using ActionModels # Initialize ActionModels Agent with the action model and created active inference agent agent = init\\_agent( action\\_model = action\\_pomdp!, # Action model function substruct = aif, # Active inference agent as a substruct ) ✝\n```", - "page_start": 24, - "page_end": 24, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What is dyspnea ?", - "target_page": 2, - "target_passage": "Dyspnea refers to a subjective sensation of breathing discomfort.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "| Dyspnea I walk breathless scale | I breathless). the scale for I the . or | scale | afraid | a slower % | such for climb % | hurry |\n| Individual About When The | (when Over The 3 mo, (over breath Sitting Getting Walking Walking Climbing Climbing | Playing The the | a m a m get | take cannot walk rests, | Jobs stop I stop, | If I |", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "The three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having signi /uniFB01 cant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their in /uniFB02 uence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen ' s University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John ' s, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright /C211 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## TABLE 2 ] (Continued)\n\nTable 4 presents the association of dyspnea with patient-speci /uniFB01 c risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "- 5. Nishino T. Dyspnoea: underlying mechanisms and treatment. Br J Anaesth . 2011;106:463-474.\n- 6. NederJ,BertonD,MüllerP,etal. Ventilatory inef /uniFB01 ciency and exertional dyspnea in early chronic obstructive pulmonary disease. Ann Am Thorac Soc . 2017;14(suppl\\_1): S22-S29.\n- 7. Gruenberger JB, Vietri J, Keininger DL, Mahler DA. Greater dyspnea is associated with lower health- related quality of life among European patients with COPD. Int J Chron Obstruct Pulmon Dis . 2017;12: 937-944.\n- 8. Preteroti M, Whitmore GA, Vandemheen KL, et al. Population-based case/uniFB01 nding to identify subjects with undiagnosed asthma or COPD. Eur Respir J . 2020;55:2000024.\n- 9. Huynh C, Whitmore GA, Vandemheen KL, et al. Derivation and validation of the UCAP-Q case/uniFB01 nding questionnaire to detect undiagnosed asthma and COPD. Eur Respir J . 2022;60(3):2103243.\n- 10. Shin B, Cole SL, Park SJ, et al. A new symptom-based questionnaire for predicting the presence of asthma. J Investig Allergol Clin Immunol . 2010;20: 27-34.\n- 11. Price DB, Tinkelman DG, Nordyke RJ, et al. Scoring system and clinical application of COPD diagnostic questionnaires. Chest . 2006;129: 1531-1539.\n- 12. Price DB, Tinkelman DG, Halbert RJ, et al. Symptom-based questionnaire for identifying COPD in smokers. Respiration . 2006;73:285-295.\n- 13. Jones PW, Harding G, Berry P, et al. Development and /uniFB01 rst validation of the COPD Assessment Test. Eur Respir J . 2009;34:648-654.\n- 14. Jones PW. Quality of life measurement for patients with diseases of the airways. Thorax . 1991;46:676-682.\n- 15. Jones PW, Quirk FH, Baveystock CM. The St George ' s Respiratory Questionnaire. Respir Med . 1991;85:25-31.\n\n- 16. Jones PW. St George ' s Respiratory Questionnaire: MCID. J Chronic Obstr Pulm Dis . 2005;2:75-79.\n- 17. Global Initiative for Asthma. Global strategy for asthma management and prevention. Global Initiative for Asthma website. Accessed July 30, 2023. https:// ginasthma.org/wp-content/uploads/2023/ 07/GINA-2023-Full-report-23\\_07\\_06-WMS.pdf\n- 18. Global Initiative for Chronic Obstructive Lung Disease. Global strategy for the diagnosis, management, and prevention of chronic obstructive pulmonary disease. Global Initiative for Chronic Obstructive Lung Disease website. Accessed July 30, 2023. https://goldcopd.org/wp-content/ uploads/2023/03/GOLD-2023-ver-1.3-17 Feb2023\\_WMV.pdf\n- 19. Magner KMA, Cherian M, Whitmore GA, et al. Assessment of preserved ratio impaired spirometry (PRISm) using pre and post bronchodilator spirometry in a randomly-sampled symptomatic cohort. Am J Resp Crit Care Med . 2023;208(10): 1129-1131.\n- 20. Hanania NA, O ' Donnell DE. Activityrelated dyspnea in chronic obstructive pulmonary disease: physical and psychological consequences, unmet needs, and future directions. Int J Chron Obstruct Pulmon Dis . 2019;14: 1127-1138.\n- 21. Reilly Associates. WPAI scoring. Reilly Associates website. Accessed May 1, 2024. http://www.reillyassociates.net/wpai\\_ scoring.html\n- 22. Carlsen HK, Haga SL, Olsson D, et al. Birch pollen, air pollution and their interactive effects on airway symptoms and peak expiratory /uniFB02 ow in allergic asthma during pollen season -a panel study in Northern and Southern Sweden. Environ Health . 2022;21:63.\n- 23. Ekström M, Johannessen A, Abramson MJ, et al. Breathlessness across generations: results from the RHINESSA generation study. Thorax . 2022;77(2): 172-177.\n- 24. Ziegler B, Fernandes AK, Sanches PR, Konzen GL, Dalcin Pde T. Variability of dyspnea perception in healthy subjects\n\n[", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "After adjusting for age, sex, and BMI, dyspnea was negatively associated with all domains of quality of life, including physical functioning (coef /uniFB01 cient, /C0 0.655; P < .001), role limitations due to physical health (coef /uniFB01 cient, /C0 0.628; P < .001), general health (coef /uniFB01 cient, /C0 0.382; P < .001), and total score (coef /uniFB01 cient, /C0 0.473; P < .001) (Table 7).\n\nAfter adjusting for age, sex, and BMI, dyspnea was associated with an increased likelihood of annual visits to health care providers for respiratory complaints (OR,", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identi /uniFB01 ed with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort. 1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%. 2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks. 3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a signi /uniFB01 cant burden on those with undiagnosed conditions. In a systematic review by Müller et al, 4 the combined\n\n## Study Design and Methods\n\n## Recruitment of Undiagnosed Cases and Healthy\n\nControl Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case /uniFB01 nding study. Approval for\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George ' s Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael ' s Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\nprevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily in /uniFB02 uenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants. 5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identi /uniFB01 ed potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits. 7", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 8 ] Unadjusted and Adjusted Dyspnea Associations With Health Care Use\n\n| | Unadjusted | Unadjusted | Adjusted | Adjusted |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|--------------|---------------------|------------|\n| Measure | Dyspnea OR (95% CI) | P Value | Dyspnea OR (95% CI) | P Value |\n| In the past 12 mo, did you visit your general practitioner or a nurse practitioner or another physician at a walk-in clinic for any breathing problems? | 1.011 (1.007-1.014) | < .001 | 1.011 (1.007-1.014) | < .001 |\n| In the past 12 mo, did you visit an emergency department for any breathing problems? | 1.015 (1.009-1.021) | < .001 | 1.015 (1.009-1.022) | < .001 |\n| In the past 12 mo, were you hospitalized for any breathing problems or respiratory illness? | 1.021 (1.006-1.037) | .006 | 1.023 (1.007-1.039) | .005 |\n\nData are presented as OR (95% CI) with P values. Adjusted values are adjusted for age, sex, and BMI.\n\noutpatients with cardiorespiratory disease 25 and the Dyspnea-12 in patients with asthma 26 and found that the affective aspect of dyspnea can signi /uniFB01 cantly in /uniFB02 uence the impact of dyspnea on health status, irrespective of the intensity of breathlessness.\n\nIn those with PRISm, there was a strong, positive association between higher values for the FEV1/FVC ratio and dyspnea. For the PRISm group, a higher FEV1/FVC ratio may re /uniFB02 ect diminished lung compliance due to interstitial lung disease and/or respiratory system restriction due to obesity, which could contribute to worse dyspnea. Conversely, the association of dyspnea with the FEV1/FVC ratio was in the opposite direction for those with asthma or COPD, and a lower FEV1/FVC ratio correlated with worse dyspnea, as expected.\n\nOur study complements the literature by focusing on adults with undiagnosed respiratory symptoms who were randomly selected and recruited through active case /uniFB01 nding in the community. This increases the generalizability of our results to a broader population. Our dyspnea questions were derived from widely used\n\nand validated respiratory health questionnaires, and our dyspnea assessment measure is a weighted average of responses to these validated questions. Consequently, the measure has an immediate interpretation in terms of the lived day-to-day experience of individuals.\n\nOur study has limitations. We did not undertake reliability/reproducibility testing of our questionnaire. The dyspnea impact assessment score was statistically associated with increased health care utilization, lower quality of life, and reduced work productivity; therefore, by virtue of this analysis, our questionnaire has construct validity. However, further attempts at external validation of the questionnaire using an independent data set would be important. Health care utilization during the preceding 12 months was assessed on entry into the study, and there is potential for impaired recall of events. Our study may have missed asthma in some participants because bronchial challenge testing was not conducted on those who tested negative for air /uniFB02 ow obstruction or BD responsiveness. A previous study showed that an additional diagnostic step incorporating\n\nTABLE 9 ] Unadjusted and Adjusted Dyspnea Associations With Work Productivity (WPAI)", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)\n\n| | Unadjusted | Unadjusted | Adjusted | Adjusted |\n|-----------------------------|--------------------------------------|--------------|--------------------------------------|------------|\n| Measure | Dyspnea Coef /uniFB01 cient (95% CI) | P Value | Dyspnea Coef /uniFB01 cient (95% CI) | P Value |\n| Physical functioning | /C0 0.693 ( /C0 0.718 to /C0 0.668) | < .001 | /C0 0.655 ( /C0 0.680 to /C0 0.630) | < .001 |\n| Physical health limitations | /C0 0.634 ( /C0 0.666 to /C0 0.603) | < .001 | /C0 0.628 ( /C0 0.661 to /C0 0.595) | < .001 |\n| Emotional problems | /C0 0.403 ( /C0 0.438 to /C0 0.369) | < .001 | /C0 0.407 ( /C0 0.443 to /C0 0.370) | < .001 |\n| Energy/fatigue | /C0 0.454 ( /C0 0.479 to /C0 0.428) | < .001 | /C0 0.452 ( /C0 0.479 to /C0 0.425) | < .001 |\n| Emotional well-being | /C0 0.230 ( /C0 0.256 to /C0 0.204) | < .001 | /C0 0.239 ( /C0 0.266 to /C0 0.213) | < .001 |\n| Social functioning | /C0 0.433 ( /C0 0.466 to /C0 0.399) | < .001 | /C0 0.434 ( /C0 0.469 to /C0 0.399) | < .001 |\n| Pain | /C0 0.410 ( /C0 0.444 to /C0 0.377) | < .001 | /C0 0.387 ( /C0 0.423 to /C0 0.352) | < .001 |\n| General health | /C0 0.390 ( /C0 0.416 to /C0 0.364) | < .001 | /C0 0.382 ( /C0 0.409 to /C0 0.355) | < .001 |\n| Total score | /C0 0.485 ( /C0 0.504 to /C0 0.467) | < .001 | /C0 0.473 ( /C0 0.493 to /C0 0.454) | < .001 |\n\nAdjusted coef /uniFB01 cients are adjusted for age, sex, and BMI. Regression coef /uniFB01 cients are presented with 95% CIs and P values.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "[\n\n]\n\n## Impact of Dyspnea on Adults With Respiratory Symptoms Without a De /uniFB01 ned Diagnosis\n\n\n\n\n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; Louis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; Catherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; M. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; Gonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\n\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nRESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory symptoms?\n\nSTUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were experiencing respiratory symptoms. These individuals had not been previously diagnosed with any lung conditions and were recruited from 17 Canadian centers using random digit dialing. Each participant underwent spirometry testing both before and after using a bronchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved ratio impaired spirometry (PRISm), or if their spirometry results were normal. An agematched control group (n ¼ 231) was similarly recruited using random digit dialing. A dyspnea impact assessment score from 0 to 100 was produced using questions from the COPD Assessment Test and St. George ' s Respiratory questionnaire.\n\nRESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, 63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; 95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All groups reported signi /uniFB01 cantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8-15.7). Patient-speci /uniFB01 c risk factors including age, sex, BMI, smoking, and comorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the variation was explained by disease classi /uniFB01 cation and another 1.7% by the severity of lung function impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nINTERPRETATION: Our /uniFB01 ndings showed that in community-based adults with undiagnosed respiratory symptoms, those identi /uniFB01 ed with PRISm experienced the greatest impact of dyspnea. Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity. CHEST 2024; 166(6):1296-1308\n\nKEY WORDS: asthma; case /uniFB01 nding; COPD; dyspnea\n\nFOR EDITORIAL COMMENT, SEE PAGE 1259\n\n[\n\n]", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "The prevalence of individuals who were obese and morbidly obese in the PRISm group partially explains the between-group difference in dyspnea. The excess dyspnea seen in the PRISm group when compared with the normal spirometry group is partly explained by patient-speci /uniFB01 c risk factors, including BMI, which shrink the mean dyspnea differential between the groups from 11.2 to 5.5 points (Tables 3-6). The remaining 5.5point difference indicates that PRISm patients have excess dyspnea relative to symptomatic individuals with normal spirometry for additional reasons other than obesity.\n\n[\n\n]", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "What are the criterion to be control patient in the dyspnea study ?", - "target_page": 3, - "target_passage": "Control patients reported no respiratory symptoms in the preceding 6 months and obtained a score of 0 on the ASQ.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "TABLE 4 ] Sequential Regression Analyses of Risk Factors Contributing to Variability in Dyspnea: Dyspnea Regressed on Patient-Speci /uniFB01 c Risk Factors (20.6% of Variability Explained)\n\n| Risk Factor | Regression Coef /uniFB01 cient | P Value |\n|--------------------------------|----------------------------------|-----------|\n| Age | /C0 0.0909 | .005 |\n| Female | 8.217 | < .001 |\n| BMI | 0.899 | < .001 |\n| Household income < CAD $30,000 | 1.420 | .40 |\n| Household income $ CAD $30,000 | /C0 2.149 | .07 |\n| Smoking history, pack-y | 0.144 | < .001 |\n| Smoking exposure | 5.123 | < .001 |\n| Occupational exposure | 0.00975 | < .001 |\n| Congestive heart failure | 10.119 | .004 |\n| Coronary artery disease | 4.813 | .001 |\n| Depression/anxiety | 6.892 | < .001 |\n| Diabetes mellitus | 1.627 | .22 |\n| Hypertension | 3.433 | < .001 |\n| Anemia | 1.738 | .15 |\n| Cancer | 0.952 | .49 |\n| GERD | 4.663 | < .001 |\n| Liver disease | 1.081 | .61 |\n| Renal disease | 2.073 | .32 |\n| Stroke | 8.463 | < .001 |\n\nBoldface indicates statitistical signi /uniFB01 cance. GERD ¼ gastroesophageal re /uniFB02 ux disease.\n\n1.011; P < .001 for general practitioner visits; OR, 1.015; P < .001 for emergency department visits; and OR, 1.023, P ¼ .005 for hospitalization for respiratory illness) (Table 8).\n\nAfter adjusting for age, sex, and BMI, dyspnea was associated with a reduced likelihood of current employment (OR, 0.993; P < .001), increased absenteeism (coef /uniFB01 cient, 0.066; P < .001), increased presenteeism (coef /uniFB01 cient, 0.349; P < .001), higher work\n\nTABLE 5 ] Dyspnea Regressed on Spirometry Disease Group\n\n| Disease Group | Regression Coef /uniFB01 cient | P Value |\n|---------------------|----------------------------------|-----------|\n| Control | /C0 31.2 | < .001 |\n| Normal spirometry a | NA | NA |\n| Asthma | 4.6 | .001 |\n| COPD | 3.8 | .003 |\n| PRISm | 5.5 | .001 |\n| Constant | 51.9 | NA |\n\nDyspnea regressed on spirometry disease group, after removing contributions from subject-speci /uniFB01 c factors in Table 4 (12.4% of variability explained). Boldface indicates statitistical signi /uniFB01 cance. NA ¼ not applicable; PRISm ¼ preserved ratio impaired spirometry. a Normal spirometry group is the reference category.\n\nproductivity loss (coef /uniFB01 cient, 0.383; P < .001), and greater activity impairment (coef /uniFB01 cient, 0.501; P < .001), as measured by the Work Productivity and Activity Impairment questionnaire 21 (Table 9).\n\n## Discussion\n\nOur study explored dyspnea in community-based adults with undiagnosed respiratory symptoms identi /uniFB01 ed via case /uniFB01 nding. Surprisingly, we found that the dyspnea experienced by those with PRISm had a greater impact on their activities and health status than those with newly diagnosed COPD or asthma.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Risk Factors Associated With Dyspnea\n\nPatient-related risk factors were considered /uniFB01 rst, and results of spirometry considered afterward. The spirometry risk factors chosen for the second stage analysis included the spirometry-based diagnosis of the patient (asthma, COPD, PRISm, or normal) and lung function results indicative of the severity of physiologic impairment. Severity was gauged by assessing three principal lung function measures: (1) post-BD FEV1 % predicted, (2) post-BD FEV1/FVC ratio, and (3) percentage reversal of FEV1 with BD.\n\n## Dyspnea Impact and Health Care Use, Quality of Life, and Work Productivity\n\nThe impact of dyspnea and its associations with health care use, quality of life, and work productivity were examined. Health care utilization was assessed through selfreported data. Quality of life was assessed using the 36Item Short Form Health Survey questionnaire, where higher scores indicate better health status. Work productivity was assessed using the Work Productivity and Activity Impairment questionnaire, where higher scores\n\n## Results\n\nFigure 1 illustrates the results of the case /uniFB01 nding approach, including the enrollment of the control group. Among 5,631 potentially eligible participants, 1,359\n\nindicate greater impairment in work productivity and daily activities.\n\n## Statistical Analysis\n\nBox plots were used to compare distribution patterns of dyspnea impact assessments among the disease groups. Pairwise comparison tests were conducted to evaluate mean dyspnea differences between groups. Multiple linear regression analysis was used to measure contributions to variability of dyspnea by selected patient-speci /uniFB01 c risk factors, spirometry disease classi /uniFB01 cation, and key lung function measures. The selected sets of risk factors were evaluated using successive regression analyses. Analysis of variance sums of squares from the successive regression analyses provided the cumulative percentage contributions to variability of dyspnea. Simple, multiple, and logistic regression analyses were used to study associations between dyspnea and health care utilization, quality of life, and work productivity outcomes. All statistical analyses were done using STATA 16 statistical software (StataCorp).\n\nparticipants (24%) did not meet the threshold of $ 6 points on the ASQ or $ 20 points on the COPDDiagnostic Questionnaire and were thus excluded, leaving 4,272 individuals deemed eligible for spirometry.\n\nFigure 1 -Study /uniFB02 ow diagram demonstrating the case /uniFB01 nding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; COPD-DQ ¼ COPD Diagnostic Questionnaire; CF ¼ cystic /uniFB01 brosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 6 ] Dyspnea Regressed on Lung Function Variables Representing Severity of Impairment\n\n| Disease Group | Reversibility of FEV1, % | Post-BD FEV1/FVC Ratio | Post-BD FEV1 % predicted | Overall P Value |\n|-------------------|----------------------------|--------------------------|----------------------------|-------------------|\n| Control | /C0 0.163 ( P ¼ .47) | /C0 0.274 (P [ .05) | /C0 0.090 ( P ¼ .17) | .096 |\n| Normal spirometry | 0.186 ( P ¼ .16) | 0.240 (P [ .005) | /C0 0.131 (P < .001) | < .001 |\n| Asthma | 0.545 (P [ .01) | 0.107 ( P ¼ .58) | /C0 0.158 ( P ¼ .08) | .009 |\n| COPD | 0.392 (P [ .002) | /C0 0.307 (P [ .05) | /C0 0.075 ( P ¼ .37) | < .001 |\n| PRISm | /C0 0.290 ( P ¼ .39) | 0.854 (P [ .002) | /C0 0.650 (P [ .004) | < .001 |\n\nDyspnea regressed on lung function variables representing severity of impairment, after removing contributions of patient-speci /uniFB01 c factors and spirometry disease group Tables 4 and 5 (1.7% of variability explained). Boldface indicates statitistical signi /uniFB01 cance. BD ¼ bronchodilator; PRISm ¼ preserved ratio impaired spirometry.\n\nApproximately 65% of the variability in dyspnea remained unexplained by the factors examined in our study. Most individuals in our study showed normal spirometry results but still carried a substantial burden of dyspnea, an inconsistency that needs explanation. Several factors not included in our analysis may have contributed to the unexplained variation. Environmental factors (eg, air pollution, allergen exposure, seasonal variations in symptoms) are potential contributors to this unexplained variability. 22 Genetic predispositions could also play a signi /uniFB01 cant role, as suggested by a study that revealed that parents with dyspnea were 1.8 times more likely to have offspring with dyspnea. 23 Additionally, /uniFB01 tness could be a contributing factor, especially in individuals with undiagnosed PRISm, asthma, or COPD who may restrict their activities to avoid dyspnea, and hence become deconditioned. 6\n\nThere were signi /uniFB01 cant but modest differences in mean dyspnea levels across the 17 study sites (data not shown), which are not explained by the risk factors we accounted for in our study. This /uniFB01 nding is not surprising because some of the potential contributing factors previously mentioned and other site-speci /uniFB01 c factors\n\n(eg, climate, air quality/industrialization, socioeconomic status) of the catchment population tend to vary across study sites.\n\nDyspnea is a complex, subjective symptom that is modi /uniFB01 ed by nonrespiratory factors including psychosocial, social, and environmental in /uniFB02 uences. 5 Interindividual variability in the perception of dyspnea, in /uniFB02 uenced by these nonrespiratory factors, may play an important role. A study conducted by Ziegler et al 24 assessed the perception of dyspnea in 42 healthy individuals using a standardized inspiratory resistive loading stimulus. The study used the modi /uniFB01 ed Borg scale to measure dyspnea perception levels. Among the participants subjected to the same inspiratory resistive load, 31%, 45%, and 24% of participants classi /uniFB01 ed their level of dyspnea as low, intermediate, and high, respectively. The study revealed that differences between individuals contribute considerable variability to the perception of dyspnea, even among healthy participants.\n\nThe affective dimension of dyspnea can be captured using additional questionnaires (eg, Multidimensional Dyspnea Pro /uniFB01 le, Dyspnea-12). Studies have explored the use of the Multidimensional Dyspnea Pro /uniFB01 le in\n\nTABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "The three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having signi /uniFB01 cant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their in /uniFB02 uence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen ' s University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John ' s, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright /C211 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identi /uniFB01 ed with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort. 1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%. 2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks. 3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a signi /uniFB01 cant burden on those with undiagnosed conditions. In a systematic review by Müller et al, 4 the combined\n\n## Study Design and Methods\n\n## Recruitment of Undiagnosed Cases and Healthy\n\nControl Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case /uniFB01 nding study. Approval for\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George ' s Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael ' s Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\nprevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily in /uniFB02 uenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants. 5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identi /uniFB01 ed potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits. 7", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 3 ] Intergroup Comparisons of Dyspnea Impact\n\n| Pairwise Comparison | Mean Dyspnea Score (95% CI) | Mean Difference (95% CI) | P Value |\n|-----------------------|-------------------------------|----------------------------------|-----------|\n| Control | 13.8 (11.8-15.7) | /C0 38.0 ( /C0 41.1 to /C0 34.9) | < .001 |\n| Normal spirometry | 51.8 (50.7-52.8) | | |\n| Control | 13.8 (11.8-15.7) | /C0 43.7 ( /C0 47.6 to /C0 39.8) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Control | 13.8 (11.8-15.7) | /C0 42.8 ( /C0 46.9 to /C0 38.7) | < .001 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Control | 13.8 (11.8-15.7) | /C0 49.2 ( /C0 53.7 to /C0 44.6) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 5.7 (3.0 to 8.4) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 4.8 (1.8, 7.8) | .002 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 11.2 (7.5 to 14.8) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| PRISm | 63.0 (59.5-66.4) | 5.5 (1.1 to 9.8) | .014 |\n| COPD | 57.5 (55.1-59.9) | | |\n| PRISm | 63.0 (59.5-66.4) | 6.4 (1.9 to 10.9) | .005 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Asthma | 56.6 (53.9-59.3) | 0.9 ( /C0 2.8 to 4.7) | .63 |\n| COPD | 57.5 (55.1-59.9) | | |\n\nPRISm ¼ preserved ratio impaired spirometry.\n\nexposure in an array of risky occupations. These risk factors, taken as a whole, accounted for 21% of the variability in dyspnea.\n\nAfter adjustment for patient-speci /uniFB01 c risk factors in the /uniFB01 rst stage analysis, we adjusted for spirometry-de /uniFB01 ned disease (PRISm, asthma, COPD, or normal spirometry) in Table 5. Adjustment for disease\n\nFigure 2 -Box plot demonstrating dyspnea impact according to spirometry disease classi /uniFB01 cation. The center line marks the median. The boxes span the interquartile range (IQR). The outer fences are set at distances 1.5 /C2 IQR from the box. Outliers appear as plotted dots.\n\n\n\nclassi /uniFB01 cation accounted for 12% of the total variability of dyspnea.\n\nTable 6 presents the contribution of lung function measures of physiologic impairment after accounting for patient-related risk factors and disease classi /uniFB01 cation. For the PRISm disease group, a higher post-BD FEV1/FVC ratio and a lower post-BD FEV1 % predicted value were associated with greater dyspnea impact. For the COPD disease group, a lower post-BD FEV1/FVC ratio was associated with greater dyspnea impact. Reversibility of FEV1 was associated with higher dyspnea impact only in patients with asthma or COPD. Lung function measures of disease severity accounted for 2% of the variability in dyspnea.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Data are presented as mean (SD) for Q1, Q2, and Q3 (total), and Q3 to Q15 were presented to participants as yes or no questions, where percentages of parti cipants who answered yes are shown. Question weights (principal component analysis scoring coef /uniFB01 cients) used for calculating the dyspnea assessment are shown below individual questions. CAT ¼ COPD Assessment Test; PRISm ¼ preserved ratio impaired spirometry; Q ¼ question; SGRQ ¼ St. George ' s Respiratory Questionnaire.\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older andmorelikelytobemalecomparedwithallother study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight orobeseranges.ThePRISmgroupwasheaviestwithan average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classi /uniFB01 cation and presents question weights (PCA scoring coef /uniFB01 cients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a signi /uniFB01 cantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported signi /uniFB01 cantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.815.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classi /uniFB01 cations.\n\n[\n\n]", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "bronchial challenge testing into a case /uniFB01 nding strategy identi /uniFB01 ed asthma in 26% of symptomatic individuals who had normal spirometry and no response to BD. 27\n\nIndividuals with undiagnosed respiratory symptoms, determined to have asthma or COPD through spirometry, experience poor health status. 28 Therefore, the implementation of known treatment approaches for asthma or COPD is important to improve their conditions. 29 In contrast, those with normal spirometry or PRISm face unclear treatment approaches. Longacting BD therapy in symptomatic individuals with tobacco exposure with normal spirometry is not effective. 30 Weight management programs may be useful for individuals who are obese with PRISm-related dyspnea; however, this awaits de /uniFB01 nitive clinical trials. 31\n\nDyspnea was severe and prevalent within our study group; however, it remained undiagnosed. A study conducted by Stefan et al 32 revealed that physicians underestimated their patients ' dyspnea 37.9% of the time, whereas nurses underestimated it 3.5% of the time. Moreover, many patients limit their physical activities, which lead them to downplay the extent of their dyspnea. 19 Patient underreporting of symptoms, coupled\n\n## Acknowledgments\n\nAuthor contributions: S. D. A. and G. A. W. contributed to conception and design. J. B., E. G., G. A. W., K. L. V., and S. D. A. contributed to analysis and interpretation. J. B., E. G., G. A. W., K. L. V., S. D. A., C. B., C. L., L.-P. B., A. C., E. P., S. K. F., S. G., R. A. M., I. M., M. B., P. H., M. D. L., M. A., C. J. L., T. A., N. E., G. G. A., and S. M. contributed to drafting the manuscript for important intellectual content. All authors had access to and participated in the interpretation of the data and provided input into the preparation and submission of the manuscript. The authors vouch for the accuracy and completeness of the data.\n\nRole of sponsors: The sponsor had no role in the design of the study, the collection and analysis of the data, or the preparation of the manuscript.\n\nOther contributions: We thank the following individuals from the Canadian study sites: Ottawa Hospital Research Institute, Ottawa, Ontario: Taylor Poulin; Susan Deveau, RRT; Victoria Thompson; Meredith McCleery; Angelina Tohme; Vicky Panteleakos, RRT; Geneviève Longtin, RRT; Joanne Cassidy, RRT; Amanda Bergeron, MSc; Jennifer Biggs, RN; Jessica Bergeron; and Elisabet White; Vancouver General Hospital, Vancouver, British Columbia: Shelley Abercromby, BSc; Jana Caine; David\n\nwith inadequate physician-led investigations of symptoms, may explain why dyspnea often goes undiagnosed in the population. 33\n\nIn conclusion, our study measured dyspnea impact in individuals with no preexisting diagnosis of lung disease who reported respiratory symptoms as part of a purposeful case /uniFB01 nding strategy. Individuals with PRISm exhibited the greatest impact of dyspnea, even higher than those newly diagnosed with asthma or COPD. After adjusting for patient factors, comorbidities, pulmonary diseases, and severity of lung physiologic impairment, most of the variability in dyspnea remained unexplained. We also showed that dyspnea was associated with increased health care utilization, impaired quality of life, and work productivity.\n\n## Funding/Support\n\nThis study is supported by the Canadian Institutes of Health Research [FDN Grant 154322].\n\n## Financial/Non /uniFB01 nancial Disclosures\n\nNone declared.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## TABLE 2 ] (Continued)\n\nTable 4 presents the association of dyspnea with patient-speci /uniFB01 c risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 7 ] Unadjusted and Adjusted Dyspnea Associations With Quality of Life (SF-36)\n\n| | Unadjusted | Unadjusted | Adjusted | Adjusted |\n|-----------------------------|--------------------------------------|--------------|--------------------------------------|------------|\n| Measure | Dyspnea Coef /uniFB01 cient (95% CI) | P Value | Dyspnea Coef /uniFB01 cient (95% CI) | P Value |\n| Physical functioning | /C0 0.693 ( /C0 0.718 to /C0 0.668) | < .001 | /C0 0.655 ( /C0 0.680 to /C0 0.630) | < .001 |\n| Physical health limitations | /C0 0.634 ( /C0 0.666 to /C0 0.603) | < .001 | /C0 0.628 ( /C0 0.661 to /C0 0.595) | < .001 |\n| Emotional problems | /C0 0.403 ( /C0 0.438 to /C0 0.369) | < .001 | /C0 0.407 ( /C0 0.443 to /C0 0.370) | < .001 |\n| Energy/fatigue | /C0 0.454 ( /C0 0.479 to /C0 0.428) | < .001 | /C0 0.452 ( /C0 0.479 to /C0 0.425) | < .001 |\n| Emotional well-being | /C0 0.230 ( /C0 0.256 to /C0 0.204) | < .001 | /C0 0.239 ( /C0 0.266 to /C0 0.213) | < .001 |\n| Social functioning | /C0 0.433 ( /C0 0.466 to /C0 0.399) | < .001 | /C0 0.434 ( /C0 0.469 to /C0 0.399) | < .001 |\n| Pain | /C0 0.410 ( /C0 0.444 to /C0 0.377) | < .001 | /C0 0.387 ( /C0 0.423 to /C0 0.352) | < .001 |\n| General health | /C0 0.390 ( /C0 0.416 to /C0 0.364) | < .001 | /C0 0.382 ( /C0 0.409 to /C0 0.355) | < .001 |\n| Total score | /C0 0.485 ( /C0 0.504 to /C0 0.467) | < .001 | /C0 0.473 ( /C0 0.493 to /C0 0.454) | < .001 |\n\nAdjusted coef /uniFB01 cients are adjusted for age, sex, and BMI. Regression coef /uniFB01 cients are presented with 95% CIs and P values.", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "What is the revenue of Republic Services in 2002 ?", - "target_page": 2, - "target_passage": " $ 2,365.1", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| | Balance as of December 31, 2002 | Acquisitions | Divestitures | Cumulative EÅect of Changes in Accounting Principles | Balance as of December 31, 2003 |\n|-------------------------|-----------------------------------|----------------|----------------|--------------------------------------------------------|-----------------------------------|\n| Eastern Region ÏÏÏÏÏÏÏÏ | $ 429.0 | $ 7.2 | $(.3) | $ Ì | $ 435.9 |\n| Central Region ÏÏÏÏÏÏÏÏ | 343.0 | 7.5 | Ì | Ì | 350.5 |\n| Southern Region ÏÏÏÏÏÏÏ | 323.2 | 2.6 | Ì | Ì | 325.8 |\n| Southwestern Region ÏÏÏ | 134.7 | .3 | Ì | Ì | 135.0 |\n| Western RegionÏÏÏÏÏÏÏÏ | 314.3 | 3.6 | Ì | (7.0) | 310.9 |\n| Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $1,544.2 | $21.2 | $(.3) | $(7.0) | $1,558.1 |\n\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as follows:\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|-----------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Collection: | | | |\n| Residential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 655.2 | $ 601.2 | $ 530.7 |\n| Commercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 737.9 | 706.0 | 696.7 |\n| IndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 558.1 | 523.0 | 501.6 |\n| OtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 62.2 | 50.9 | 50.8 |\n| Total collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2,013.4 | 1,881.1 | 1,779.8 |\n| Transfer and disposalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1,031.0 | 967.5 | 854.1 |\n| Less: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (519.8) | (493.7) | (428.5) |\n| Transfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 511.2 | 473.8 | 425.6 |\n| OtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 183.5 | 162.9 | 159.7 |\n| Revenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $2,708.1 | $2,517.8 | $2,365.1 |\n\n## 11. FUEL HEDGE", - "page_start": 89, - "page_end": 89, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|----------------------------------------------------------------------------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Weighted-average fair value of the Company's stock options, restricted stock and stock units granted during the period ÏÏÏ | $ 9.33 | $ 7.64 | $ 7.47 |\n| Assumptions Ì | | | |\n| Risk-free interest ratesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6% | 3.2% | 2.7% |\n| Expected livesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 5 years | 5 years | 5 years |\n| Expected volatility ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 30.0% | 40.0% | 40.0% |\n| Dividend yieldÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9% | Ì | Ì |\n\n## Revenue Recognition and Deferred Revenue\n\nThe Company generally provides services under contracts with municipalities or individual customers. Revenue consists primarily of collection fees from commercial, industrial, residential and municipal customers and transfer and landÑll disposal fees charged to third parties. Advance billings are recorded as deferred revenue, and the revenue is then recognized over the period services are provided. Collection, transfer and disposal, and other services accounted for approximately 74.3%, 18.9% and 6.8%, respectively, of consolidated revenue for the year ended December 31, 2004. No one customer has individually accounted for more than 10% of the Company's consolidated revenues or of the Company's reportable segment revenue in any of the past three years.\n\nThe Company recognizes revenue when all four of the following criteria are met:\n\n - , Persuasive evidence of an arrangement exists such as a service agreement with a municipality, a hauling customer or a disposal customer,\n - , Services have been performed such as the collection and hauling of waste or the disposal of waste at a Company-owned disposal facility,\n - , The price of the services provided to the customer are Ñxed or determinable, and\n - , Collectability is reasonably assured.\n\n## Other Charges", - "page_start": 71, - "page_end": 71, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| 2003 | Gross Revenue | Intercompany Revenue(b) | Net Revenue | Depreciation, Amortization, Depletion and Accretion(c) | Operating Income | Capital Expenditures(d) | Total Assets |\n|----------------------------|--------------------------------|---------------------------|---------------|----------------------------------------------------------|--------------------|---------------------------|----------------|\n| Eastern Region ÏÏÏÏÏÏÏÏÏ $ | 600.2 | $ (93.0) | $ 507.2 | $ 36.4 | $ 71.3 | $ 40.7 | $ 826.9 |\n| Central Region ÏÏÏÏÏÏÏÏÏ | 671.7 | (151.6) | 520.1 | 74.0 | 106.6 | 75.7 | 960.5 |\n| Southern RegionÏÏÏÏÏÏÏÏ | 680.3 | (76.9) | 603.4 | 62.8 | 107.5 | 69.9 | 865.6 |\n| Southwestern Region ÏÏÏÏ | 332.6 | (31.2) | 301.4 | 28.7 | 50.2 | 28.9 | 409.4 |\n| Western Region ÏÏÏÏÏÏÏÏ | 729.4 | (143.9) | 585.5 | 46.2 | 148.8 | 51.4 | 813.2 |\n| Corporate Entities(a)ÏÏÏÏ | .2 | Ì | .2 | 3.7 | (71.7) | 6.6 | 678.5 |\n| | TotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 | $(496.6) | $2,517.8 | $251.8 | $412.7 | $273.2 | $4,554.1 |\n\nDepreciation,", - "page_start": 88, - "page_end": 88, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\napproximately $48.0 million which was collected or used to oÅset taxes payable during the year ended December 31, 2004.\n\nA reconciliation of the statutory federal income tax rate to the Company's eÅective tax rate is shown below:\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|-------------------------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Statutory federal income tax rate ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | | | 35.0% 35.0% 35.0% |\n| Non-deductible expenses ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.3 | 1.9 | .7 |\n| State income taxes, net of federal beneÑt ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.4 | 1.7 | 2.1 |\n| Other, netÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.7) | (.6) | .2 |\n| EÅective income tax rate ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | | | 38.0% 38.0% 38.0% |\n\nComponents of the net deferred income tax asset and liability in the accompanying Consolidated Balance Sheets are as follows:\n\n| | December 31, | December 31, |\n|---------------------------------------------------------------------|----------------|----------------|\n| | 2004 | 2003 |\n| Deferred tax assets (liabilities): | | |\n| Current portion Ì | | |\n| Book basis in property over tax basisÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 1.8 | $ 2.5 |\n| Accruals not currently deductible ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 8.1 | 3.3 |\n| Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 9.9 | $ 5.8 |\n| Long-term portion Ì | | |\n| Book basis in property over tax basisÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $(434.4) | $(367.3) |\n| Accruals not currently deductible ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 27.9 | 13.8 |\n| Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $(406.5) | $(353.5) |\n\nAt December 31, 2004, the Company had available domestic federal and state net operating loss carryforwards of approximately $25.6 million ($16.6 million after tax), which begin to expire in 2023. In assessing the realizability of deferred tax assets, management considers whether it is more likely than not some portion or all of the deferred tax assets will not be realized after the initial recognition of the deferred tax asset. The Company provides valuation allowances to oÅset portions of deferred tax assets due to uncertainty surrounding the future realization of such deferred tax assets. The Company adjusts the valuation allowance, if any, in the period management determines it is more likely than not that deferred tax assets will or will not be realized.", - "page_start": 84, - "page_end": 84, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED STATEMENTS OF INCOME\n\n(in millions, except earnings per share data)", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n$1.8 million was recorded as compensation expense in the Company's Consolidated Statements of Income. The remaining $1.0 million, representing the unamortized balance of unearned compensation on restricted stock, is included as a separate component of stockholders' equity in the Company's Consolidated Balance Sheets. No other stock units or restricted shares were granted during the twelve months ended December 31, 2004.\n\nThe following table summarizes the activity for Equity-Based Compensation Units for the years ended 2002, 2003 and 2004:\n\n| | Shares | Weighted-Average Exercise Price |\n|--------------------------------------------------------------------|----------|-----------------------------------|\n| Units outstanding at December 31, 2001 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 12.4 | $16.22 |\n| GrantedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.3 | 17.45 |\n| ExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (1.9) | 15.18 |\n| Cancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.2) | 15.39 |\n| Units outstanding at December 31, 2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 12.6 | 16.61 |\n| GrantedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.0 | 19.30 |\n| ExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.5) | 16.21 |\n| Cancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.3) | 16.02 |\n| Units outstanding at December 31, 2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 11.8 | 17.18 |\n| GrantedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.8 | 24.65 |\n| ExercisedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.3) | 16.24 |\n| Cancelled ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.2) | 19.72 |\n| Units outstanding at December 31, 2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 11.1 | $18.51 |\n\nThe following table summarizes information about the Company's outstanding and exercisable stock options at December 31, 2004:", - "page_start": 86, - "page_end": 86, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\nHedging Activities'' (\"\"SFAS 133''), as amended. (For further information, see Note 11, Fuel Hedge.) Of this amount, $1.6 million, net of tax, representing the eÅective portion of the change in fair value was recorded to other comprehensive income for the year ended December 31, 2002.\n\nAt December 31, 2004, the Company had $38.7 million of restricted marketable securities held as Ñnancial guarantees. These securities consist of mutual funds invested in short-term investment grade securities, including mortgage-backed securities and U.S. Government obligations. These securities are available for sale and, as a result, are stated at fair value based on quoted market prices. During the years ended December 31, 2004 and 2003, the Company recorded a $.1 million and ($.1) million unrealized gain/(loss), net of tax, respectively, to other comprehensive income related to the change in fair value of these securities.\n\nThe Company had no other components of other comprehensive income for the periods presented.\n\n## Statements of Cash Flows\n\nThe Company considers all unrestricted highly liquid investments with purchased maturities of three months or less to be cash equivalents. The eÅect of non-cash transactions related to business combinations, as discussed in Note 4, Business Combinations, and other non-cash transactions are excluded from the accompanying Consolidated Statements of Cash Flows.\n\n## Fair Value of Financial Instruments\n\nThe carrying amounts of cash and cash equivalents, restricted cash and marketable securities, receivables, accounts payable and accrued liabilities approximate fair value due to the short maturity of these instruments. The fair value of the Company's Ñxed rate unsecured notes and tax-exempt Ñnancing using quoted market rates is $1,227.4 million at December 31, 2004. The carrying value of the unsecured notes and tax exempt Ñnancing is $1,123.3 million at December 31, 2004. The carrying amounts of the Company's remaining notes payable and tax-exempt Ñnancing approximate fair value because interest rates are variable and, accordingly, approximate current market rates.\n\n## Concentration of Credit Risk\n\nThe Company provides services to commercial, industrial, municipal and residential customers in the United States. Concentrations of credit risk with respect to trade receivables are limited due to the wide variety of customers and markets in which services are provided as well as their dispersion across many geographic areas in the United States. The Company performs ongoing credit evaluations of its customers, but does not require collateral to support customer receivables. The Company establishes an allowance for doubtful accounts based on various factors including the credit risk of speciÑc customers, age of receivables outstanding, historical trends, economic conditions and other information.\n\n## New Accounting Pronouncement\n\nOn December 16, 2004, the Financial Accounting Standards Board issued Statement of Financial Accounting Standards No. 123 (revised 2004), \"\"Share-Based Payment'' (\"\"SFAS 123(R)''), which is a revision of Statement of Financial Accounting Standards No. 123, \"\"Accounting for Stock-Based Compensation'' (\"\"SFAS 123''). SFAS 123(R) supersedes APB Opinion No. 25, \"\"Accounting for Stock Issued to Employees,'' and amends SFAS 95, \"\"Statement of Cash Flows.'' Generally, the approach in SFAS 123(R) is similar to the approach described in SFAS 123. However, SFAS 123(R) requires all share-based payments to employees, including grants of employee stock options, to be recognized in the income statement based on their fair values. Pro forma disclosure is no longer an alternative.", - "page_start": 72, - "page_end": 72, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC.\n\n## VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\n\nSCHEDULE II\n\n(in millions)\n\n| | Balance at Beginning of Year | Additions Charged to Income | Accounts Written OÅ | Other(1) | Balance at End of Year |\n|-------------------------------------------|--------------------------------|-------------------------------|-----------------------|------------|--------------------------|\n| CLASSIFICATIONS | | | | | |\n| Allowance for doubtful accounts: | | | | | |\n| 2004 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $19.0 | $ 8.0 | $ (9.0) | $ Ì | $18.0 |\n| 2003 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 10.4 | (10.4) | Ì | 19.0 |\n| 2002 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 19.0 | 11.2 | (11.4) | .2 | 19.0 |", - "page_start": 101, - "page_end": 101, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data)\n\n## 1. BASIS OF PRESENTATION\n\nThe accompanying Consolidated Financial Statements include the accounts of Republic Services, Inc. (a Delaware corporation) and its subsidiaries (the \"\"Company''). The Company provides non-hazardous solid waste collection and disposal services in the United States. All intercompany transactions have been eliminated in consolidation.\n\nAs of January 1, 2003, the Company adopted Statement of Financial Accounting Standards No. 143, \"\"Accounting for Asset Retirement Obligations'' (\"\"SFAS 143''). SFAS 143 required the Company to change the methodology it used to record Ñnal capping, closure and post-closure costs relating to its landÑlls. As of January 1, 2003, the Company recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In addition, the Company also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle for its methane gas collection systems. This change in accounting for methane gas collection systems was prompted by a thorough evaluation of the Company's landÑll accounting policies in connection with the adoption of SFAS 143 and is consistent with the methodology used by other participants in the waste industry.\n\nThe following table summarizes the adjustments to net income and earnings per share for the year ended December 31, 2002 as if SFAS 143 and the Company's change in accounting principle relating to its methane gas collection systems were eÅective January 1, 2002:\n\n| | Year Ended December 31, 2002 | Year Ended December 31, 2002 |\n|-----------------------------------------------------------------------|--------------------------------|--------------------------------|\n| | Net Income | Diluted Earnings Per Share |\n| ReportedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $239.6 | $1.44 |\n| SFAS 143: | | |\n| Reversal of closure and post-closure expense previously reported ÏÏÏÏ | 16.2 | .10 |\n| Reversal of landÑll purchase price amortization previously reportedÏÏ | .8 | Ì |\n| Accretion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (6.5) | (.04) |\n| LandÑll amortizationÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (10.9) | (.07) |\n| Total adjustments for SFAS 143ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.4) | (.01) |\n| Methane Gas Collection Systems: | | |\n| Reversal of depreciation previously reported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .3 | Ì |\n| Depletion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.3) | (.01) |\n| Total adjustment for methane gas collection systems ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.0) | (.01) |\n| Adjusted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $237.2 | $1.42 |", - "page_start": 64, - "page_end": 64, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\naverage cost of indebtedness. Interest capitalized was $2.1 million, $3.3 million and $2.5 million for the years ended December 31, 2004, 2003 and 2002, respectively.\n\nA summary of property and equipment is as follows:\n\n| | December 31, | December 31, |\n|------------------------------------------------------------------------------------------------------------------------------|----------------|----------------|\n| | 2004 | 2003 |\n| Other landÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 97.9 | $ 94.4 |\n| Non-depletable landÑll land ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 53.4 | 49.5 |\n| LandÑll development costs ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1,486.5 | 1,335.2 |\n| Vehicles and equipment ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1,617.5 | 1,490.6 |\n| Buildings and improvementsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 287.0 | 267.4 |\n| Construction-in-progress Ì landÑll ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 39.1 | 60.8 |\n| Construction-in-progress Ì otherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.4 | 6.4 |\n| | 3,588.8 | 3,304.3 |\n| Less: Accumulated depreciation, depletion and amortization Ì LandÑll development costs ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (742.9) | (644.6) |\n| Vehicles and equipment ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (766.3) | (666.4) |\n| Building and improvements ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (70.8) | (62.3) |\n| | (1,580.0) | (1,373.3) |\n| Property and equipment, netÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 2,008.8 | $ 1,931.0 |\n\nThe Company periodically evaluates whether events and circumstances have occurred that may warrant revision of the estimated useful life of property and equipment or whether the remaining balance of property and equipment should be evaluated for possible impairment. The following are examples of such events or changes in circumstances:", - "page_start": 67, - "page_end": 67, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "Who is the Vice Chairmain of the Board of Republic Services ?", - "target_page": 5, - "target_passage": " Harris W. Hudson1 Vice Chairman of the Board", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON INTERNAL CONTROL OVER FINANCIAL REPORTING\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited management's assessment, included in the accompanying Report of Management on Republic Services, Inc.'s Internal Control Over Financial Reporting, that Republic Services, Inc. and subsidiaries maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission (the COSO criteria). Republic Services, Inc.'s management is responsible for maintaining eÅective internal control over Ñnancial reporting and for its assessment of the eÅectiveness of internal control over Ñnancial reporting. Our responsibility is to express an opinion on management's assessment and an opinion on the eÅectiveness of the company's internal control over Ñnancial reporting based on our audit.\n\nWe conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether eÅective internal control over Ñnancial reporting was maintained in all material respects. Our audit included obtaining an understanding of internal control over Ñnancial reporting, evaluating management's assessment, testing and evaluating the design and operating eÅectiveness of internal control, and performing such other procedures as we considered necessary in the circumstances. We believe that our audits provide a reasonable basis for our opinion.\n\nA company's internal control over Ñnancial reporting is a process designed to provide reasonable assurance regarding the reliability of Ñnancial reporting and the preparation of Ñnancial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over Ñnancial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reÖect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of Ñnancial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material eÅect on the Ñnancial statements.\n\nBecause of its inherent limitations, internal control over Ñnancial reporting may not prevent or detect misstatements. Also, projections of any evaluation of eÅectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies and procedures may deteriorate.\n\nIn our opinion, management's assessment that Republic Services, Inc. maintained eÅective internal control over Ñnancial reporting as of December 31, 2004, is fairly stated, in all material respects, based on the COSO criteria. Also, in our opinion, the Company maintained, in all material respects, eÅective internal control over Ñnancial reporting as of December 31, 2004, based on the COSO criteria.", - "page_start": 59, - "page_end": 59, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM ON THE FINANCIAL STATEMENTS\n\nThe Board of Directors and Stockholders of Republic Services, Inc.:\n\nWe have audited the accompanying consolidated balance sheets of Republic Services, Inc. and subsidiaries as of December 31, 2004 and 2003, and the related consolidated statements of income, stockholders' equity, and cash Öows for the three years in the period ended December 31, 2004. Our audits also included the Ñnancial statement schedule listed in the Index at Item 15(a). These Ñnancial statements and schedule are the responsibility of the Company's management. Our responsibility is to express an opinion on these Ñnancial statements and schedule based on our audits.\n\nWe conducted our audits in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the Ñnancial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the Ñnancial statements. An audit also includes assessing the accounting principles used and signiÑcant estimates made by management, as well as evaluating the overall Ñnancial statement presentation. We believe that our audits provide a reasonable basis for our opinion.\n\nIn our opinion, the Ñnancial statements referred to above present fairly, in all material respects, the consolidated Ñnancial position of Republic Services, Inc. and subsidiaries at December 31, 2004 and 2003, and the consolidated results of their operations and their cash Öows for each of the three years in the period ended December 31, 2004 in conformity with U.S. generally accepted accounting principles. Also, in our opinion, the related Ñnancial statement schedule, when considered in relation to the basic Ñnancial statements taken as a whole, presents fairly in all material respects the information set forth therein.\n\nAs discussed in Note 1 to the Ñnancial statements, in 2003 Republic Services, Inc. changed its method of accounting for Ñnal capping, closure and post-closure costs relating to its landÑlls and for methane gas collection systems.\n\nWe also have audited, in accordance with the standards of the Public Company Accounting Oversight Board (United States), the eÅectiveness of Republic Services, Inc.'s internal control over Ñnancial reporting as of December 31, 2004, based on criteria established in Internal Control Ì Integrated Framework issued by the Committee of Sponsoring Organizations of the Treadway Commission and our report dated February 24, 2005, expressed an unqualiÑed opinion thereon.\n\n/s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n## REGISTRANT:\n\n## REPUBLIC SERVICES, INC.\n\nBy: /s/\n\nJAMES E. O'CONNOR\n\nJames E. O'Connor Chairman of the Board and Chief Executive OÇcer (principal executive oÇcer)\n\n## February 25, 2005\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed by the following persons on behalf of the Registrant and in the capacities and on the dates indicated.\n\n| Signature | Signature | Title | Date |\n|------------------------|-------------------------------------|-----------------------------------------------------------------------------|-------------------|\n| /s/ | JAMES E. O'CONNOR James E. O'Connor | Chairman of the Board and Chief Executive OÇcer (principal executive oÇcer) | February 25, 2005 |\n| /s/ | HARRIS W. HUDSON | Vice Chairman and Director | February 25, 2005 |\n| Harris W. Hudson /s/ | TOD C. HOLMES Tod C. Holmes | Senior Vice President and Chief Financial OÇcer (principal Ñnancial oÇcer) | February 25, 2005 |\n| /s/ | CHARLES F. SERIANNI | Vice President and Chief Accounting | February 25, 2005 |\n| /s/ | JOHN W. CROGHAN | Director | February 25, 2005 |\n| John W. Croghan | | | |\n| /s/ | W. LEE NUTTER W. Lee Nutter | Director | February 25, 2005 |\n| | | | February 25, 2005 |\n| /s/ Ramon A. Rodriguez | RAMON A. RODRIGUEZ | Director | |\n| /s/ | ALLAN C. SORENSEN | Director | February 25, 2005 |\n| | Allan C. Sorensen | | February 25, 2005 |\n| /s/ | MICHAEL W. WICKHAM | Director | |\n\nMichael W. Wickham", - "page_start": 100, - "page_end": 100, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (All tables in millions, except per share data) Ì (Continued)", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data)\n\n## 1. BASIS OF PRESENTATION\n\nThe accompanying Consolidated Financial Statements include the accounts of Republic Services, Inc. (a Delaware corporation) and its subsidiaries (the \"\"Company''). The Company provides non-hazardous solid waste collection and disposal services in the United States. All intercompany transactions have been eliminated in consolidation.\n\nAs of January 1, 2003, the Company adopted Statement of Financial Accounting Standards No. 143, \"\"Accounting for Asset Retirement Obligations'' (\"\"SFAS 143''). SFAS 143 required the Company to change the methodology it used to record Ñnal capping, closure and post-closure costs relating to its landÑlls. As of January 1, 2003, the Company recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In addition, the Company also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle for its methane gas collection systems. This change in accounting for methane gas collection systems was prompted by a thorough evaluation of the Company's landÑll accounting policies in connection with the adoption of SFAS 143 and is consistent with the methodology used by other participants in the waste industry.\n\nThe following table summarizes the adjustments to net income and earnings per share for the year ended December 31, 2002 as if SFAS 143 and the Company's change in accounting principle relating to its methane gas collection systems were eÅective January 1, 2002:\n\n| | Year Ended December 31, 2002 | Year Ended December 31, 2002 |\n|-----------------------------------------------------------------------|--------------------------------|--------------------------------|\n| | Net Income | Diluted Earnings Per Share |\n| ReportedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $239.6 | $1.44 |\n| SFAS 143: | | |\n| Reversal of closure and post-closure expense previously reported ÏÏÏÏ | 16.2 | .10 |\n| Reversal of landÑll purchase price amortization previously reportedÏÏ | .8 | Ì |\n| Accretion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (6.5) | (.04) |\n| LandÑll amortizationÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (10.9) | (.07) |\n| Total adjustments for SFAS 143ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (.4) | (.01) |\n| Methane Gas Collection Systems: | | |\n| Reversal of depreciation previously reported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .3 | Ì |\n| Depletion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.3) | (.01) |\n| Total adjustment for methane gas collection systems ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.0) | (.01) |\n| Adjusted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $237.2 | $1.42 |", - "page_start": 64, - "page_end": 64, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED BALANCE SHEETS\n\n(in millions, except share data)", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM\n\nWe consent to the incorporation by reference in the Registration Statements (Form S-8 Nos. 333-81801, 333-78125, 333-45542 and 333-104048) pertaining to the Republic Services 401(k) Plan, 1998 Stock Incentive Plan, Republic Services, Inc. Amended and Restated Employee Stock Purchase Plan, and Republic Services, Inc. Amended and Restated 1998 Stock Incentive Plan, respectively, of our reports dated February 24, 2005, with respect to the consolidated Ñnancial statements and schedule of Republic Services, Inc., Republic Services, Inc. management's assessment of the eÅectiveness of internal control over Ñnancial reporting, and the eÅectiveness of internal control over Ñnancial reporting of Republic Services, Inc., included in this Annual Report (Form 10-K) for the year ended December 31, 2004.\n\n/s/ ERNST & YOUNG LLP CertiÑed Public Accountants\n\nFort Lauderdale, Florida February 24, 2005", - "page_start": 102, - "page_end": 102, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED STATEMENTS OF INCOME\n\n(in millions, except earnings per share data)", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED STATEMENTS OF STOCKHOLDERS' EQUITY\n\n## AND COMPREHENSIVE INCOME\n\n(in millions)", - "page_start": 62, - "page_end": 62, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|----------------------------------------------------------------------------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Weighted-average fair value of the Company's stock options, restricted stock and stock units granted during the period ÏÏÏ | $ 9.33 | $ 7.64 | $ 7.47 |\n| Assumptions Ì | | | |\n| Risk-free interest ratesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6% | 3.2% | 2.7% |\n| Expected livesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 5 years | 5 years | 5 years |\n| Expected volatility ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 30.0% | 40.0% | 40.0% |\n| Dividend yieldÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9% | Ì | Ì |\n\n## Revenue Recognition and Deferred Revenue\n\nThe Company generally provides services under contracts with municipalities or individual customers. Revenue consists primarily of collection fees from commercial, industrial, residential and municipal customers and transfer and landÑll disposal fees charged to third parties. Advance billings are recorded as deferred revenue, and the revenue is then recognized over the period services are provided. Collection, transfer and disposal, and other services accounted for approximately 74.3%, 18.9% and 6.8%, respectively, of consolidated revenue for the year ended December 31, 2004. No one customer has individually accounted for more than 10% of the Company's consolidated revenues or of the Company's reportable segment revenue in any of the past three years.\n\nThe Company recognizes revenue when all four of the following criteria are met:\n\n - , Persuasive evidence of an arrangement exists such as a service agreement with a municipality, a hauling customer or a disposal customer,\n - , Services have been performed such as the collection and hauling of waste or the disposal of waste at a Company-owned disposal facility,\n - , The price of the services provided to the customer are Ñxed or determinable, and\n - , Collectability is reasonably assured.\n\n## Other Charges", - "page_start": 71, - "page_end": 71, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "How mush did the Moomba incident cost to Santos in 2004 ?", - "target_page": 12, - "target_passage": " the Moomba incident resulted in $17 million of one-off costs in 2004.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## ANALYSING FINANCIAL PERFORMANCE\n\n\n\n'The sound operating results achieved in 2004 underline the changing face of Santos towards a higher value, higher margin business. We ended the year with a strong financial position and our financial flexibility intact.'\n\n## PETER WASOW\n\nChief Financial Officer\n\n## 2004 WAS A YEAR OF GOOD OPERATING RESULTS\n\nOverall the increase in 2004 profit of 16% reflected a year of sound operating performance. Sales revenue was a record $1,501 million, up 2.5% on 2003, reflecting higher prices across most products and was achieved despite lower production as a result of the Moomba incident and declining output from late life fields.\n\nSantos benefited from higher world oil prices and realised US$51.83 per boe in 2004, an increase of 19% over 2003. The benefit of higher world oil prices substantially offset the impact of lower production volumes.\n\nSantos was also able to negotiate higher domestic gas prices (up 4% on average) and deliver new revenue streams from project start-ups and acquisitions during the year.\n\n## PRODUCTION HAMPERED BY MOOMBA INCIDENT\n\n2004 production was lower due to the Moomba incident, which reduced production by 4.6 million\n\nboe. Field decline reduced production by a further 5.0 million boe.\n\nOffsetting these factors, Santos' growth projects are starting to come on line and have begun to reverse the decline experienced over the past three years. Two projects were commissioned in 2004: the Bayu-Undan liquids project and the Minerva gas project. In addition, acquisitions contributed 0.8 million boe to production.\n\nFor 2005, production is expected to improve by around 15%, or 4% excluding the impact of the Moomba incident. Santos now expects production to be around 54 million boe in 2005. This increase is largely driven by the commissioning of Mutineer-Exeter in March 2005 and the John Brookes gas field in the middle of the year.\n\n## PRODUCTION COSTS UNDER CONTROL\n\nProduction costs in 2004 were $309 million, up $45 million or 17% on 2003. Analysis shows that Santos was able to continue\n\n## PRODUCTION AND SALES REVENUE\n\n\n\nto effectively control its costs in the face of significant external pressures in the form of rising services and materials prices.\n\nExamining production costs in detail reveals:\n\n - · the start-up of Bayu-Undan and acquisitions added $16 million to Santos' cost base\n - · changes in our accounting added a further $16 million to Santos' production costs\n - · higher insurance premiums ($8 million) and one-off stock write-offs ($5 million) were offset by $17 million in cost savings largely as a result of Santos' continuous improvement initiatives\n - · the Moomba incident resulted in $17 million of one-off costs in 2004.\n\nPiecing this together, the key themes in our financial performance were:\n\n - · cost savings in established production areas more than offset increases in the price of services and materials\n - · Santos' cost base rose as production from new developments and acquisitions were added to the Company's expanding portfolio of producing assets.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## OPERATING CASH FLOW AND CAPITAL EXPENDITURE\n\n$ million\n\n\n\n## DEPRECIATION, DEPLETION AND AMORTISATION\n\nAll things being equal, DD&A could have been expected to be lower this year, as Santos produced lower volumes and had written off the Heytesbury plant in the onshore Otway Basin last year.\n\nHowever, two factors caused an increase in 2004 DD&A. Firstly, while reserve revisions were positive overall, negative revisions were predominantly in producing areas which increased depletion rates in 2004, while positive reserve revisions were in areas where Santos is not yet producing or where straight line depreciation is dominant; for example, Casino and John Brookes.\n\nSecondly, on the future development cost side, depletion is up partly because Santos is starting to factor in higher steel and service company costs into long-term economic models.\n\n## CASH FLOW LOWER\n\nWhile Santos had a strong profit year, this is not fully reflected in cash flows.\n\nThere were large movements in trade debtors between years, reflecting the timing of liftings and the payments for them.\n\nIn addition, Santos has not yet been paid for the insurance claim relating to the Moomba incident. A total of $117 million was recognised in sundry income, which represents an estimate of the amount receivable from insurers for lost revenue, additional costs and replacement plant and equipment. At year end the money was still owed and so is not shown as part of operating cash flow. The final quantification of the claim with insurers is progressing.\n\n## RECORD CAPITAL EXPENDITURE\n\nCapital expenditure ended right on target at $930 million a record year for Santos approaching a level which is double DD&A, reflecting how rapidly the portfolio is changing.\n\nSantos will continue with a high development expenditure in 2005, but expects to spend more in line with cash generation. Exploration spend is estimated to be about $150 million, while development spend is expected to be reduced to $530 million and delineation to $90 million. Other capital spending is expected to be reduced to $80 million.\n\nThis results in a total planned capital expenditure for 2005 of approximately $850 million.\n\n## FINANCIAL FLEXIBILITY INTACT\n\nSantos ended the year in a strong financial position with its financial flexibility intact, despite the record development spending.\n\nThe FUELS issue was successful and Santos' gearing increased only marginally, despite the large capital program in 2004.\n\nThis is important in Santos' business as the Company needs to be able to fund exploration success as it occurs, and our development projects are increasing in size.\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## HARNESSING VALUE FROM OPERATIONS\n\nThe Santos base business comprises production from assets in all of the Company's existing producing fields.\n\nSantos is countering decline from mature fields with strategies such as optimisation and trialling new technologies to maximise output, while running an exploration program which aims to add new projects and production.\n\nAt all times, ensuring the safety of all operations and minimising any environmental impacts remains paramount.\n\n## 2004 PRODUCTION IMPACTED BY MOOMBA INCIDENT\n\nSantos' total production in 2004 fell from 54.2 million boe in 2003 to 47.1 million boe, primarily due to the effects of the 1 January incident at Moomba that resulted in a reduction of 4.6 million boe, together with declining performance from the East Spar and Stag fields in the Carnarvon Basin, offshore Western Australia.\n\nSales gas and ethane production fell 14% during the year from 222.8 PJ to 190.5 PJ. Production declined in the Cooper Basin and gas production from the onshore Otway Basin ceased with the divestment of these interests. However, gas production was steady or increased in four of five other areas of operation. This illustrates the success of Santos' continued efforts to diversify its base business and to optimise existing production.\n\nLower Cooper Basin gas production was partly offset by higher gas production from eastern Queensland through appraisal and development success at Churchie, new interests in Indonesia at Kakap and Brantas\n\nand increased interests at Patricia-Baleen. Amadeus Basin gas production remained flat as declining production was countered by successful development drilling during the second half of 2004 at Palm Valley and Mereenie.\n\nCrude oil production was 13% lower at 9.5 million barrels, down from 10.9 million barrels in the previous year as production declined at Stag, Legendre and Jabiru-Challis. Successful infill drilling at Legendre and Stag helped turn around declines for these fields during the second half of 2004. The program to improve production at Stag will continue into 2005 as simulation studies suggest further drilling and increased water injection could improve future production.\n\nCooper Basin oil production declined just 4% during 2004 due to successful delineation, development and production optimisation at several fields, particularly Merrimelia, Derrilyn and Mulberry. Amadeus Basin oil production declines were made less severe through successful drilling at Mereenie.\n\nCondensate production increased by 20% from 3.1 million barrels to 3.7 million barrels as BayuUndan liquids production commenced with better than expected performance during 2004, offsetting the lower condensate production from the Cooper Basin due to the Moomba incident and decline at East Spar as the field approached the end of its production life.\n\nCondensate production from the United States was also improved by almost 0.1 million barrels as successful development and\n\ndelineation wells on the deep Frio trend contributed with improved condensate content during the year.\n\nLPG production declined by 34% to 158,600 tonnes in 2004 from 240,700 tonnes in 2003, due mainly to the effects of the Moomba incident on the production of liquids through the liquids recovery plant. Production from Bayu-Undan was able to only partially offset this decrease.\n\n## APPLYING NEW TECHNOLOGIES\n\nReservoir studies have identified that some lower permeability reservoirs may have significant potential to increase recoveries through activities such as additional infill drilling, fracture stimulation and waterflooding.\n\nSantos tested new technologies in the Cooper Basin in drilling, completions and artificial lift optimisation during 2004 to improve product delivery and recovery in order to reduce production costs per unit.", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## (c) Commodity price risk exposure\n\nThe Santos Group is exposed to commodity price fluctuations through the sale of petroleum products denominated in US dollars. The Santos Group enters into commodity crude oil price swap and option contracts and natural gas swap and option contracts to manage its commodity price risk.\n\nAt 31 December 2004 the Santos Group has open oil price swap contracts with settlement expiry dates up to nine months. If closed out at balance date these contracts would have resulted in a loss of $11.2 million (2003: loss of $1.8 million).\n\n## (d) Credit risk exposure\n\nCredit risk represents the potential financial loss if counterparties fail to perform as contracted.\n\nThe credit risk on financial assets, excluding investments, of the Santos Group which have been recognised on the statements of financial position is indicated by the carrying amount.\n\nThe credit risk on off-balance sheet derivatives is the cost of replacing the contract if the counterparty were to default and is measured by their market value at balance date. As at 31 December 2004, counterparty default of foreign currency swaps, foreign currency option contracts, oil price swap contracts and interest rate swap contracts would result in a loss of $37.2 million (2003: loss of $61.9 million).\n\nThe Santos Group controls credit risk on derivative financial instruments by setting exposure limits related to the credit worthiness of counterparties, all of which are selected banks or institutions with a Standard and Poor's rating of A or better.\n\n", - "page_start": 86, - "page_end": 86, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## NOTES TO THE FINANCIAL STATEMENTS\n\nfor the year ended 31 December 2004\n\n## 32. Additional Financial Instruments Disclosure\n\n## (a) Foreign exchange risk exposure\n\nThe Santos Group is exposed to foreign exchange risk principally through the sale of liquid petroleum products denominated in US dollars, US dollar borrowings and US dollar expenditure. In order to hedge this foreign exchange risk, the Santos Group has from time to time entered into forward foreign exchange, foreign currency swap and foreign currency option contracts.\n\nAt 31 December 2004 the Santos Group has one open forward foreign currency exchange contract which has expired in January 2005. If closed out at balance date a loss of $0.2 million would have resulted.\n\nUS dollar denominated borrowings are either swapped into Australian dollar exposure (2004: US$321.4 million; 2003: US$115.0 million) or designated as a hedge of US dollar denominated investments in self-sustaining overseas controlled entities (2004: US$313.0 million; 2003: US$323.6 million) or as a hedge of future US denominated sales revenues (2004: US$146.4 million; 2003: US$219.4 million). As a result, there were no net foreign currency gains or losses arising from translation of US denominated dollar borrowings recognised in the statements of financial performance in 2004. Accordingly, $37.4 million of unrealised foreign currency gains were deferred as at 31 December 2004 (2003: gains of $66.3 million). The ultimate foreign currency gains or losses will be included in the measurement of the specific hedged US dollar denominated sales revenues to be realised in the years 2005 through 2006.\n\nThe Australian dollar equivalents of foreign currency monetary items included in the statements of financial position to the extent that they are not effectively hedged are:\n\n| | | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|-------------------------|-------------------------|----------------|----------------|---------------|---------------|\n| | | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Current assets | - United States dollars | 126.4 | 82.7 | 32.9 | 41.3 |\n| Current liabilities | - United States dollars | 60.5 | 35.4 | 6.5 | 8.5 |\n| Non-current liabilities | - United States dollars | 26.5 | - | - | - |", - "page_start": 85, - "page_end": 85, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "The market price of the Company's ordinary shares on 31 December 2004 was $8.48 (2003: $6.87).\n\n## (a) Santos Executive Share Plan\n\nThe Santos Executive Share Plan was approved by shareholders at a general meeting held on 22 December 1987.\n\nUnder the terms of the Plan, shares were initially issued as partly paid shares, paid to one cent. While partly paid, the Plan Shares are not transferable, carry no voting right and no entitlement to dividend but are entitled to participate in any bonus or rights issue.\n\nShares were issued principally on: 22 December 1987; 7 February and 5 December 1989; and 24 December 1990. In 1997 the Board determined that the Plan be discontinued and, accordingly, there has been no further issues of shares under the Plan.\n\nAt the beginning of the financial year there were 231,000 Plan Shares on issue. During the financial year 50,000 Plan Shares were fully paid and aggregate proceeds of $138,200 received by the Company. As at 31 December 2004 there were 181,000 Plan Shares outstanding.\n\n## (b) Santos Employee Share Acquisition Plan\n\nThe Santos Employee Share Acquisition Plan was approved by shareholders at the Annual General Meeting on 15 May 1997 and its continuation, with amendment, approved at the Annual General Meeting on 5 May 2000.\n\nBroadly, permanent eligible employees with at least a minimum period of service determined by Directors as at the offer date (one year of completed service for issues so far) are entitled to acquire shares under this Plan. Executives participating in the Santos Executive Share Option Plan (refer note 18(d)) or in the Executive Long Term Incentive Plan in 2004, casual employees and Directors of the Company are excluded from participating in this Plan. Employees are not eligible to participate under the Plan while they are resident overseas unless the Board decides otherwise.\n\nThe Plan provides for grants of fully paid ordinary shares in the capital of the Company up to a value determined by the Board which, to date, has been $1,000 per annum per eligible employee. A trustee is funded by the Santos Group to acquire shares directly from the Company or on market. The shares are then held by the trustee on behalf of eligible employees who have made applications under the Plan.\n\nThe employee's ownership of shares allocated under the Plan, and his or her right to deal with them, are subject to restrictions until the earlier of the expiration of the restriction period determined by the Board (being three years) and the time when he or she ceases to be an employee. Participants are entitled to instruct the trustee as to the exercise of voting rights, receive dividends and participate in bonus and rights issues during the restriction period. Shares are granted to eligible employees at no cost to the employee.", - "page_start": 63, - "page_end": 63, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "The financial impacts of the acquisitions on the Santos Group and the Company are summarised below:\n\n| | Consolidated | Consolidated | Santos Ltd | Santos Ltd |\n|------------------------------------------------------------------------------|------------------------------------------------------------------------------|----------------|---------------|---------------|\n| | 2004 $million | 2003 $million | 2004 $million | 2003 $million |\n| Fair value of net assets acquired | | | | |\n| Cash | (1.7) | 1.3 | (1.4) | 1.3 |\n| Other | (2.4) | 10.3 | (2.3) | 10.3 |\n| Exploration and development expenditure | 131.4 | 12.4 | 95.9 | 12.4 |\n| | 127.3 | 24.0 | 92.2 | 24.0 |\n| Purchase consideration | | | | |\n| Cash consideration paid | 110.6 | 24.0 | 92.2 | 24.0 |\n| Amount payable after balance date | 16.7 | - | - | - |\n| | 127.3 | 24.0 | 92.2 | 24.0 |\n| During the financial year the following controlled entities were registered: | During the financial year the following controlled entities were registered: | | | |\n| Santos Direct Pty Ltd | Santos Brantas Pty Ltd | | | |\n| Santos Egypt Pty Ltd | Santos (Donggala) Pty Ltd | | | |\n\n", - "page_start": 72, - "page_end": 72, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## MALEO NEGOTIATIONS ADVANCED\n\nOutside Australia, Santos and its co-venturers have executed a Heads of Agreement for the sale of the entire gas reserves of the Maleo field offshore East Java, Indonesia. Santos continued negotiations with PT Perusahaan Gas Negara, Indonesia's stateowned gas distributor, on behalf of the joint venture to finalise the Gas Sales Agreement. The project is targeting first production in the first half of 2006 at rates of up to 100 mmcf/d for more than five years.\n\n## FIRST RETAIL GAS SALES WITH SANTOS DIRECT\n\nAs well as selling gas into the wholesale gas market, Santos secured a retail gas licence from the Victorian Government in 2004. This allows Santos to sell gas direct to industrial customers and into the Victorian spot market through a wholly-owned\n\nsubsidiary, Santos Direct Pty Ltd ('Santos Direct').\n\nSantos Direct will market Santos' 10% share of gas production from the Minerva field - around 15 TJ/d - in the offshore Otway Basin, which commenced production at the end of 2004.\n\nThe move to market and sell gas directly into the Victorian retail market is a first for Santos and leverages off Santos' position as one of Australia's largest gas producers, supplying wholesale gas to major industrial customers and specialist marketers in all mainland Australian states and territories.\n\n## LIQUIDS MARKETING ALLIANCE WITH BP\n\nAnother important marketing development during the year was the decision to outsource the marketing of crude oil and natural gas liquids to BP. The new marketing arrangements are in response to the significantly\n\nhigher volumes of crude oil that Santos will receive from the Mutineer-Exeter and Oyong projects, coming on stream in 2005, and the increasing globalisation of the liquids marketplace.\n\nThe validity of this approach has already been demonstrated by the sale of the first Mutineer-Exeter oil cargo at a premium to Tapis despite a discount for the uncertain delivery date.\n\nSantos continues to build an inventory of high quality options to provide a platform for production growth over the coming years. Santos is committed to a program of diversification while capitalising on the long-term Cooper Basin legacy asset. Most importantly, this involves leveraging the strengths of the core competencies built up over a number of years and Santos' well-positioned domestic gas franchise.\n\n\n\n\n\n'During 2004 we brought together everyone at Santos responsible for commercialisation into a single team. One of the outcomes from this was the introduction of gas swaps, where we were able to move gas between Santos assets in different states.'\n\n## RICK WILKINSON\n\nVice President Gas Marketing and Commercialisation\n\nThe alignment of joint venture interests in the John Brookes and East Spar fields has created an important production hub at Varanus Island, Carnarvon Basin, offshore Western Australia.", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "is also located in relatively shallow water with infrastructure nearby, creating options for early production.\n\nAt Santos, we are proud that an Australian company took on that challenge and succeeded, and I congratulate the exploration and drilling teams on a great effort. With the Jeruk discovery behind us, Indonesia is at the forefront of our international exploration efforts. With eight wells planned in the region for 2005, Santos is currently the most active explorer in Indonesia.\n\n## A STRONG FINANCIAL PERFORMANCE\n\nIt was pleasing that Santos was able to conclude 2004 on a higher note than it started.\n\nWe achieved record annual revenue thanks to higher oil and gas prices combined with the return of full production at Moomba to produce a 21.5% jump in second half sales: the best result for any six-month period in Santos' history.\n\nThe average realised price for crude oil was up nearly 19% to A$51.83 per barrel.\n\nThese results have left Santos well positioned to continue its strong investment program which saw capital expenditure peak at $930 million in 2004.\n\nIn 2005 we expect to invest around $850 million of new capital in projects and our strategy is to plan for firm developments based on affordability at relatively low oil prices. If higher prices continue and some projects mature quickly and can be given the green light, our overall capital expenditure may be higher.\n\nProduction is expected to rise in 2005 when, as usual, our financial performance will be subject to oil prices, exchange rates and interest rates. These factors have a significant effect on our bottom line. A US$1 per barrel change in the oil price equates to a A$16 million change in net profit after tax in 2005.\n\nA one US cent movement in the Australia-US dollar exchange rate would produce a change in profit after tax of A$8 million, and a 1% change in interest rates equates to a change in net profit after tax of A$9 million.\n\n2004 has also been an important period for shareholders, with a significant improvement in the Santos share price combined with an increase in the dividend.\n\n## PRODUCTION TO REBOUND\n\nWhile we expected lower production overall in 2004, our output was obviously curtailed further by the incident at the Moomba plant. The good news is that several projects emerged from the development pipeline during the year and made positive contributions to our expanding suite of oil and gas facilities.\n\nProduction is forecast to increase by 15% in 2005, or by 4% after excluding the effect of the Moomba downtime, to about 54 million boe. We expect this positive forward trend to be followed by further production growth of more than 10% in 2006.\n\nThe Bayu-Undan liquids project came on line in April 2004 and, at its increased design throughput of just over one billion cubic feet of gas per day, produced liquids at a rate of 100,000 barrels per day.\n\nBayu-Undan is currently stripping liquids and re-injecting the gas pending tie-in of the pipeline to Darwin in May 2005 for future LNG production. The onshore LNG facilities are more than two-thirds complete. With a gross production of 19 million barrels, 22% above expectations for the year, we were pleased with the performance of Bayu-Undan and look forward to a full year contribution from this exciting project in 2005.\n\nThe Minerva gas field off Victoria's western coast started production in December 2004 and is ramping up to full field production of around 150 TJ per day. Our share in this project is 10%, and is significant because it represents our first foray into marketing gas directly to customers or into the Victorian spot market through our sales vehicle, Santos Direct, aimed at delivering higher prices.\n\n## RECORD EXPLORATION EFFORT AHEAD\n\nExploration is a great way to increase shareholder value so I am pleased to be able to report that in 2004, Santos drilled 16 wildcat wells resulting in seven hydrocarbon discoveries.", - "page_start": 6, - "page_end": 6, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## CASINO AND JOHN BROOKES SANCTIONED\n\nWhile two projects came into production, Santos added two more to the development conveyor with the sanctioning of the Casino and John Brookes gas projects during the year.\n\nCasino was formally sanctioned in October and was 25% complete\n\n\n\n'2004 was the year that we really got the conveyor belt moving in terms of development projects. In 2005 we'll hand over to Operations our first offshore operated project, Mutineer-Exeter, ahead of schedule and under budget, and we'll continue to progress several other new offshore developments, targeted to be on stream during 2005-06.'\n\n## PAUL MOORE\n\nVice President Development Projects and Technical Services\n\nby the end of the year. This is a significant achievement considering the field was only discovered in late 2002.\n\nThe $200 million development commenced following the granting of the necessary Board approvals as well as the finalisation of a larger Gas Sales Agreement with TXU. Gas production is expected to start in the first quarter of 2006.\n\nAll formal environmental approvals have now been granted for the project by the Commonwealth Government. The use of existing onshore facilities and a low environmental impact design have been integral to", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_STO_2004.pdf", - "query": "What is the main focus of the Santos 2005 program ?", - "target_page": 19, - "target_passage": " Oil is the main focus of the 2005 program", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## HIGH IMPACT DRILLING IN 2005\n\nThe 2005 exploration program has the highest resource potential of any program undertaken at Santos.\n\nSantos is planning a large, high impact drilling campaign that is already well underway.\n\nSantos plans to drill 25 wells and will invest $150 million testing prospects within its expanding domestic and international exploration portfolio - up 19% from the $126 million spent on exploration in 2004.\n\nOil is the main focus of the 2005 program with most activity in the Kutei and East Java Basins offshore Indonesia, the Gulf of\n\nSuez in Egypt, the Bonaparte Basin in the Timor Sea and the Carnarvon Basin offshore Western Australia.\n\nThe 2005 program reflects the increasing materiality of Santos' exploration portfolio and continues the emphasis on more globally-focused exploration as an important part of the Company's growth strategy.\n\nSantos has already had drilling success early in 2005 with the Hiu Aman 1 well - the first to be drilled by Santos in the Donggala PSC. Hiu Aman 1 has indicated the presence of a prolific hydrocarbon system in this area. The discovery should add other lower risk prospects to Santos'\n\n## 2005 WILDCAT EXPLORATION PROGRAM\n\n\n\nexploration portfolio. A multi-well drilling program will be undertaken in Santos' Kutei Basin PSCs during 2005.\n\nAnother gas discovery has been made at Hurricane 1 in the Carnarvon Basin, offshore Western Australia. While both wells were discoveries, they require further evaluation to determine their commercial significance.", - "page_start": 18, - "page_end": 18, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## UNLOCKING THE VALUE OF STRATEGIC ASSETS\n\n\n\n'Our objective is to derive value from undeveloped assets which have been outside of Santos' base business.'\n\n## BRUCE WOOD\n\nVice President Strategic Projects\n\nSantos' Strategic Projects team focuses on assets that have proven difficult to commercialise or that need to be considered in a regional context rather than on an individual basis.\n\nThe other key activity for this team has been to lead Santos' continuous improvement focus.\n\n## UNITED STATES GAS\n\nThe US gas business was a major focus in 2004 for a number of reasons, not the least of which are the higher gas prices in the US compared with the domestic Australian market, and the ability to rapidly commercialise new discoveries.\n\nAn ongoing development and delineation program was carried out during the year, yielding better than planned production. The exploration initiative also continued to seek higher risk but more material prospects, aimed at enhancing the move into the shallow water area of the Gulf of Mexico. Exploration results in this area during 2005 will shape Santos' future strategy in the US.\n\n## TIGHT GAS\n\nHydrocarbons contained in traps with poor permeability are known as 'tight gas'. Large tight gas resources are known to exist in the Cooper Basin. Under current circumstances, this gas cannot be economically developed but, with the combination of improved production techniques and better commercial terms, could prove attractive.\n\nSantos assessed the resources and potential technologies that could be applied to unlock these resources during 2004 and is now\n\nworking up a range of possible evaluation projects to be undertaken in 2005.\n\n## NORTHERN AUSTRALIA GAS\n\nSantos has a significant existing gas resource base and some promising exploration acreage in the waters offshore Darwin, where it intends to drill a gas exploration well later this year.\n\nThe Company currently operates the Mereenie gas field in the Amadeus Basin in central Australia, which supplies gas to Darwin. Santos' first offshore gas production in northern Australia begins in 2006, sending BayuUndan gas to Darwin for conversion to LNG. Santos plans to build upon its growing position in the region to target further development which could ensure long-term gas supplies for the current market, or an expanded Northern Territory domestic market, or for export.\n\n## PAPUA NEW GUINEA GAS\n\nSantos is in active discussions with the PNG Gas Project participants to potentially re-enter the PNG Gas Project. Santos has a significant interest in a large part of the liquids-rich Hides gas field which is integral to the development of the Project.\n\n2004 CONTINGENT RESOURCES (TOTAL 1,443 mmboe)\n\n\n\n - Northern Australia 709 mmboe\n\nWestern Australia\n\n71 mmboe\n\nCentral Australia 240 mmboe\n\n - Southern Australia 32 mmboe\n - Papua New Guinea 391 mmboe\n\n\n\n\n\n", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "To this end, further reductions in costs for 2005 are targeted by increasing the focus on fit for purpose rigs and larger campaigns. These efforts will be supported by a significant boost in 3D seismic acquisition that commenced at the end of 2003 and continues in 2005.\n\nCoiled tubing underbalanced drilling operations were performed at three gas wells and one oil well, while multiple pinpoint fracture stimulations were performed at five new gas wells, with between three and six fracs performed in each well.\n\nThese introductory programs are providing encouraging initial results. The underbalanced drilling\n\nprogram achieved better than predicted rate improvements for all three gas wells.\n\nThese programs will now be extended to a variety of more complex and possibly harsher oil and gas wellbore/reservoir environments during 2005.\n\nSantos increased gas well deliverability in the Cooper Basin by 63 TJ per day through numerous projects brought on line during 2004. Some 8 PJ of incremental gas production resulted during 2004 from this optimisation program. These results were achieved at a significantly lower cost than conventional development drilling and substantially exceeded targets set at the beginning of the year.\n\nWhile the Cooper Basin is a mature hydrocarbon area, Santos is drilling wells which can be commercialised quickly and cost-effectively, delivering strong cash flow which can be applied to other growth opportunities. A further focus in 2004 was to leverage Cooper Basin infrastructure; for example, via gas swaps, and increase prices under existing agreements.\n\nAn increased Gas Sales Agreement was reached with CS Energy which resulted in an additional seven wells being drilled at the Scotia coal seam methane gas field in eastern Queensland.", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## SANTOS GROUP INTERESTS\n\n## As at 28 February 2005\n\n| Licence Area | % Interest |\n|------------------------------------------------------------------------------------------------------------------|--------------|\n| SOUTH AUSTRALIA | |\n| (PPL = Petroleum Production Licence; PL = Pipeline Licence) | |\n| Cooper Basin * (I) (Fixed Factor Area) | |\n| (SA Unit PPLs 6-20, 22-25, 27-61, 63-75, | |\n| 78-117, 119, 120, 124, 126-130, 132-135, | |\n| 137-141, 143-146, 148-151, 153-155, 157, | |\n| 159-166, 169-181, 183-186, 188-190, 192, | |\n| 193, 195, 196, 198, 199 and in Queensland PPL12) | 66.6 |\n| Downstream * (I) (PL2) | 66.6 |\n| Patchawarra East Joint Operating Area * (PPLs 26, 76, 77, 118, 121-123, 125, 131, 136, 142, 147, 152, 156, 158, | |\n| 167, 182, 187, 191, 194 & 197) | 72.3 |\n\n## QUEENSLAND\n\n(PL = Petroleum Lease; PPL = Pipeline Licence)\n\n## South-West Queensland *\n\nATP 259P\n\nNaccowlah (PLs 23-26, 35, 36, 62, 76-79, 82, 87, 105, 107, 109, 133, 149, 175, 181, 182 & 189 55.5\n\nTotal 66 (PLs 34, 37, 63, 68, 75, 84, 88, 110, 129, 130, 134, 140, 142-144, 150, 168, 178, 186, 193, PPL8 & PPL14)\n\n70.0\n\nWareena (PLs 113, 114, 141, 145, 148, 153, 157, 158, 187 & 188)\n\n61.2\n\nInnamincka (PLs 58, 80, 136, 137, 156 & 159)\n\n70.0\n\nAlkina\n\n72.0\n\nAquitaine A (PLs 86, 131, 146, 177 & 208)\n\n52.5\n\nAquitaine B (PLs 59-61, 81, 83, 85, 97, 106, 108, 111, 112, 132, 135, 139, 147, 151, 152, 155, 205 & 207)\n\n55.0\n\nAquitaine C (PLs 138 & 154)\n\n47.8\n\n50/40/10 (PL 55)\n\n60.0\n\nSWQ Unit (PLs 12-13, 16-18, 31, 34, 36-40, 46-48, 62, 64-72, 78-82, 84, 86, 94-96, 98, 100, 101 & 105 and in South Australia PLs 5, 9 & 15)\n\n60.1\n\nATP 267P (Nockatunga) (PLs 33, 50 & 51)\n\n59.1\n\nATP 299P (Tintaburra) (PLs 29, 38, 39, 52, 57, 95, 169 & 170)\n\n89.0", - "page_start": 43, - "page_end": 43, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## DELIVERING ON THE EXPLORATION STRATEGY\n\nExploration is a key growth driver for Santos and success with the drill bit is vital to adding value for Santos shareholders. During the past four years Santos has been working to build exploration opportunities by:\n\n - · acquiring new exploration acreage\n - · adding material exploration prospects\n - · drilling wildcat exploration wells.\n\n## SUCCESS RATE OF 44% IN 2004\n\nSantos' 2004 exploration effort produced good results, as the Company high graded its exploration acreage and started drilling one of the most exciting portfolios in the industry.\n\nSantos discovered hydrocarbons in seven of the sixteen wildcat wells that were drilled, achieving an impressive success rate of 44%.\n\nThe program added at least 93 million boe (including the pre-drill estimate for Jeruk) of recoverable resources that will be further evaluated by delineation and, in some cases, production history to determine 1P and 2P reserve additions.\n\nImportantly, these results were achieved with financial discipline, spending $126 million which was substantially less than forecast.\n\nThe most significant drilling result for the year was the Jeruk oil discovery in the Sampang PSC offshore East Java, Indonesia. The Jeruk discovery is still under evaluation but its commercial significance appears encouraging. Santos has confirmed an oil column of at least 379 metres with a likely gross recoverable resource in excess of the pre-drill estimate of 170 million barrels.\n\nSantos also had further exploration successes in the\n\nCooper Basin in central Australia where four of six wildcat wells were cased and suspended as gas discoveries.\n\nThere was also success in the offshore Otway Basin with the Martha gas discovery near the Casino field, which is currently being evaluated to determine its commercial significance. Additional drilling is planned to occur nearby in 2005 to follow up this encouraging result.\n\nSantos discovered gas in the United States at the Torres 1A onshore well, which was brought onto production only two months after drilling was completed.\n\nOther wells in the offshore Otway Basin included the deep water Amrit 1 well, which was plugged and abandoned after failing to intersect economic hydrocarbons, and Callister 1 which was also plugged and abandoned with gas shows.\n\n\n\n\n\n'2004 was a great year for our explorers. We started drilling one of the most exciting portfolios in our industry and our success to date shows that our strategy of basin excellence is delivering.'\n\n## JACQUES GOUADAIN\n\nVice President Geoscience and New Ventures", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "The Santos Group operates predominantly in one business, namely the exploration, development, production, transportation and marketing of hydrocarbons. Revenue is derived from the sale of gas and liquid hydrocarbons and the transportation of crude oil.\n\n", - "page_start": 82, - "page_end": 82, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "\n\nSantos is investing in the future of Australia's petroleum industry through the funding of the Australian School of Petroleum at the University of Adelaide.\n\nbe working in business operations with a lean and efficient corporate and services group.\n\nWith the exception of a small number of project teams, all non-award based positions in the Company were declared vacant and a selection process commenced around a set of criteria designed to ensure that people with the right skills and the ability to successfully grow Santos were appointed. As is often the case with transformational change initiatives, not everyone was re-appointed and, as a result, the workforce was reduced by 9%.\n\n## CULTURE CHANGE\n\nThe need to develop a culture that supports the newly designed business processes was another of the major outcomes of the change program. A Santos-wide culture change program led by employees is currently underway.\n\nThis long-term program is designed to ensure that the way employees work together enhances Santos' ability to be successful.\n\nOne of the first tasks undertaken was a voluntary employee survey to identify the gaps between the existing culture and the desired culture. The outcomes of the survey will assist in the development of programs and activities that will better align work practices with Santos' strategic goals.\n\n## TRAINING AND DEVELOPING PEOPLE\n\nMaking sure training and development supports current and future business requirements, and provides opportunities for people to develop their skills to achieve optimum performance, are key aspects of Santos' human resources strategy.\n\nSantos has a number of long-term projects underway which will optimise the substantial investment the Company makes in training people. Importantly, these projects will deliver programs that are targeted to meet business and individual needs and to support culture change initiatives.\n\n## BANKSIA AWARDS\n\nSantos was selected in 2004 as a finalist in the Banksia Environmental Awards for the work undertaken in the Companyled initiative to protect the world-renowned Coongie Lakes, resulting in the area being declared a new National Park by the South Australian Government.\n\nAs a finalist for this award Santos was recognised for its leadership role in bringing together a group of disparate parties to develop a Memorandum of Understanding recommending further protection for the Coongie Lakes.\n\n## WASTE MANAGEMENT\n\nSantos trialled innovative waste management techniques during 2004 to reduce the volume of hydrocarbon waste generated from Cooper Basin operations. Preliminary results indicate that these waste volumes can be reduced to 3-5% of their original volume, which is a significant achievement.\n\nThis technology will be implemented where possible\n\n## OIL SPILL VOLUMES\n\n3\n\n\n\nm\n\nacross Santos operations. The long-term environmental and financial benefits of using this technology are expected to be considerable.\n\n## REDUCED OIL SPILLS\n\nThere was a substantial reduction in the volume of hydrocarbons released to the environment in 2004, with uncontained hydrocarbons spilt reducing from 1,943 cubic metres to 83 cubic metres and Santos continues to focus on reducing oil spills.\n\n## GREENHOUSE POLICY\n\nSantos released its Greenhouse Policy in 2004 to drive performance improvements in this area through reducing emissions and producing oil and gas more efficiently.\n\nSantos' Greenhouse Policy is being rolled out across the organisation through crossfunctional greenhouse gas teams that have the right skill sets and responsibilities to progress this initiative. These teams will manage Greenhouse Policy and regulation, carbon management and trading opportunities, and energy efficiency. A key internal driver for emissions reduction will be the promotion of energy efficiency.\n\nSantos is committed to achieving effective emission reduction targets, to the pursuit of energy efficiency strategies and to the identification and implementation", - "page_start": 28, - "page_end": 28, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## HARNESSING VALUE FROM OPERATIONS\n\nThe Santos base business comprises production from assets in all of the Company's existing producing fields.\n\nSantos is countering decline from mature fields with strategies such as optimisation and trialling new technologies to maximise output, while running an exploration program which aims to add new projects and production.\n\nAt all times, ensuring the safety of all operations and minimising any environmental impacts remains paramount.\n\n## 2004 PRODUCTION IMPACTED BY MOOMBA INCIDENT\n\nSantos' total production in 2004 fell from 54.2 million boe in 2003 to 47.1 million boe, primarily due to the effects of the 1 January incident at Moomba that resulted in a reduction of 4.6 million boe, together with declining performance from the East Spar and Stag fields in the Carnarvon Basin, offshore Western Australia.\n\nSales gas and ethane production fell 14% during the year from 222.8 PJ to 190.5 PJ. Production declined in the Cooper Basin and gas production from the onshore Otway Basin ceased with the divestment of these interests. However, gas production was steady or increased in four of five other areas of operation. This illustrates the success of Santos' continued efforts to diversify its base business and to optimise existing production.\n\nLower Cooper Basin gas production was partly offset by higher gas production from eastern Queensland through appraisal and development success at Churchie, new interests in Indonesia at Kakap and Brantas\n\nand increased interests at Patricia-Baleen. Amadeus Basin gas production remained flat as declining production was countered by successful development drilling during the second half of 2004 at Palm Valley and Mereenie.\n\nCrude oil production was 13% lower at 9.5 million barrels, down from 10.9 million barrels in the previous year as production declined at Stag, Legendre and Jabiru-Challis. Successful infill drilling at Legendre and Stag helped turn around declines for these fields during the second half of 2004. The program to improve production at Stag will continue into 2005 as simulation studies suggest further drilling and increased water injection could improve future production.\n\nCooper Basin oil production declined just 4% during 2004 due to successful delineation, development and production optimisation at several fields, particularly Merrimelia, Derrilyn and Mulberry. Amadeus Basin oil production declines were made less severe through successful drilling at Mereenie.\n\nCondensate production increased by 20% from 3.1 million barrels to 3.7 million barrels as BayuUndan liquids production commenced with better than expected performance during 2004, offsetting the lower condensate production from the Cooper Basin due to the Moomba incident and decline at East Spar as the field approached the end of its production life.\n\nCondensate production from the United States was also improved by almost 0.1 million barrels as successful development and\n\ndelineation wells on the deep Frio trend contributed with improved condensate content during the year.\n\nLPG production declined by 34% to 158,600 tonnes in 2004 from 240,700 tonnes in 2003, due mainly to the effects of the Moomba incident on the production of liquids through the liquids recovery plant. Production from Bayu-Undan was able to only partially offset this decrease.\n\n## APPLYING NEW TECHNOLOGIES\n\nReservoir studies have identified that some lower permeability reservoirs may have significant potential to increase recoveries through activities such as additional infill drilling, fracture stimulation and waterflooding.\n\nSantos tested new technologies in the Cooper Basin in drilling, completions and artificial lift optimisation during 2004 to improve product delivery and recovery in order to reduce production costs per unit.", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## OFFSHORE 1P AND 2P RESERVES\n\n\n\nThe shift in Santos' focus since 2001 is evidenced by the reduction in onshore reserves and the corresponding increase in offshore reserves over time, as shown in the charts below. This trend can be expected to continue as the central Australian fields mature and new projects move through the development conveyor.\n\n## ONSHORE 1P AND 2P RESERVES\n\nmmboe - nett\n\n", - "page_start": 25, - "page_end": 25, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## COMMISSIONING AND DELIVERING GROWTH PROJECTS\n\nThe diversification of Santos is evident in the creation of a number of new higher margin producing assets such as the Bayu-Undan liquids project offshore northern Australia, the Casino gas field offshore southern Australia, and the Mutineer-Exeter oil and John Brookes gas fields offshore Western Australia.\n\nOutside Australia, Santos has also built a core business in Indonesia through new field developments such as Oyong and Maleo. Santos is further reinforcing its capabilities to implement high value offshore development projects through an improved drilling capability (including deepwater and high pressure reservoirs) and functional leadership in the areas of reservoir and production engineering.\n\n## BAYU-UNDAN AND MINERVA COMMISSIONED\n\nThere has been considerable progress on all of these projects during 2004 with two projects being commissioned: Bayu-Undan liquids and Minerva gas.\n\nBayu-Undan started liquids production in April 2004 and was ramped up during the year to meet an increased design throughput of 1.1 billion cubic feet per day of raw gas. This resulted in liquids production of more than 100,000 barrels per day. This excellent performance generated production for the year of 19 million barrels - 22% above expectations.\n\nThe liquids project involves extracting and processing wet gas to remove condensate, propane and butane (liquids) before reinjecting dry gas back into the\n\nreservoir for later use as part of the future LNG stage of the project.\n\nThe liquids are loaded onto a Floating Storage and Offloading facility. Santos has a 10.6% interest and is the only Australian-owned company involved in the project, which was recently rated as one of the top 100 projects to change the world by Goldman Sachs JBWere.\n\nThe other project that commenced production during the year was the Minerva gas field in the Otway Basin offshore Victoria which started up in December.\n\nWhile Santos' share of production is only 10%, the project has greater significance for Santos because it has enabled the commencement of direct-tocustomer marketing through Santos Direct.\n\n## MUTINEER-EXETER COMMISSIONING\n\nAnother important project for Santos is the Mutineer-Exeter oil fields development.\n\nDespite disappointments regarding the size of reserves during development and appraisal drilling, the construction and connection of the fields proceeded at a rapid pace with the project 89% complete by year end.\n\nThe conversion of the state-ofthe-art Floating Production Storage and Offloading facility was completed at the Jurong shipyard in Singapore in December 2004 with no lost time safety incidents despite a massive workforce completing over two million work hours.\n\nNamed the MODEC Venture 11, the vessel left Singapore in early 2005 to take up anchorage in the Carnarvon Basin off the Western Australian coast. First oil production from Mutineer-Exeter is starting about three months ahead of schedule.\n\nFour high-tech horizontal wells have been drilled and completed, which are expected to provide initial peak plateau oil production of 70,000 to 90,000 barrels per day. The wells are fitted with dual electric submersible pumps and are supported further by seabed flow boost pumps to maintain high well rates throughout field life.\n\nSantos, with the assistance of external experts and other members of the joint venture, assessed the risk of reserve uncertainty against the incremental value to be created by a fast-track development and decided to proceed with the development, which was designed to provide substantial flexibility to cope with a wide range of production rate and reserve outcomes.\n\nThe project will come on stream earlier than expected, delivering strong cash flow in this high oil price environment. Coupled with this, the project will cost at least 10% less than budget.\n\n## CASINO AND JOHN BROOKES SANCTIONED", - "page_start": 19, - "page_end": 19, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the primary aim of the OSPRO cohort study ?", - "target_page": 2, - "target_passage": " The primary aim of the OSPRO cohort study was to de velop and validate review of systems (i.e. evidence of sys temic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in out patient orthopedic physical therapy settings", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## Abbreviations\n\nCCI: Charlson comorbidity index; OSPRO: Optimal Screening for Prediction of Referral and Outcome; OSPRO-ROS: Review of systems screening tool from OSPRO cohort study; OSPRO-YF: Pain-related psychological distress screening tool from OSPRO cohort study\n\n## Acknowledgements\n\nThe authors wish to acknowledge Dr. Roger B. Fillingim and Dr. Nicole M. Marlow for their input on study design and analysis. OPT-IN Network Participants included: University of Florida: Joel Bialosky; UF Health: Giorgio Zeppieri, Jr., Daniel Broome, Marty Huegel, Debi Jones, Steve Emery, Mike Hodges, Derek Miles, Jodi Davis, Charlene Stubbington, Mike Darcy; ATI Physical Therapy: Ellen Shanley, Thomas Denninger, Jenna Bartsokas, Elise Harris, Jordan Floyd, Wade Harrell; University of Southern California: Lori Michener, Amy Pomrantz, Brooks Rehabilitation: Raine Osborne, Nata Salvatori, John Leschitz, Brian Hagist, Laura Langer, Tim Shreve, Nando Malaman, Michael Bourassa, Justin Zych, Tasha Mouton Shanklin; University of Illinois at Chicago: Aaron Keil, Brad Myers, Deb Davey, Justin Payette, Adam Wielechowski, Richard Severin, Erik Martinez; Indiana State University: Ryan Hanigan, Carolina Valencia, Danielle Jena, Nicole Woodard; Arcadia University: Angela Tate; Life ' s Work Physical Therapy: Sandra Stryker, Aaron Leonard, Erin Courtney, Brandon Little, Kathryn Jankord, Brad Simpson, Charleen Hall, Paige Nixon, Julia Neufeld; University of Colorado, Denver: Paul Mintken, Virginia Arnette, Andrea Barsch.\n\n## Funding\n\nThis project was supported by the 2013 Clinical Research Network grant from the Orthopaedic Section, American Physical Therapy Association. The funding body had no role in the design of the study or collection, analysis, and interpretation of the data or in writing the manuscript. TAL received additional support from the Foundation for Physical Therapy with Promotion of Doctoral Studies I & II (PODS I& II) Awards. SZG and JMB received additional support from Brooks Rehabilitation while designing this study. JMB received support from the American National Institutes of Health (NIH) Rehabilitation Research Career Development Program (K12-HD055929).\n\n## Availability of data and materials\n\nThe data that support the findings of this study are available from the corresponding author upon reasonable request.\n\n## Authors ' contributions\n\nTAL provided input on study design and analysis plan, drafted the manuscript and approved final version of the manuscript. SZG secured funding, provided overall design, gave input on the analysis plan and approved final version of the manuscript. JMB provided input on design and analysis plan and approved final version of the manuscript.\n\n## Ethics approval and consent to participate\n\nEthics approval for this study was granted by the University of Florida Institutional Review Board-01 (Study #: 525 -2012). All participants provided written consent to participate in the study.\n\n## Consent for publication\n\nNot applicable.\n\n## Competing interests\n\nThe authors declare that they have no competing interests.\n\n## Publisher ' s Note\n\nSpringer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.\n\n## Author details\n\n1 Duke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham, NC 27705, USA. 2 Department of Physical Therapy, College of Public Health & Health Professions, University of Florida, Box 100154, UFHSC, Gainesville, FL 32610-0154, USA. 3 Brooks Rehabilitation Clinical Research Center, 3901 University Blvd. South, Suite 103, Jacksonville, FL 32216, USA. 4 Duke Clinical Research Institute, Department of Orthopaedic Surgery, Duke University, 2400 Pratt Street, Durham, NC 27705, USA.\n\nReceived: 9 November 2017 Accepted: 14 August 2018\n\n## References", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "## Methods\n\n## Dataset and patient population\n\nThis study used data from the Orthopedic Physical Therapy -Investigative Network ' s (OPT-IN) Optimal Screening for Prediction of Referral and Outcome (OSPRO) validation cohort study, a longitudinal prospective study of individuals with knee, shoulder, back or neck pain seeking Physical Therapy in the US. A convenience sample was recruited from December 2014 and December 2015 by participating OPT-IN clinics. The OPT-IN clinics that participated in data collection represented multiple geographic regions in the US including the Mideast, Southeast, Great Lakes, Rocky Mountain States and Far West, with an attempt to balance recruitment between urban and rural settings over the entire OPT-IN network. Physical therapists practicing in these clinics identified eligible participants at initial evaluation and directed them to a secure study website for the informed consent process and baseline self-report assessment. Eligibility criteria have been thoroughly reported elsewhere [19] and were intentionally broad to develop a cohort that was generalizable to those seeking physical therapy for common musculoskeletal conditions in the US. Participants completed follow-up self-reported assessments on the study website at 4 weeks, 6 months and 12 months. Participants were notified of a pending assessment by an email that directed them back to the study website to complete their follow-up assessment. For additional details of the dataset and cohort, readers are directed to the published cohort profile [19].\n\nThe primary aim of the OSPRO cohort study was to develop and validate review of systems (i.e. evidence of systemic involvement) and yellow flag (i.e. pain-related psychological distress) screening tools for use in outpatient orthopedic physical therapy settings. These screening tools, once validated and refined for clinical decision making, may improve the value of care delivery by accurately identifying individuals who 1) are appropriate for referral to other providers for management of non-musculoskeletal symptoms, and/or 2) would benefit from enhanced, psychologically-informed physical therapy. Early identification of individuals most appropriate for these modified pathways of care has the potential to reduce wasteful downstream health care utilization, limit the risk of unwarranted and costly care escalation, and improve clinical outcomes. Results of the primary analyses examining the predictive ability of the OSPRO tools for pain, disability, health status, and comorbidity outcomes have been previously published [20]. Pre-planned secondary analyses included prediction of persistent pain state [21] and this current analysis predicting future healthcare utilization. All subjects consented to participation in the study and ethics approval was granted by the University of Florida Institutional Review Board.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed5.pdf" - }, - { - "text": "In future studies, we will embed the OSPRO tools into electronic medical record (EMR) databases to refine and test outcomes prediction models at the health care systems level. Importantly, we will collect clinical encounter data through the EMR and combine it with administrative or billing data to confirm the results of this study with more objective measures of health care use. These studies will also allow us to provide better guidance on how to use the OSPRO tools to identify serious psychiatric involvement or systemic sources of pain that require medical referral. Finally, we will explore alternative scoring strategies for the tools, such as weighted scoring for the OSPRO-ROS and use of predicted full-length psychological questionnaire scores for the OSPRO-YF. Healthcare providers could then use the collective information from these studies to build learning health systems that facilitate effective, real-time clinical decision-making support to improve value of care for patients with musculoskeletal pain.\n\n## Conclusion\n\nBaseline disability and change in pain intensity were important predictors of any subsequent pain-related healthcare utilization, while predictors of individual service utilization were outcome-specific. Identification of risk is improved through treatment monitoring for pain and, in some cases, disability and pain-related psychological distress. Comorbidity burden was an important predictor of subsequent utilization of opioids and diagnostic tests and imaging, both of which have been recent targets of healthcare policy to constrain their unnecessary use. Future research is needed to refine these predictor variables and incorporate them into risk models that support clinical decision-making so that treatment effectiveness and efficiency are optimized in value-based systems.", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed5.pdf" - }, - { - "text": "Block 2: 10-item OSPRO-YF and 10-item OSPRO-ROS at baseline.\n\nBlock 3: Remaining items from the OSPRO-YF (+ 7 items) and OSPRO-ROS (+ 13 items). These were included to determine whether full-length versions of the tools provided better prediction over shortened versions.\n\nBlock 4: Baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores. Early changes in these variables may be associated with improved prediction of outcomes over baseline variables alone [38]. This approach modeled change in these variables as a measure of treatment response and allowed us to assess the relative value of treatment monitoring for the prediction of healthcare utilization outcomes.\n\nFor the first analysis, binary logistic regression was used to determine predictors of any healthcare utilization following physical therapy, with the dependent variable defined as reporting one or more utilization events for any of the potential healthcare services over the entire follow-up period. For analyses of specific services, utilization was dichotomized for each service. Specific service utilization over early (through 6 months) and late (6 months to 12 months) phases following physical therapy were collapsed to create a single dichotomous utilization indicator for each service over the entire study follow-up period. Any utilization of the service over that period was categorized as YES. Separate multivariate binary logistic regression models were then fitted for the dichotomous utilization indicator (i.e. YES or NO) of each healthcare service (e.g. opioid use, injection, imaging, surgery, and emergency room visits).\n\nFor all analyses, full hierarchical multivariate models were first fit to assess the unique contributions of each block. This approach allowed us to determine the relative contributions of baseline demographic and health-related variables, the newly developed OSPRO-ROS and OSPRO-YF tools, and response to treatment via time varying variables (e.g., pain intensity and region specific function). However, since our primary aim was to develop concise and accurate utilization prediction models for efficient assessment of risk, we then separately developed stepwise models using backward selection for each dependent variable to derive parsimonious prediction item sets. Parsimonious models were chosen as a more conservative approach to identifying individual predictors given the potential for overfitting full multivariate models because of high subject attrition. For stepwise models, the p -value threshold was 0.05 for entry and 0.10 for removal. Overall fit for each model was examined with Hosmer & Lemeshow test, chi-square and pseudo-R 2 values (e.g. Nagelkerke) when\n\nappropriate. Comparison of adjusted odds ratios (OR) and 95% confidence interval (CI) were used to determine the relative strength of each predictor in parsimonious models. Multicollinearity was assessed using variance inflation factor (VIF) and tolerance, where VIFs < 10 and tolerances > 0.1 suggested no significant collinearity among independent variables [39].\n\n## Planned sensitivity analyses for missing data", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed5.pdf" - }, - { - "text": "shown to identify approximately 95% of positive red-flag responders. For statistical analyses, the ' yes ' responses were added for each version and included in each model as a continuous independent variable.\n\n## OSPRO Yellow Flag tool (OSPRO-YF)\n\nThe OSPRO-YF is a yellow flag assessment tool that includes items from pain vulnerability domains (negative affect and fear-avoidance) and pain resilience domains (positive affect and self-efficacy) to aid with identification of pain-related psychological distress in outpatient orthopedic physical therapy settings [37]. The OSPRO-YF has good concurrent validity with pain intensity and region-specific disability [37] and is capable of predicting pain intensity, disability, quality of life and persistent pain 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The full-length OSPRO-YF has 17-items, however a shortened 10-item version is also available with an acceptable trade-off in accuracy. Like the OSPRO-ROS, the OSPRO-YF is designed for implementation into electronic medical record (EMR) systems to quickly and accurately identify risk for a variety of clinical outcomes [19]. For statistical analyses, a summary score was derived for each version by adding the item responses after reverse-scoring items 2, 13, 14, 15 and 17 so that higher scores indicate higher pain-related psychological distress. The summary score was then included in each model as a continuous independent variable.\n\n## Intervention\n\nAll physical therapy treatment was provided at the discretion of the treating clinician. The duration of the episode, the number of physical therapy visits, and individual treatment parameters (type, intensity, duration, frequency) were not collected for pragmatic reasons. In particular, clinical and utilization data are not commonly collected in a standardized format and would need to be extracted from disparate medical record databases across different health care systems to assess treatment. This was not feasible given the scope and design of this multisite survey-based study. However, instead of coding treatment type we included baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores in each model as measures of treatment response. In that manner the individual effects of the treatment received were included in the predictive models, without directly accounting for the type of treatment.\n\n## Healthcare utilization outcomes\n\nSelf-reported health care utilization was assessed at 6- and 12-months following initial evaluation by online assessment. Questions were derived from previous population-based studies involving musculoskeletal pain that have used survey methods for follow-up assessment [22, 23]. Study\n\nparticipants were asked whether they used any of the following healthcare services for their primary musculoskeletal pain complaint in the time following their physical therapy treatment:\n\n- 1. Opioid painkillers (eg. Vicodin, Lortab, Hydrocodone, Fentanyl, Percocet, Oxycontin, Oxycodone, tramadol, Ultram, Diludid, etc)\n- 2. Injections\n- 3. Surgery\n- 4. Diagnostic tests or Imaging (eg. xray, MRI, CT scan, nerve conduction test, etc.)\n- 5. Emergency room visits", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "reproduced in an independent sample [42, 43]. With 18 potential predictors, a sample of n = 180 reporting healthcare utilization at follow-up would be sufficient for the proposed analyses. However, this estimate is conservative. Other methods for determining sample size for prediction analyses suggest an overall sample size of N > 50 + 8* m (where m = number of independent variables) [44] or N > 104 + number of independent predictors [45, 46]. For these less conservative estimates, the projected study sample size is sufficient for the proposed analyses.\n\n## Results\n\nFour hundred and forty subjects were recruited at initial evaluation. Follow-up at 4 weeks was 75.0% ( n =330), at 6 months was 69.0% ( n =304) and at 12 months was 65.2% ( n =287). Baseline demographics and health-related characteristics for the full cohort, as well as those who did and did not complete all follow-up are presented in Tables 1, 2 and 3. Those who did not complete follow-up were younger, more likely to be non-white, had less than a college degree, were more likely to have had sudden symptom onset, had higher baseline pain intensity, and had higher baseline pain-related psychological distress measured by the OSPRO-YF. Only those with complete\n\nfollow-up data at each time point were considered for prediction analyses ( n = 246, 55.9%).\n\nOverall, 43.1% ( n = 106/246) of those with complete follow-up data utilized at least one healthcare service following the physical therapy episode. Distribution of utilization for specific services is provided in Table 4. For multivariate analyses, all VIFs were less than 10 and tolerance values greater than 0.1 suggesting no significant multicollinearity among independent variables.\n\n## Full multivariate model performance\n\nOverall performance for each full multivariate model is listed in Table 5. Block 1 (Demographic, clinical and comorbidity) consistently contributed to prediction of healthcare utilization and accounted for the greatest amount of variation in utilization outcome for all models. Block 4 (change scores for pain, disability, and OSPRO-YF) provided statistically significant contributions in all models except prediction of injection. Blocks including baseline OSPRO-YF and OSPRO-ROS, both short and long forms, did not predict utilization outcomes. Weighted models consistently outperformed their complete case analysis model counterparts with overall model pseudo-R 2 values ranging from .337 (Any care) to .611 (Emergency room).\n\nTable 1 Demographic information for the full cohort, and for those with complete and incomplete follow-up", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed5.pdf" - }, - { - "text": "\n\n## Modelling methodology\n\nThis brief section outlines the modelling process behind the conclusion in section one, which states that we might expect somewhere between 2,400 and 7,000 individuals from the original cohort of users in 2004 to be captured within the 2013 figure of new DIP arrestees (who test positive for opiates-only or who are positive-for-both).\n\nWe begin by putting in a plausible range of crime-involved OCUs through the period. This combines the total OCU estimates published by Hay et al ., (ranging from around 320,000 OCUs down to around 295,000 in recent years) with available estimates of the percentage who are likely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the NTORS study (Gossop et al ., 2003). As such, a range of between 170,000 and 100,000 crimeinvolved OCUs is likely to include all plausible values (see first row of table below).\n\nWe then calculate the rate at which that population is likely to be arrested and test positive by using the number of individuals testing positive from 2008 (25,433), when DIP was fully up and running. This gives the second row of the table. Combining the values in the first two rows and applying the probability formula given in the main body of the text gives the third row: the probability of first positive DIP test in 2013. Note that this assumes all these individuals continue to offend through the period, which may not be the case, hence final results are probably an upper bound. The final row simply multiples the figure in the first row by the figure in the third to give our estimate of the original cohort who might appear in the 2013 DIP figures as new.", - "page_start": 41, - "page_end": 41, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "community healthcare in the two municipalities. The project team included three individuals representing users from the Nordland MS Association, along with an MS nurse and a neurologist from the MS-outpatient clinic, and three physiotherapists/ researchers.\n\n## 2.4 Research team and re /uniFB02 exivity\n\nAll researchers on the team are clinical specialists in neurological physiotherapy. BN and ECA developed the CoreDISTparticipation intervention, and SSHD contributed to the development of the outdoor part.\n\nThe researchers ' closeness to the intervention and the clinical /uniFB01 eld may have strengthened the depth and relevance of their interpretations in this study (27), as it was easy to understand what participants described and helped form follow-up questions during the interviews. However, closeness may also produce a risk of ' blind spots ' , as the researchers may prejudice participants ' experiences, omitting questions where the answers are believed to be obvious (27). Thus, throughout the process, trustworthiness and rigor were enhanced by discussing the methodology, /uniFB01 ndings, and interpretations with external researchers (including specialists in enactive theory), as well as user representatives. The presented theoretical framework (enactive theory) enhanced the distance to the material, as recommended in qualitative research (28).\n\n## 2.5 Recruitment and participants\n\nPrior to recruitment, the study was introduced to individuals with multiple sclerosis (pwMS) through a seminar hosted by the Nordland MS Association. Additionally, seminars were conducted for health professionals in community healthcare and at the regional hospital. Written information about this study (and the RCT) was sent from the MS clinic at the regional hospital by post to all eligible individuals af /uniFB01 liated with the hospital. Individuals who wished to participate signed the attached consent form and returned it in the pre-stamped envelope. The inclusion criteria were as follows: had been diagnosed with MS, had a score on the Expanded Disability Status Scale (EDSS) (29)of ≤ 3.5, was ≥ 18 years, was employed (10% -100% of full-time) and residential address in the two prede /uniFB01 ned municipalities. The exclusion criteria were as follows: pregnancy, exacerbation of symptoms within two weeks prior to enrollment and other serious conditions compromising balance, walking or work capacity. All participants in the intervention group of the RCT ( n = 15) were included (Table 3).\n\n## 2.6 Data collection\n\nThe interview guide (Table 4) was developed based on literature reviews, clinical experience and discussions within the research group and with user representatives. Two test interviews were\n\nTABLE 3 Participant demographic information.TABLE 4 Interview guide.\n\n| Variable | Total ( n =15) |\n|------------------------------------|-----------------------------------------------|\n| Age in years | Mean 47.6 (SD 6.04) |\n| Gender (women/men) | 12 woman/3 men (80%/20%) |\n| Type of MS | Relapsing remitting 15 (100%) |\n| EDSS | Mean 1.8 (SD 0.9) |\n| Years since diagnosis | Mean 10.4 (SD 7.8) |\n| Participation in the outdoor group | Mean 4.6 sessions/total mean attendance 57.3% |", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed13.pdf" - }, - { - "text": "example, in Sweden. 378 Meanwhile, the spectrum of guidance developed regarding work-related psychosocial risks is very wide; it covers aspects such as job satisfaction (overall level of wellbeing), engagement, performance and work-related stress, 379 and also discrimination, harassment, aggression and violence. 380\n\n## 6.2 EU and national OSH strategies\n\nThe EU and many Member States applied and apply strategic approaches , based on EU or national evidence of the state of OSH. OSH strategies are a steering instrument to focus the activities of all actors on major recognised deficits of OSH infrastructures or processes. 381\n\nThe newest EU Strategic Framework on Health and Safety at Work 2021-2027 puts the focus on change, with the title 'Occupational safety and health in a changing world of work' . 382 Consequently, the strategic framework focuses on three key objectives for these years:\n\n - · anticipating and managing change in the new world of work brought about by the green, digital and demographic transitions;\n - · improving prevention of workplace accidents and illnesses;\n - · increasing preparedness for any potential future health crises.\n\nThe proposed focus areas and actions are related to these three objectives. Under the first key objective there are actions like 'Modernising and simplifying EU OSH rules in the context of the green and digital transitions'; a special focus is on psychosocial and ergonomic risks. The second objective promotes a vision zero approach to work-related deaths, particularly referring to hazardous substances and cardiovascular diseases, the promotion of health at work and inclusive workplaces for all. 383\n\nThe third objective responds to the impact of the pandemic situation in 2020 and 2021. It includes the development of emergency procedures for future similar situations ('Health crisis'). The Strategic Framework repeats and corroborates the value of research and data-based evidence by stating: 'Research and data collection, both at EU and national level, are a pre-condition for the prevention of work-related diseases and accidents. Scientific advice and the latest technological developments feed into OSH legislation and policy.'\n\nAlso, many Member States have agreed on provision of better data as an objective in their national strategies. 384 The EU strategy often gives orientation for the development of national OSH strategies. Under the last strategy period, 24 of the 27 Member States had applied a strategy. Many national OSH strategies contained similar targets. EU-OSHA published an overview report on national strategies, and the OSH Barometer contains as one indicator a harmonised overview on the aspects of national strategies. 385\n\nOSH strategies are regarded as an important and innovative policy area, a chance for better collaboration, and also a very relevant joint national OSH activity. Those strategies help in priority setting and focused action on weaknesses. Strategies were often agreed in social dialogue processes, and many strategy actors also developed new and better monitoring instruments and indicators. 386 Labour inspections play an important or essential role in most of these strategies. 387\n\n\n\nOSH Barometer Steering of OSH, National strategies:\n\nhttps://visualisation.osha.europa.eu/osh-barometer/osh-steering/national-strategies\n\nOSHWiki: Section 'OSH System at national level', descriptions of the OSH Systems of the EU Member States: https://oshwiki.eu/wiki/Category:OSH\\_systems\\_at\\_national\\_level", - "page_start": 123, - "page_end": 123, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "The authors conclude on the relevance of the EU OSH directives :\n\n'The evaluation shows very clearly that the EU OSH acquis is the reference frame for national OSH regulatory regimes. While the Member States have chosen various models for their legal implementation of the Directives' requirements, there is no doubt that the Directives' requirements form the core of the national systems in one way or the other. The significance of the Directives in setting the scene for OSH regulation in the EU is therefore very high.'\n\nThe authors also distinguish between the two major principles of legislative approaches in OSH, that is, either setting an objective and letting the actors define how this goal can be achieved (goal-oriented approach) , or prescribing also quite detailed measures to reach the objective (prescriptive approach) : 352\n\n'There seems to be a general view that the Framework Directive, with its orientation towards a goaloriented approach to OSH (rather than prescriptive) successfully lays out a suitable template for managing workplace risks - but not in itself enough to ensure that all risks are dealt with sufficiently. One criticism of the goal-setting approach is that the absence of prescriptive intermediate goals makes", - "page_start": 120, - "page_end": 120, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What is the range of the pain rating scale ?", - "target_page": 3, - "target_passage": "Pain intensity was assessed by the numerical pain rating scale (NPRS) ranging from “0” (no pain) to “10” (worst pain imaginable)", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Healthcare utilization predictors\n\nWe collected potential predictors by self-reported questionnaires at initial evaluation using an online study website. Participants were directed back to the study website 4 weeks following initial evaluation to again complete questions on pain intensity, disability, and pain-related psychological distress. Change in pain intensity, disability, and pain-related psychological distress from baseline to 4 weeks were modeled as treatment response variables and included as potential predictors.\n\n## Sociodemographic and health-related information\n\nParticipants completed a standard intake questionnaire form previously used in our clinical studies that assessed age, sex, race, and insurance provider type. This questionnaire also assessed health-related variables included anatomical region of primary pain complaint (low back, neck, shoulder, or knee) and whether the patient had undergone surgery for their primary pain complaints (yes or no). Due to small cell sizes for certain categories, race was dichotomized as white or non-white. For insurance type, participants were asked to choose one of the following options: private, public (Medicare and/or Medicaid), uninsured/self-pay, worker ' s compensation, and other/commercial insurance. Among the study sample, we observed few with no insurance ( n = 7) or worker ' s compensation ( n = 14). The study also included relatively few with ' other/commercial insurance ' ( n = 45). Within this group, informal assessment of these various plans suggested high heterogeneity of plan characteristics and coverage. Due to the small number of subjects in these individual insurance strata and to improve interpretability of results, we collapsed those reporting no insurance, worker ' s compensation and other/commercial insurance into a single category (i.e., ' Other ' ). Therefore, insurance type was categorized as private, public, or other (no insurance, worker ' s compensation, or other/commercial insurance) for purposes of analysis.\n\n## Pain-related clinical variables\n\nPain status was determined using established definitions that account for the duration of pain and activity limitations [22, 23] using the following two questions: 1) ' How long have you been experiencing your current painful symptoms? ' and 2) ' Have you experienced ANY pain and activity limitations every day for the past 3 months? ' Responses to question 1 of ' greater than 90 days ' or responses to question 2 of ' Yes ' were used to classify patients as having persistent pain at initial evaluation.\n\n## Pain intensity\n\nPain intensity was assessed by the numerical pain rating scale (NPRS) ranging from ' 0 ' (no pain) to ' 10 ' (worst\n\npain imaginable) [24 -26]. Participants rated their current pain intensity, as well as their best (lowest) and worst (highest) pain intensity over the past 24 h. Current, best and worst pain ratings were averaged for purposes of analysis.\n\n## Region-specific disability\n\nSelf-reported region-specific disability was assessed with the Neck Disability Index [27, 28], Oswestry Disability Questionnaire [29, 30], Quick Disability of Arm Shoulder and Hand [31] or International Knee Documentation Committee Subjective Knee Form [32] for cervical, low back, shoulder and knee pain, respectively. Region-specific disability measures were z-transformed for purposes of analysis, consistent with our prior work involving multiple anatomical regions [33].\n\n## Comorbidities\n\n## Charlson comorbidity index (CCI)", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed5.pdf" - }, - { - "text": "shown to identify approximately 95% of positive red-flag responders. For statistical analyses, the ' yes ' responses were added for each version and included in each model as a continuous independent variable.\n\n## OSPRO Yellow Flag tool (OSPRO-YF)\n\nThe OSPRO-YF is a yellow flag assessment tool that includes items from pain vulnerability domains (negative affect and fear-avoidance) and pain resilience domains (positive affect and self-efficacy) to aid with identification of pain-related psychological distress in outpatient orthopedic physical therapy settings [37]. The OSPRO-YF has good concurrent validity with pain intensity and region-specific disability [37] and is capable of predicting pain intensity, disability, quality of life and persistent pain 12 months following physical therapy in patients with musculoskeletal pain [20, 21]. The full-length OSPRO-YF has 17-items, however a shortened 10-item version is also available with an acceptable trade-off in accuracy. Like the OSPRO-ROS, the OSPRO-YF is designed for implementation into electronic medical record (EMR) systems to quickly and accurately identify risk for a variety of clinical outcomes [19]. For statistical analyses, a summary score was derived for each version by adding the item responses after reverse-scoring items 2, 13, 14, 15 and 17 so that higher scores indicate higher pain-related psychological distress. The summary score was then included in each model as a continuous independent variable.\n\n## Intervention\n\nAll physical therapy treatment was provided at the discretion of the treating clinician. The duration of the episode, the number of physical therapy visits, and individual treatment parameters (type, intensity, duration, frequency) were not collected for pragmatic reasons. In particular, clinical and utilization data are not commonly collected in a standardized format and would need to be extracted from disparate medical record databases across different health care systems to assess treatment. This was not feasible given the scope and design of this multisite survey-based study. However, instead of coding treatment type we included baseline-to-4 week change in pain intensity, region-specific disability, and OSPRO-YF scores in each model as measures of treatment response. In that manner the individual effects of the treatment received were included in the predictive models, without directly accounting for the type of treatment.\n\n## Healthcare utilization outcomes\n\nSelf-reported health care utilization was assessed at 6- and 12-months following initial evaluation by online assessment. Questions were derived from previous population-based studies involving musculoskeletal pain that have used survey methods for follow-up assessment [22, 23]. Study\n\nparticipants were asked whether they used any of the following healthcare services for their primary musculoskeletal pain complaint in the time following their physical therapy treatment:\n\n- 1. Opioid painkillers (eg. Vicodin, Lortab, Hydrocodone, Fentanyl, Percocet, Oxycontin, Oxycodone, tramadol, Ultram, Diludid, etc)\n- 2. Injections\n- 3. Surgery\n- 4. Diagnostic tests or Imaging (eg. xray, MRI, CT scan, nerve conduction test, etc.)\n- 5. Emergency room visits", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed5.pdf" - }, - { - "text": "- 21. Beneciuk JM, Lentz TA, He Y, Wu SS, George SZ. Prediction of persistent musculoskeletal pain at 12 months: a secondary analysis of the Optimal Screening for Prediction of Referral and Outcome (OSPRO) validation cohort study. Phys Ther. 2018;98:290 -301.\n - 22. Freburger JK, Holmes GM, Agans RP, Jackman AM, Darter JD, Wallace AS, et al. The rising prevalence of chronic low back pain. Arch Intern Med. 2009; 169:251 -8.\n - 23. Carey TS, Freburger JK, Holmes GM, Jackman A, Knauer S, Wallace A, et al. Race, care seeking, and utilization for chronic back and neck pain: population perspectives. J Pain Off J Am Pain Soc. 2010;11:343 -50.\n - 24. Jensen MP, Turner JA, Romano JM, Fisher LD. Comparative reliability and validity of chronic pain intensity measures. Pain. 1999;83:157 -62.\n - 25. Bolton JE. Accuracy of recall of usual pain intensity in back pain patients. Pain. 1999;83:533 -9.\n - 26. Childs JD, Piva SR, Fritz JM. Responsiveness of the numeric pain rating scale in patients with low back pain. Spine. 2005;30:1331 -4.\n - 27. Vernon H. The neck disability index: state-of-the-art, 1991-2008. J Manip Physiol Ther. 2008;31:491 -502.\n - 28. Vernon H, Mior S. The neck disability index: a study of reliability and validity. J Manip Physiol Ther. 1991;14:409 -15.\n - 29. Hudson-Cook N, Tomes-Nicholson K, Breen A. A revised Oswestry disability questionnaire. In: Roland M, Jenner J, editors. Back pain: new approaches to rehabilitation and education. New York: Manchester University Press; 1989. p. 187 -204.\n - 30. Fritz JM, Irrgang JJ. A comparison of a modified Oswestry low back pain disability questionnaire and the Quebec back pain disability scale. Phys Ther. 2001;81:776 -88.\n - 31. Beaton DE, Wright JG, Katz JN, Upper Extremity Collaborative Group. Development of the QuickDASH: comparison of three item-reduction approaches. J Bone Joint Surg Am. 2005;87:1038 -46.\n - 32. Irrgang JJ, Anderson AF, Boland AL, Harner CD, Kurosaka M, Neyret P, et al. Development and validation of the international knee documentation committee subjective knee form. Am J Sports Med. 2001;29:600 -13.\n - 33. Butera KA, Lentz TA, Beneciuk JM, George SZ. Preliminary evaluation of a modified STarT back screening tool across different musculoskeletal pain conditions. Phys Ther. 2016;96:1251 -61.\n - 34. Charlson ME, Pompei P, Ales KL, MacKenzie CR. A new method of classifying prognostic comorbidity in longitudinal studies: development and validation. J Chronic Dis. 1987;40:373 -83.\n - 35. Katz JN, Chang LC, Sangha O, Fossel AH, Bates DW. Can comorbidity be measured by questionnaire rather than medical record review? Med Care. 1996;34:73 -84.\n - 36. George SZ, Beneciuk JM, Bialosky JE, Lentz TA, Zeppieri G, Pei Q, et al. Development of a review-of-systems screening tool for orthopaedic physical therapists: results from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2015;45: 512 -26.\n - 37. Lentz TA, Beneciuk JM, Bialosky JE, Zeppieri G, Dai Y, Wu SS, et al. Development of a yellow flag assessment tool for orthopaedic physical therapists: results from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) cohort. J Orthop Sports Phys Ther. 2016;46:327 -43.\n - 38. Beneciuk JM, Fritz JM, George SZ. The STarT back screening tool for prediction of 6-month clinical outcomes: relevance of change patterns in outpatient physical therapy settings. J Orthop Sports Phys Ther. 2014;44: 656 -64.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed5.pdf" - }, - { - "text": "| Any care | Change in pain | 0.37 | 0.11 | < 0.001 | 1.45 | | 0.25 | 0.10 | 0.02 | 1.28 | |\n| Opioids | Surgery for condition | | | | | 0.33 | 0.95 | 0.49 | 0.51 | 2.58 | 0.36 |\n| | Chronicity | 1.03 | 0.59 | 0.08 | 2.80 | | | | | | |\n| | CCI | 0.43 | 0.13 | < 0.001 | 1.54 | | 0.47 | 0.14 | < 0.001 | 1.60 | |\n| | Baseline pain | 0.53 | 0.13 | < 0.001 | 1.70 | | 0.57 | 0.15 | < 0.001 | 1.76 | |\n| | Baseline 10-item OSPRO-YF | | | | | | 0.01 | 0.03 | 0.96 | 1.00 | |\n| | Change in pain | 0.54 | 0.14 | < 0.001 | 1.71 | | 0.53 | 0.15 | < 0.001 | 1.70 | |", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed5.pdf" - }, - { - "text": "## Emergency room\n\nModels for emergency room use had the highest pseudo-R 2 values of any individual service (0.48 -0.50), but also had the largest number of predictors (8 -9). Agreement between complete case and weighted models was moderate. The models converged on the following predictors: age (OR = 0.91 -0.94, p < 0.05), insurance (OR = 8.99 -13.15, p <0.05), baseline disability (OR = 3.33 -4.88, p < 0.001), and change in pain (OR = 1.59 -1.77, p < 0.05). Higher utilization was associated with younger age, other insurance (e.g., self-pay,\n\nWorker ' s Compensation, or other commercial insurance) compared to private insurance, higher baseline disability and worsening of pain. In the weighted analysis, subjects with knee pain were less likely to utilize the emergency room than those with low back pain. However, this relationship was not significant ( p = .06) in the complete case analysis. Of the significant predictors in both models, insurance status was the strongest individual predictor of subsequent emergency room use.\n\n## Discussion\n\nThis study identified novel predictors for pain-related utilization outcomes following an episode of physical therapy for a primary complaint of musculoskeletal pain. The most robust finding from these analyses was that baseline disability and change in pain intensity over the first 4 weeks following physical therapy evaluation were consistent predictors of subsequent pain-related healthcare utilization in those participants that completed all follow up. Aside from these robust predictors, other individual predictors of utilization were highly outcome-specific. High model specificity for utilization outcomes observed in this study is consistent with a recent systematic review that found similar levels of model specificity for more traditional outcomes like pain intensity, disability and work absenteeism [14]. Across models, health-related variables were generally stronger predictors than sociodemographic factors, which is also supported by prior research [15, 16]. Additionally, there were cases when prediction models were improved for specific services (e.g. surgery, use of opioids) when considering change in pain, disability or pain-related psychological distress. A notable finding is that the OSPRO-YF had the greatest utility when used to measure change in pain-related psychological distress. Current risk prediction paradigms in musculoskeletal pain consider only baseline pain-related psychological distress. However, these results underscore the importance of", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed5.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.A.W.-gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n## Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n## Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n## Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n## Article history:\n\nReceived 14 November 2023\n\nReceived in revised form 11 April 2024\n\nAccepted 25 May 2024\n\nAvailable online 15 August 2024\n\n## References", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - }, - { - "text": "- 1. Von Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et al. United states national pain strategy for population research: concepts, definitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068 -80.\n - 2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic: population health implications and potential solutions. Report from the national stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1 -10.\n - 3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for chronic pain--United States, 2016. JAMA. 2016;315:1624 -45.\n - 4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual physical therapy in the treatment of cervical radiculopathy: a systematic review. J Man Manip Ther. 2011;19:135 -42.\n - 5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical therapy only and of usual care for various health conditions: systematic review. Phys Ther. 2016;96:774 -86.\n - 6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al. Physical therapy treatment effectiveness for osteoarthritis of the knee: a randomized comparison of supervised clinical exercise and manual therapy procedures versus a home exercise program. Phys Ther. 2005;85:1301 -17.\n - 7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC. Effectiveness of manual physical therapy and exercise in osteoarthritis of the knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173 -81.\n - 8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the management of chronic spine disorders: a propensity score approach. Phys Ther. 2006;86:381 -94.\n - 9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al. Effectiveness of physical therapy in treating atraumatic full-thickness rotator cuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013; 22:1371 -9.\n - 10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients with low back pain to physical therapy: impact on future health care utilization and costs. Spine. 2012;37:2114 -21.\n - 11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions after a new consultation for low back pain: implications of the usage of physical therapy for subsequent health care costs and utilization. Arch Phys Med Rehabil. 2013;94:808 -16.\n - 12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care back pain screening tool: identifying patient subgroups for initial treatment. Arthritis Rheum. 2008;59:632 -41.\n - 13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG, et al. Estimating the risk of chronic pain: development and validation of a prognostic model (PICKUP) for patients with acute low back pain. PLoS Med. 2016;13:e1002019.\n - 14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al. Can screening instruments accurately determine poor outcome risk in adults with recent onset low back pain? A systematic review and metaanalysis. BMC Med. 2017;15:13.\n - 15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM. Chronic pain and health services utilization: is there overuse of diagnostic tests and inequalities in nonpharmacologic treatment methods utilization? Med Care. 2013;51:859 -69.\n - 16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G. The societal impact of pain in the European Union: health-related quality of life and healthcare resource utilization. J Med Econ. 2010;13:571 -81.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "## RESEARCH ARTICLE\n\n## Prediction of healthcare utilization following an episode of physical therapy for musculoskeletal pain\n\nTrevor A. Lentz 1* , Jason M. Beneciuk 2,3 and Steven Z. George 4\n\n## Abstract\n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively identify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The purpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode of physical therapy for musculoskeletal pain.\n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) longitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder pain in physical therapy ( n = 440). Demographics, health-related information, review of systems, comorbidity and pain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in pain intensity, disability, and pain-related psychological distress were measured as treatment response variables. At 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests or imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models were developed for any subsequent care and service-specific utilization.\n\nResults: Subsequent pain-related healthcare utilization was reported by 43% ( n = 106) of the study sample that completed the 12-month follow-up ( n = 246). Baseline disability and 4-week change in pain intensity were important global predictors of subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain intensity, disability and pain-related psychological distress predicted specific service utilization.\n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical therapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability and pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could enhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is required to determine how specific characteristics of the clinical encounter influence future utilization.\n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring\n\n## Background\n\nMusculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related addiction [1]. Clinical practice guidelines now recommend non-pharmacological treatment as frontline management for musculoskeletal pain, which will lead\n\n1\n\nDuke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham,\n\nNC 27705, USA\n\nFull list of author information is available at the end of the article\n\n\n\nto increased utilization of services such as physical therapy [1 -3]. Physical therapy is effective for improving disability and reducing costs associated with many musculoskeletal pain conditions [4 -9]. However, pain-related healthcare utilization beyond the physical therapy episode (e.g. subsequent use of surgery, injection, opioids, etc.) may indicate suboptimal treatment response, the presence of more complex needs, or unwarranted escalation of care. Downstream healthcare utilization is not often considered as an outcome of care or indication of treatment effectiveness for musculoskeletal pain. But the importance of\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "- 17. Pérez C, Navarro A, Saldaña MT, Wilson K, Rejas J. Modeling the predictive value of pain intensity on costs and resources utilization in patients with peripheral neuropathic pain. Clin J Pain. 2015;31:273 -9.\n - 18. Hill JC, Fritz JM. Psychosocial influences on low back pain, disability, and response to treatment. Phys Ther. 2011;91:712 -21.\n - 19. George SZ, Beneciuk JM, Lentz TA, Wu SS. The Optimal Screening for Prediction of Referral and Outcome (OSPRO) in patients with musculoskeletal pain conditions: a longitudinal validation cohort from the USA. BMJ Open. 2017;7:e015188.\n - 20. George SZ, Beneciuk JM, Lentz TA, Wu SS, Dai Y, Bialosky JE, Zeppieri G Jr. Optimal Screening for Prediction of Referral and Outcome (OSPRO) for Musculoskeletal Pain Conditions: Results From the Validation Cohort. J Orthop Sports Phys Ther. 2018;48(6):460 -75.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - }, - { - "text": "weighted analytic models for each type of healthcare service.\n\n## Any healthcare\n\nThe final parsimonious models for any healthcare utilization differed slightly between complete case and weighted analyses (Table 6). Included in the models were chronicity of symptoms, CCI, baseline pain, baseline disability, and change in pain from baseline to 4-week follow-up. However, only baseline disability (OR = 1.48 -2.47, p < 0.05) and change in pain (OR = 1.28 -1.45, p < 0.05) were significant predictors in both models, with greater baseline disability and worsening pain associated with higher odds of any utilization.\n\n## Utilization of individual services\n\n## Opioids\n\nComorbidity index score (i.e. CCI), baseline pain and change in pain were consistent predictors between the models of opioid utilization. In these models, higher pain (OR = 1.70 -1.76, p < 0.001), CCI (OR = 1.54 -1.60, p < 0.001) and increase in pain (OR = 1.70 -1.71, p <0.001) were associated with higher odds of opioid utilization. These models explained approximately 30% of the variation in opioid use.\n\n## Injection\n\nA combination of race, chronicity and baseline disability explained slightly more than 20% of the variance in\n\nTable 5 Overall performance of full logistic multivariate regression models ( n =246)", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed5.pdf", - "query": "What are the health consequences of musculoskeletal pain ?", - "target_page": 1, - "target_passage": "Musculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related ad diction [1].", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "clients' places. Also ergonomic risks - repetitive hand-arm movements, tiring and painful positions, lifting and carrying, and prolonged sitting - can pose major health risks, and the statistics show no significant decrease.\n\nThere is a shift of workforce to administrative, communicative, and emotionally demanding and client-oriented sectors , like the sectors 'Education, human health and social work activities' and 'Trade, transport, food/accommodation and recreation activities' (more human-human interaction, less humanmachine interaction). Consequently, this development caused an overall shift of risks to psychosocial and emotional challenges and - mostly but by far not always - less physical activity. Some health risks worsen in such types of work, like work with difficult clients or long working hours. Many approaches and pilot projects have been developed to mitigate these workloads, but the implementation seems to be limited to a minority of workplaces with high awareness of work-related health issues. Also, since 2005, statistics and surveys find a stagnation (practically no increase and no decrease) concerning the development of working time , time pressure and high workload for workers.\n\nWhen looking at the overall relationship between work and some major diseases in the adult population (cardiovascular diseases, cancer, musculoskeletal disorders, pulmonary diseases, hearing loss), there is a clear connection to socioeconomic status that is a major cause of low life expectancy and high morbidity. In public health morbidity and mortality studies, a more precise analysis of impact of working conditions on health, as a very important factor of socioeconomic status, is very rare. This would require more detailed knowledge and analysis of the health impacts of occupations and work tasks and of the preventive measures at work, as well as an improvement in the detection capacities of preventive and monitoring health systems. Identification of the approximate attributable fraction of work to diseases is still the subject of intense scientific debate, with clearer results for some relations and less clear results for others.\n\nThe level of implementation and enforcement of compliance with legislation seems to stagnate. The capacities of the OSH infrastructure at national levels show a mixed picture in EU Member States. Across the EU, between 2010 and 2020, the labour inspectorates performed on average two million labour inspections per year , in approximately 22 million businesses. To enhance the level of implementation in terms of coverage and quality, many labour inspections tried to enhance the effectiveness of common drop-in company inspections by smart enforcement and supervision concepts .\n\nThere is no measurable progress in the types of work with eroded employer-worker relations (subcontracts, involuntary self-employed). The reliability of statistical monitoring fades where the employer-worker relationship is less clear (regarding aspects such as working conditions, work accidents and work-related diseases, and of compliance with legislation).\n\nMany enterprises and particularly MSEs and the self-employed very often cannot fully comply with more complex risk prevention tasks (e.g. psychosocial, chemical, biological, optical, electromagnetic risks) due to lack of resources, expertise and awareness (ESENER data). In general, enforcement authorities can only supervise a small percentage of enterprises, particularly not a substantial portion of MSEs, of self-employed or of non-standard types of work; some Member States included in their strategic approaches the objective to reach these enterprises/self-employed. The reason for the continued levels of intensification of work from 2005 onwards might be that the related tasks were contracted out or put on the shoulders of non-standard workers, for example, self-employed, temporary and seasonal workers.", - "page_start": 17, - "page_end": 17, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## RESEARCH ARTICLE\n\n## Prediction of healthcare utilization following an episode of physical therapy for musculoskeletal pain\n\nTrevor A. Lentz 1* , Jason M. Beneciuk 2,3 and Steven Z. George 4\n\n## Abstract\n\nBackground: In the United States, value-based purchasing has created the need for healthcare systems to prospectively identify patients at risk for high healthcare utilization beyond a physical therapy episode for musculoskeletal pain. The purpose of this study was to determine predictors of pain-related healthcare utilization subsequent to an index episode of physical therapy for musculoskeletal pain.\n\nMethods: This study assessed data from the Optimal Screening for Prediction of Referral and Outcome (OSPRO) longitudinal cohort study that recruited individuals with a primary complaint of neck, low back, knee or shoulder pain in physical therapy ( n = 440). Demographics, health-related information, review of systems, comorbidity and pain-related psychological distress measures were collected at baseline evaluation. Baseline to 4-week changes in pain intensity, disability, and pain-related psychological distress were measured as treatment response variables. At 6-months and 1-year after baseline evaluation, individuals reported use of opioids, injection, surgery, diagnostic tests or imaging, and emergency room visits for their pain condition over the follow-up period. Separate prediction models were developed for any subsequent care and service-specific utilization.\n\nResults: Subsequent pain-related healthcare utilization was reported by 43% ( n = 106) of the study sample that completed the 12-month follow-up ( n = 246). Baseline disability and 4-week change in pain intensity were important global predictors of subsequent healthcare utilization. Age, insurance status, comorbidity burden, baseline pain, and 4-week changes in pain intensity, disability and pain-related psychological distress predicted specific service utilization.\n\nConclusion: In those completing follow up measures, risk of additional pain-related healthcare utilization after physical therapy was best predicted by baseline characteristics and 4-week treatment response variables for pain intensity, disability and pain-related psychological distress. These findings suggest treatment monitoring of specific response variables could enhance identification of those at risk for future healthcare utilization in addition to baseline assessment. Further study is required to determine how specific characteristics of the clinical encounter influence future utilization.\n\nKeywords: Screening, Psychological distress, Multimorbidity, Value, Treatment monitoring\n\n## Background\n\nMusculoskeletal pain is a prevalent and costly health condition with far-reaching public health consequences including chronic pain, disability and opioid-related addiction [1]. Clinical practice guidelines now recommend non-pharmacological treatment as frontline management for musculoskeletal pain, which will lead\n\n1\n\nDuke Clinical Research Institute, Duke University, 2400 Pratt Street, Durham,\n\nNC 27705, USA\n\nFull list of author information is available at the end of the article\n\n\n\nto increased utilization of services such as physical therapy [1 -3]. Physical therapy is effective for improving disability and reducing costs associated with many musculoskeletal pain conditions [4 -9]. However, pain-related healthcare utilization beyond the physical therapy episode (e.g. subsequent use of surgery, injection, opioids, etc.) may indicate suboptimal treatment response, the presence of more complex needs, or unwarranted escalation of care. Downstream healthcare utilization is not often considered as an outcome of care or indication of treatment effectiveness for musculoskeletal pain. But the importance of\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed5.pdf" - }, - { - "text": "In a similar way, the levels of ergonomic risks are related with the sectoral structure of a country, determining the type of occupations and work tasks. EU-OSHA provided a detailed analysis of the prevalence of musculoskeletal disorders (MSDs) and the related risk factors in several studies on musculoskeletal diseases, for example, 'Work-related musculoskeletal disorders: why are they still so prevalent?' 58\n\nAn example of the interrelation between sectors and risks is the connection between the sector aggregate 'Trade, transport, food/accommodation and recreation activities' and three major indicators of ergonomic burden, that is, 'Painful, tiring positions', 'Repetitive hand or arm movements', and 'Carrying or moving heavy loads'.\n\nSeven countries have a share of employees in this sector of more than 30% (Cyprus, Greece, Spain, Malta, Bulgaria, Croatia and Latvia), and many of them are present in two or three lists of countries with the highest number of responses regarding the indicators.\n\n", - "page_start": 42, - "page_end": 42, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Figure 27: Prevalence of musculoskeletal diseases - EWCS 2015\n\n\n\nAbsence from work due to MSDs accounts for a high proportion of working days lost in EU Member States. In 2015, more than half (53%) of workers with MSDs (including those with other health problems) reported being absent from work during the past year, which is considerably higher than the proportion of workers without health problems (32%). Workers with MSDs are not only more likely to be absent from work, but (given absence) on average are also absent for a longer period. For example, 26% of workers with chronic MSDs and other health problems report being absent for more than eight days during the past year, which is considerably higher than the 7% for workers with no health problems. 241\n\nOverall estimates of the burden of MSDs for the EU27 seem to be difficult, due to different recognition and treatment schemes. 242 The estimates of WHO/ILO and ICOH result in 850,000 and 950,000 DALYs for the EU27, based on a fraction of 26.38% attributable to work; in total, MSDs are the cause of 15-20% of all DALYs.\n\nOSH Barometer - Accidents, diseases and wellbeing - Diseases:\n\n\n\nhttps://visualisation.osha.europa.eu/osh-barometer/osh-outcomes/work-related-diseases/whoilo/prevalence-of-diseases/all-diseases\n\nEurostat - Data and databases on health:\n\nhttps://ec.europa.eu/eurostat/web/health/data/database\n\nWHO - Occupational Burden of Disease Application:\n\nhttps://who-ilo-joint-estimates.shinyapps.io/OccupationalBurdenOfDisease/", - "page_start": 87, - "page_end": 87, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "The trend towards more psychosocial and emotional challenges at work does not mean that 'classical' exposures or ergonomically burdensome work has disappeared . There is a large number of workers in all sectors - between 40% and 75% in ESENER and the EWCS - who report ergonomic risks . These are, for example, repetitive hand and arm movements in industry and service occupations, where a particularly high percentage is reported by low-skilled manual workers; moving heavy loads in craft occupations, or patients in health and care occupations, where a particularly high percentage is reported by high-skilled manual workers; and tiring and painful positions, where again the highest level is reported by high-skilled manual workers.\n\nStill a quite constant share of workers reports exposure to physical risks like noise, vibrations, high or low temperatures and to chemical and biological agents ; depending on occupation and sector, between 15% and 30% of workers are exposed to such risks (EWCS). No or very minor decreases in these risks can be seen during the past 15 years.", - "page_start": 9, - "page_end": 9, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "routine pain-related psychological distress monitoring throughout the early phases of rehabilitation especially if the goal is to identify risk for subsequent pain-related healthcare utilization. The implications of these collective findings are that treatment pathways may provide greater value by 1) addressing modifiable health-related variables like pain, disability and pain-related psychological distress, 2) routine monitoring of these health-related variables and 3) offering treatment alternatives that safely escalate care if needed while minimizing risk of harm and unhelpful utilization.\n\nOpioids and diagnostic tests and imaging were the two most common subsequent healthcare services utilized following physical therapy. Of the individuals that completed follow up and had any subsequent healthcare utilization, approximately 42% reported opioid use and 70% reported use of diagnostic tests and imaging. An important health-related predictor of these services was level of comorbidity burden. For those with high comorbidity burden and inadequate treatment response to physical therapy, use of additional diagnostic tests and imaging or low-dose opioids may be appropriate in some cases. But given the growing public health concern over opioid use and the desire to avoid unnecessary treatment driven by imaging, our results suggest the importance of considering disease burden when developing treatment pathways and healthcare policy to mitigate risk for avoidable use of these services. Interestingly, neither versions of the OSPRO-ROS predicted utilization outcomes even though it has been linked to mental health, comorbidity, and persistent pain state in other analyses [20, 21]. Systemic symptom burden is a measure of patient complexity that is related to but distinct from comorbidity burden [36, 47]. In these analyses, the chronic condition measure (i.e. the CCI) was a better predictor of utilization than symptom burden (i.e. OSPRO-ROS). The reasons for this finding are unclear but may be related to providers and patients being more likely to pursue follow-up medical care for musculoskeletal pain when known co-existing conditions are present as opposed to reporting of symptoms alone. The distinction between symptom and disease burden in defining musculoskeletal patient complexity, and its influence on clinical decision-making and outcomes, should be the subject of future research particularly related to aging populations [48].\n\nUtilization outcomes benchmarks have not been established to determine how the percentage of subsequent healthcare use in this study compares to outcomes using other health services. Prior studies suggest physical therapy is associated with reduced incidence of additional healthcare use compared to not using physical therapy in patients with acute low back pain [10, 49]. Some", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed5.pdf" - }, - { - "text": "- 224 Pega et al., 2022: Global, regional and national burden of disease attributable to 19 selected occupational risk factors for 183 countries, 2000-2016: A systematic analysis from the WHO/ILO Joint Estimates of the Workrelated Burden of Disease and Injury,  here\n\n225\n\nKauppinen et al., 1998: Occupational exposure to carcinogens in the European Union in 1990-1993:\n\ninternational information system on occupational exposure to carcinogens, here\n\nCAREX Canada\n\nFevotte et al., 2011: Matgéné: A Program to Develop Job-Exposure Matrices in the General Population in France Mannetje et al., 2011: Developing a general population job-exposure matrix in the absence of sufficient exposure monitoring data\n\n - 226 YLDs = years lived with disability, together with YLLs = years of life lost, it composes the DALY (DALY = YLL + YLD).\n\n227 GBD 2019 Mental Disorders Collaborators, 2022: Global, regional, and national burden of 12 mental disorders in 204 countries and territories, 1990-2019: a systematic analysis from the Global Burden of Disease Study 2019,\n\n## here\n\n228 WHO: Mental disorders, Key facts and\n\nIHME: Global Health Data Exchange (GHDx), here\n\n - 229 OECD, 2015: Sick on the Job?: Myths and Realities about Mental Health and Work\n - 230 OECD/European Union, 2018: Health at a Glance: Europe 2018: State of Health in the EU Cycle\n - 231 Andlin-Sobocki et al., 2005: Cost of disorders of the brain in Europe\n - 232 Niedhammer et al.; 2021: Update of the fractions of cardiovascular diseases and mental disorders attributable to psychosocial work factors in Europe, here\n - 233 Norder et al., 2017: Beyond return to work from sickness absence due to mental disorders: 5-year longitudinal study of employment status among production workers, here\n - 234 Leka & Jain, 2017: EU Compass for Action on Mental Health and Well-Being - Mental Health in the Workplace in Europe\n\n235 Musculoskeletal disorders refer to backache and/or muscular pains in shoulders, neck, upper limbs and/or lower limbs (hips, legs, knees, feet, etc.). In the medical systematic it is the IC 10 group of diseases: Diseases of the musculoskeletal system and connective tissue.", - "page_start": 149, - "page_end": 149, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "additional healthcare use is expected following physical therapy, especially among individuals that are on long-term pain management pathways due to chronic or persistent symptoms. Yet with over 40% reporting subsequent pain-related healthcare among those completing follow-up, it is apparent that opportunities exist to improve pathway selection and/or the effectiveness of physical therapy for individuals with musculoskeletal pain. This finding is particularly notable given recent efforts to define physical therapy as an effective first line, non-pharmacological treatment option against more invasive or higher risk services, such as surgery or opioid use, respectively. Predictive variables identified in this analysis can be used to develop risk models that better inform pathway selection for those seeking physical therapy for musculoskeletal pain. The precise application of these risk models, and how they inform policy and practice should be the target of future study. However, physical therapy re-design might incorporate enhanced treatment monitoring to assess ongoing risk for downstream utilization, as well as physical therapist-led interventions to more thoroughly address important modifiable factors such as pain intensity, disability and pain-related psychological distress [38]. Improved pathway selection might entail the consideration of referral to or co-treatment with other providers to more adequately address non-modifiable characteristics. Collectively, these approaches could improve the value of physical therapy by minimizing risk for high downstream healthcare utilization and potentially unwarranted escalation of care.\n\nThe primary strength of the study is longitudinal follow-up at multiple time points following an episode of physical therapy for a variety of musculoskeletal pain conditions. Anatomical location of pain was not a significant predictor of healthcare use in all but one model, suggesting results are widely applicable across a spectrum of musculoskeletal pain conditions. Another strength of this cohort study is the assessment of various healthcare utilization outcomes of interest for establishing health policy. When considered alongside more traditional pain- or disability-related outcomes prediction models, these findings will improve the ability of healthcare systems and providers to make decisions in value-based purchasing environments. The consideration of multiple screening tools (i.e. yellow flags and review of systems) and treatment monitoring variables is also a strength of this study as screening and systematic treatment monitoring are not routine in clinical practice. A final strength is inclusion of multiple sociodemographic, health-related and psychosocial factors as potential predictors. Healthcare outcomes and utilization exhibit emergent properties that require the consideration of multiple, competing factors to fully explain [50].", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed5.pdf" - }, - { - "text": "In the EWCS and ESENER all reported risk factors were registered.\n\n - 58 EU-OSHA, 2020: Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a literature review\n - 59 EU-OSHA, 2020: Work-related musculoskeletal disorders: why are they still so prevalent? Evidence from a literature review\n - 60 OSHWiki, 2020: Musculoskeletal disorders and prolonged static sitting\n - 61 EU-OSHA, 2010: Maintenance and Occupational Safety and Health: a statistical picture\n - 62 Marin-Garcia et al., 2020: Changes in the Association between European Workers' Employment Conditions and Employee Well-Being in 2005, 2010 and 2015 (p. 9).\n - 63 Balogh et al., 2021: Non-standard employment and mortality in Belgian workers: A census-based investigation\n - 64 Gallagher & Underhill, 2012: Managing work health and safety: recent developments and future directions (p. 238).\n - My Business, n.d.: WHAT IS A 'PERSON CONDUCTING A BUSINESS OR UNDERTAKING'?\n - 65 Employment by sex, age and professional status (1 000), quarterly data, Eurostat employment types;\n - Employment and activity - LFS adjusted series - historical data (1989-2020), Total employment, annual data, here Part-time: here and here\n\nTemporary: here and here\n\nContract with a limited duration, 15-64 years, here\n\n - 66 Eurostat definitions: EU Labour Force Survey - Methodology\n - 67 OECD, 2019: Pensions at a Glance 2019, OECD and G20 Indicators\n\nQuote: 'Non-standard work is frequent among workers over 65 and women Non-standard work is common among older workers. While overall employment rates decrease at older ages, the share of non-standard work is particularly high among workers over 65: only about 15% of workers between 65 and 74 are in standard employment, against more than 60% at ages 55-64 and 25-54 (Figure 2.2, Panel A)' (p. 70).", - "page_start": 142, - "page_end": 142, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 1. Von Korff M, Scher AI, Helmick C, Carter-Pokras O, Dodick DW, Goulet J, et al. United states national pain strategy for population research: concepts, definitions, and pilot data. J Pain Off J Am Pain Soc. 2016;17:1068 -80.\n - 2. Clarke JL, Skoufalos A, Scranton R. The American opioid epidemic: population health implications and potential solutions. Report from the national stakeholder panel. Popul Health Manag. 2016;19 Suppl 1:S1 -10.\n - 3. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for chronic pain--United States, 2016. JAMA. 2016;315:1624 -45.\n - 4. Boyles R, Toy P, Mellon J, Hayes M, Hammer B. Effectiveness of manual physical therapy in the treatment of cervical radiculopathy: a systematic review. J Man Manip Ther. 2011;19:135 -42.\n - 5. Bürge E, Monnin D, Berchtold A, Allet L. Cost-effectiveness of physical therapy only and of usual care for various health conditions: systematic review. Phys Ther. 2016;96:774 -86.\n - 6. Deyle GD, Allison SC, Matekel RL, Ryder MG, Stang JM, Gohdes DD, et al. Physical therapy treatment effectiveness for osteoarthritis of the knee: a randomized comparison of supervised clinical exercise and manual therapy procedures versus a home exercise program. Phys Ther. 2005;85:1301 -17.\n - 7. Deyle GD, Henderson NE, Matekel RL, Ryder MG, Garber MB, Allison SC. Effectiveness of manual physical therapy and exercise in osteoarthritis of the knee. A randomized, controlled trial. Ann Intern Med. 2000;132:173 -81.\n - 8. Freburger JK, Carey TS, Holmes GM. Effectiveness of physical therapy for the management of chronic spine disorders: a propensity score approach. Phys Ther. 2006;86:381 -94.\n - 9. Kuhn JE, Dunn WR, Sanders R, An Q, Baumgarten KM, Bishop JY, et al. Effectiveness of physical therapy in treating atraumatic full-thickness rotator cuff tears: a multicenter prospective cohort study. J Shoulder Elb Surg. 2013; 22:1371 -9.\n - 10. Fritz JM, Childs JD, Wainner RS, Flynn TW. Primary care referral of patients with low back pain to physical therapy: impact on future health care utilization and costs. Spine. 2012;37:2114 -21.\n - 11. Fritz JM, Brennan GP, Hunter SJ, Magel JS. Initial management decisions after a new consultation for low back pain: implications of the usage of physical therapy for subsequent health care costs and utilization. Arch Phys Med Rehabil. 2013;94:808 -16.\n - 12. Hill JC, Dunn KM, Lewis M, Mullis R, Main CJ, Foster NE, et al. A primary care back pain screening tool: identifying patient subgroups for initial treatment. Arthritis Rheum. 2008;59:632 -41.\n - 13. Traeger AC, Henschke N, Hübscher M, Williams CM, Kamper SJ, Maher CG, et al. Estimating the risk of chronic pain: development and validation of a prognostic model (PICKUP) for patients with acute low back pain. PLoS Med. 2016;13:e1002019.\n - 14. Karran EL, McAuley JH, Traeger AC, Hillier SL, Grabherr L, Russek LN, et al. Can screening instruments accurately determine poor outcome risk in adults with recent onset low back pain? A systematic review and metaanalysis. BMC Med. 2017;15:13.\n - 15. Azevedo LF, Costa-Pereira A, Mendonça L, Dias CC, Castro-Lopes JM. Chronic pain and health services utilization: is there overuse of diagnostic tests and inequalities in nonpharmacologic treatment methods utilization? Med Care. 2013;51:859 -69.\n - 16. Langley P, Müller-Schwefe G, Nicolaou A, Liedgens H, Pergolizzi J, Varrassi G. The societal impact of pain in the European Union: health-related quality of life and healthcare resource utilization. J Med Econ. 2010;13:571 -81.", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed5.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "What is Creative Commons ?", - "target_page": 2, - "target_passage": "Creative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "\n\nThis is a frame from 'Twenty Years of Creative Commons (in Sixty Seconds)' by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n## Creative Commons\n\nPO Box 1866 Mountain View CA 94042 USA +1 415 429 6753 info@creativecommons.org\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## A Note from Leadership\n\nCC staff photos are licensed under CC BY 4.0.\n\n\n\n2023 was a busy year at Creative Commons. Our Open Culture program and Open Climate Campaign entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our Open Infrastructure Circle in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on the critical work that awaits us in 2024 .\n\n## Anna Tumadóttir, CEO\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## Who would get to use the books data commons? For what?\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n - · Defining and ensuring acceptable and ethical use: Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of 'gated access' are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside 'sticks' like legal penalties, this would be a 'carrot' that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, 'good behavior' would constitute a significant challenge.\n - · Charging for use to support sustainability of the training corpus itself: While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others). 40\n - · Ensuring benefits of AI are broadly shared, including with book authors or publishers: The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in 'winner takes all-or-most' markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A 'books data commons' needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use 'commons' here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach. 5", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 6. Cross-cutting design questions\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n## Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative 'opt-in' consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of 'opt-out' could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about who can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Areas of Exploration\n\n## Support for Creators in the Time of Artificial Intelligence\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. MozFest , Wikimania ), and public events (e.g. symposium on Generative AI & Creativity )to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted community-driven principles on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n'The Pillars of Creation' by James Webb Space Telescope is licensed under CC BY 2.0.\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "When was the first CC licence created?", - "target_page": 4, - "target_passage": "The first CC License was created in 2002.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## Training in how to use CC Licenses is key to their adoption.\n\nWe offer a ten-week CC Certificate program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and available in 10 languages .\n\nAs of 2023, we've certified:\n\n\n\n1,705 Graduates\n\n\n\n65 Countries\n\n## In 2023, we greatly expanded our CC Licenses training and education offerings:\n\n## 19 Workshops & Trainings\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n## 2 Week-Long CC Certificate Bootcamps\n\nfor California Community Colleges.\n\n## 27 Webinars\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n## 12 CC Legal Open Office Hours\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Activation of the license can be performed in one of two ways:", - "page_start": 630, - "page_end": 630, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## A Note from Leadership\n\nCC staff photos are licensed under CC BY 4.0.\n\n\n\n2023 was a busy year at Creative Commons. Our Open Culture program and Open Climate Campaign entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our Open Infrastructure Circle in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on the critical work that awaits us in 2024 .\n\n## Anna Tumadóttir, CEO\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## Regulation in Our Industry\n\nOur business, except for the non-broadcasting operations of Media, is regulated by two groups:\n\n - GLYPH<129> the Canadian Federal Department of Industry on behalf of the Minister of Industry (Canada) (together, Industry Canada)\n - GLYPH<129> the CRTC, under the Telecommunications Act (Canada) (Telecommunications Act) and the Broadcasting Act (Canada) (Broadcasting Act).\n\nRegulation relates to the following, among other things:", - "page_start": 70, - "page_end": 70, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "| 12.3.5 Activate the license manually . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 617 |\n| 12.4 Enabling encryption. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 619 |\n| 12.4.1 Starting the Enable Encryption wizard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 620 |\n| 12.4.2 Enabling encryption using USB flash drives . . . . . . . . . . . . . . . . . . . . . . . . . . . 622 |\n| 12.4.3 Enabling encryption using key servers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 627 12.4.4 Enabling encryption using both providers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 642 |\n| 12.5 Configuring more providers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 647 |\n| 12.5.1 Adding key servers as a second provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 648 12.5.2 Adding USB flash drives as a second provider. . . . . . . . . . . . . . . . . . . . . . . . . 651 |\n| 12.6 Migrating between providers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 653 |\n| 12.6.1 Changing from USB flash drive provider to encryption key server . . . . . . . . . . 653 |\n| 12.6.2 Changing from encryption key server to USB flash drive provider . . . . . . . . . . 653 |\n| 12.6.3 Migrating between different key server types . . . . . . . . . . . . . . . . . . . . . . . . . . 654 |\n| 12.7 Recovering from a provider loss . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656 |\n| 12.8 Using encryption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 656 |\n| 12.8.1 Encrypted pools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 657 12.8.2 Encrypted child pools . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 658 |\n| 12.8.3 Encrypted arrays. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 659 |", - "page_start": 12, - "page_end": 12, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf", - "query": "To what subjects Creative Commons expand its work in 2023 ?", - "target_page": 8, - "target_passage": "We expanded our work in biodiversity, climate, and life sciences focused on ensuring that science research and data are open", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## A Note from Leadership\n\nCC staff photos are licensed under CC BY 4.0.\n\n\n\n2023 was a busy year at Creative Commons. Our Open Culture program and Open Climate Campaign entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our Open Infrastructure Circle in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on the critical work that awaits us in 2024 .\n\n## Anna Tumadóttir, CEO\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\nThis is a frame from 'Twenty Years of Creative Commons (in Sixty Seconds)' by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n## Creative Commons\n\nPO Box 1866 Mountain View CA 94042 USA +1 415 429 6753 info@creativecommons.org\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## Our Impact\n\nCC believes that opening up knowledge is key to addressing the world's most pressing challenges. Today, we steer campaigns, programming, and training in many areas:\n\n## Open Culture\n\n2023 was quite a year for the CC Open Culture Program, thanks to generous funding from Arcadia . We grew our Open Culture team from one to two and a half staff, rolling out new initiatives like TAROC (Towards a Recommendation on Open Culture) and Open Culture Live: A Webinar Series . We invite you to read ' What did Creative Commons do for Open Culture in 2023? ' to learn more.\n\n## Open Journalism\n\nThanks to generous funding from the John D. and Catherine T. MacArthur Foundation , CC hosted its very first Open Journalism track at the CC Global Summit, including eight presentations, lightning talks, panel discussions, and workshops as well as a keynote by Anya Kamenetz .\n\nRepresentatives from 33 news outlets and digital rights-focused organizations attended the CC Summit sessions. The Open Journalism track built on numerous collaborations and workshops throughout 2023.\n\n## Open Education\n\nWe delivered workshops and presentations on CC Licenses and Open Educational Resources at over 16 conferences and events. The CC Open Education Platform also funded six global projects, including work to advance the UNESCO Recommendation on OER.\n\n\"Follow the Color Brick Road\" by Bert Kaufmann is licensed under CC BY-SA 2.0.\n\n\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "## Areas of Exploration\n\n## Support for Creators in the Time of Artificial Intelligence\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. MozFest , Wikimania ), and public events (e.g. symposium on Generative AI & Creativity )to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted community-driven principles on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n'The Pillars of Creation' by James Webb Space Telescope is licensed under CC BY 2.0.\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## Towards a Books Data Commons for AI Training\n\n\n\n\n\nApril 2024\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Acknowledgements\n\nAuthored by Alek Tarkowski and Paul Keller (Open Future), Derek Slater and Betsy Masiello (Proteus Strategies) in collaboration with Creative Commons.\n\nWe are grateful to participants in the workshops, including Luis Villa, Tidelift and openml.fyi; Jonathan Band; Peter Brantley, UC Davis; Aaron Gokaslan, Cornell; Lila Bailey, Internet Archive; Jennifer Vinopal, HathiTrust Digital Library; Jennie Rose Halperin, Library Futures/ NYU Engelberg Center, Nicholas P. Garcia, Public Knowledge; Sayeed Choudhury; Erik Stallman, UC Berkeley School of Law. The paper represents the views of the authors, however, and should not be attributed to the workshop as a whole. All mistakes or errors are the authors'.\n\n\n\nThis report is published under the terms of the Creative Commons Attribution License.", - "page_start": 21, - "page_end": 21, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Training in how to use CC Licenses is key to their adoption.\n\nWe offer a ten-week CC Certificate program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and available in 10 languages .\n\nAs of 2023, we've certified:\n\n\n\n1,705 Graduates\n\n\n\n65 Countries\n\n## In 2023, we greatly expanded our CC Licenses training and education offerings:\n\n## 19 Workshops & Trainings\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n## 2 Week-Long CC Certificate Bootcamps\n\nfor California Community Colleges.\n\n## 27 Webinars\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n## 12 CC Legal Open Office Hours\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "From which country does Killam Properties Inc originate ?", - "target_page": 3, - "target_passage": "Killam Properties Inc. is a growth oriented Canadian real estate company.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## about Killam properties inc.\n\nKillam Properties Inc. is a growth oriented Canadian real estate company. We own, manage and develop multi-family residential properties in Atlantic Canada and Ontario. Since our /first acquisition in 2002, our real estate portfolio has grown to $1.5 billion and includes 12,647 apartment units and 5,164 manufactured home community (MHC) sites. We are committed to growing Killam's earnings by maximizing the returns from our existing portfolio and expanding through acquisitions and development.\n\n## our mission\n\nTo have a team of caring sta/ff deliver clean, safe, quality housing to tenants who are proud to call our properties home.\n\n## our core Values\n\nBuild Community\n\nCurb Appeal\n\nDo the Right Thing\n\npresident's letter\n\n9\n\nasset portfolio\n\n18\n\nMD&a\n\n21\n\nFinancial Statements\n\n66\n\nFive-Year Summary\n\n96\n\nStrong Customer Relationships\n\n\n\n180 mill street, london, ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## increasing Geographic Diversi/fication\n\nWith a home base in Halifax, Killam's roots are in atlantic canada and the company has successfully grown by consolidating the residential real estate market in the region's urban centres. in order to meet its long-term growth targets and increase its investment in canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in ontario and is exploring investment opportunities in Western canada. since 2010, Killam has expanded its apartment target markets to include speci/fic cities in ontario, and has invested approximately $200 million in real estate assets in the province. approximately 15% of Killam's 2014 net operating income is expected to be earned in ontario. the company has set a long-term target to earn 50% of its net operating income outside atlantic canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## management's Discussion and analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## PART II\n\n## Business Overview\n\nKillam Properties Inc., based in Halifax, Nova Scotia, is one of Canada's largest residential landlords, owning, operating, managing and developing multi-family residential and Manufactured Home Community ('MHC') properties. Killam's 164 apartment properties are located in Atlantic Canada's six largest urban centres and in Ontario. The Company's 35 MHCs are located in Ontario and Atlantic Canada. The value of Killam's real estate assets at December 31, 2013, was $1.5 billion. Killam is focused on growing its portfolio, maximizing the value of its properties and increasing FFo per share.\n\nKillam was founded in 2000, based on the recognition of an opportunity to create value through the consolidation of apartments in Atlantic Canada and MHCs across Canada. Killam's first apartment was purchased in 2002 and its first MHC was purchased in 2003. From 2002 to 2009, Killam's apartment portfolio grew through the acquisition of properties in Atlantic Canada's six largest cities, namely Halifax, Moncton, Saint John, Fredericton, St. John's and Charlottetown. Killam is now Atlantic Canada's largest residential landlord, with a 14.2% market share of the multi-family rental units in these core markets. Killam entered the Ontario apartment market in 2010, and today owns twelve properties in the province, including assets in Toronto, Ottawa, London and Cambridge. Killam plans to expand its presence in Ontario with additional acquisitions and developments. The apartment business is Killam's largest business segment, accounting for 86% of the Company's NOI from property operations and equity income in 2013. At December 31, 2013, Killam's apartment portfolio consisted of 12,647 units.\n\nKillam complements its acquisition program with the construction of apartment buildings. During 2013, Killam completed the development of four projects totalling 282 units and commenced two additional projects in the second half of the year. Management does not expect developments to exceed 5% of the total asset base in any given year.\n\nIn addition, the Company owns MHCs, also known as land-lease communities or trailer parks. Killam owns the land and infrastructure supporting each community and leases the lots to tenants, who own their own homes and pay Killam a monthly site rent. Killam owns 35 communities which accounted for 14% of Killam's NOI in 2013. During the year Killam sold ten MHC properties located in New Brunswick, allowing the Company to crystallize the value of the properties at attractive cap-rates and use the funds to continue to grow the apartment portfolio.\n\n## Key Performance Indicators (KPIs)\n\nManagement measures Killam's performance based on the following KPIs:", - "page_start": 22, - "page_end": 22, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "\n\nKillam properties inc 2013 annual report", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "\n\nKillam properties Inc. suite 100 3700 Kempt road Halifax, nova scotia B3K 4X8\n\n1.866.453.8900 killamproperties.com tsx: kmp", - "page_start": 97, - "page_end": 97, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Geographic Diversification\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%-18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year-end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long-term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap-rates. This creates moderate short-term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## a Diversi/fied portfolio\n\nKillam has a diverse portfolio of both apartments and manufactured home communities. The apartment portfolio represents 86% of Killam's earnings and includes a variety of property types, such as high-rises, mid-rises and walk-ups, in nine urban centres across /five provinces. With a wide selection of properties and price points in each city, Killam caters to a broad tenant base. Killam's 35 manufactured home communities represent 14% of earnings and are located primarily in Nova Scotia and Ontario. The manufactured home communities complement the apartment business, providing stable and predictable cash /flows.\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "- (1) Acquired as a portfolio.\n - (2) Purchase price on acquisition does not include transaction-related costs.\n - (3) Killam entered into a 50/50 joint development agreement with another company for the purchase of this land. The $1.8 million purchase price represents\n - Killam's interest in the land.\n - (4) Included in the acquisition is 21,242 square feet of commercial space.\n\nIn addition to apartment acquisitions during 2013, Killam purchased a MHC in Antigonish with 65 sites and three parcels of land for future development. The parcel of land located in Cambridge is 5.2 acres and is zoned for a maximum height of seven stories and a density of 180 units. The parcel of land in Moncton is 0.8 acres and the land located at 1057 Barrington Street in Halifax is 0.7 acres and was purchased under a joint development agreement for the purpose of developing a six-story mixed-use building.", - "page_start": 47, - "page_end": 47, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Notes to the Consolidated Financial Statements\n\nDollar amounts are in thousands of canadian dollars (except share and per share amounts)\n\n## 1. Corporate Information\n\nKillam Properties Inc ('Killam' or the 'Company') is a real estate company specializing in the acquisition, management and development of multi-residential apartment buildings and manufactured home communities in Canada. Killam is incorporated under the Canada Business Corporations Act. Killam's common shares are publicly traded and listed on the Toronto Stock Exchange under the symbol 'KMP'. The consolidated financial statements comprise the financial statements of Killam and its subsidiaries as at December 31, 2013 . the company's head office operations are located at 3700 Kempt Road, Halifax, Nova Scotia, B3K 4X8 and the Company's registered office is located at 2571 Windsor Street, Halifax, Nova Scotia, B3K 5C4.\n\nThe consolidated financial statements of the Company for the year ended December 31, 2013, were authorized for issue in accordance with a resolution of the Board of Directors on Tuesday, February 18, 2014.\n\n## 2. Significant Accounting Policies\n\n## (A) Statement of Compliance\n\nThese consolidated financial statements have been prepared in accordance with International Financial Reporting Standards ('IFRS') as issued by the International Accounting Standards Board ('IASB').\n\n## (B) Basis of Presentation\n\nThe consolidated financial statements of the Company have been prepared on a historical cost basis, except for investment properties that have been measured at fair value. Historical cost is generally based on the fair value of the consideration given in exchange for assets. The consolidated financial statements have been prepared on a going concern basis and are presented in Canadian dollars, which is Killam's functional currency, and all values are rounded to the nearest thousand ($000), except when otherwise noted. Standards and guidelines not effective for the current accounting period are described in Note 4.\n\n## (C) Basis of Consolidation\n\n## (i) Subsidiaries\n\nThe consolidated financial statements include the accounts of Killam and its subsidiaries. Non-controlling interests represent the portion of profit or loss and net assets not held by Killam, and are presented separately in the Consolidated Statements of Income and Comprehensive Income and within equity in the Consolidated Statement of Financial Position, separately from shareholders' equity.\n\nSubsidiaries are entities controlled by Killam. The financial statements of subsidiaries are included in the consolidated financial statements from the date that control commences until the date that control ceases. The accounting policies of subsidiaries have been changed when necessary to align them with the policies adopted by Killam. In certain circumstances, Killam has control over entities in which it does not own more than 50% of the voting power.\n\nThe Company's significant investment in subsidiaries and a joint venture, all of which are incorporated in Canada, are listed in the following table:\n\n| Subsidiary | % Interest |\n|------------------------------------------|--------------|\n| Killam Properties Inc. | 100% |\n| Killam investments inc. | 100% |\n| Killam investments (Pei) inc. | 100% |\n| Killam Properties Apartments Trust | 100% |\n| Killam Properties M.H.C. Trust | 100% |\n| 661047 n.B. inc. | 100% |\n| Blackshire court limited | 100% |\n| Blackshire court limited Partnership | 95.92% |\n| Killam KFH (180 mill st.) inc. | 100% |\n| Killam KFH (Kanata lakes) inc. | 100% |\n| Killam KFH (1355 silver spear road) inc. | 100% |\n| Killam KFH sigma GP inc. | 50% |\n| Killam KFH-Sigma Properties LP | 25% |", - "page_start": 69, - "page_end": 69, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## Business Strategy\n\n## Maximize NOI from Existing Portfolio\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n## Growth through Acquisitions\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n## Growth through Development\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to-date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n## Investment in New Properties\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high-quality buildings will result in above-market and long-term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above-average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two-bedroom unit in these newer buildings was $1,320 per month, compared to a market average two-bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap-rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n## Geographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "How Killam Properties Inc does increase its geographic diversification ? ", - "target_page": 5, - "target_passage": "We are increasing our geographic diversification by expanding our apartment ownership outside Atlantic Canada. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Geographic Diversification\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%-18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year-end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long-term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap-rates. This creates moderate short-term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## increasing Geographic Diversi/fication\n\nWith a home base in Halifax, Killam's roots are in atlantic canada and the company has successfully grown by consolidating the residential real estate market in the region's urban centres. in order to meet its long-term growth targets and increase its investment in canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in ontario and is exploring investment opportunities in Western canada. since 2010, Killam has expanded its apartment target markets to include speci/fic cities in ontario, and has invested approximately $200 million in real estate assets in the province. approximately 15% of Killam's 2014 net operating income is expected to be earned in ontario. the company has set a long-term target to earn 50% of its net operating income outside atlantic canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Increasing Geographic Diversi/fication\n\nWe are increasing our geographic diversi/fication by expanding our apartment ownership outside Atlantic Canada. Over the last four years we have invested approximately $200 million in apartments located in Ontario and at the end of 2013 owned 1,359 units in three core Ontario markets: Ottawa, Toronto and Southwestern Ontario. Our long-term goal is to have 50% of our earnings generated outside Atlantic Canada. We plan to achieve this by focusing future acquisition and development activity in Ontario, and potentially Western Canada.\n\n## annual apartment net operating and equity Income from atlantic Canada and ontario $ millions\n\n\n\n\n\n## Investing in newer properties\n\nWe are expanding our portfolio with a focus on acquiring newer properties and through development. We believe that newer buildings often generate higher total returns due to limited deferred maintenance requirements, lower operating costs and a preference for renters to live in newer buildings. With 35% of Killam's apartment portfolio constructed since the year 2000, Killam has one of the newest multi-family real estate portfolios in Canada.\n\n## apartment Value by Year of Construction\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "| Consolidation of Multi-family Residential Real Estate Market and Increase Investment New Properties Complete a minimum of $75 million in acquisitions and continue to develop two current projects on schedule and within 5% of budget. | Consolidation of Multi-family Residential Real Estate Market and Increase Investment New Properties Complete a minimum of $75 million in acquisitions and continue to develop two current projects on schedule and within 5% of budget. |\n| Geographic Diversification | Killam's 2014 acquisition program is to include over 50% of acquisitions outside of Atlantic Canada, with a focus on Ontario. |\n| Growth in Same Store Net Operating Income | same store noi growth of 0% to 2%. |", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## opportunities for Growth\n\nKillam's growth opportunities include increasing earnings of its existing portfolio and expanding the portfolio through acquisitions and development. acquisitions have been an important part of Killam's growth, having completed over $1.1 billion in acquisitions since the /first property was acquired in 2002. Killam began development as a complement to its acquisition program in 2010, and to-date has invested approximately $90 million in new developments. 2013 was Killam's largest year for growth since 2005, adding $191 million of properties to the portfolio, including $121 million in acquisitions and $70 million in new developments. looking ahead to 2014, Killam has targeted a minimum of $75 million in acquisitions, and the development of two new apartment buildings totaling approximately $46 million.\n\n", - "page_start": 13, - "page_end": 13, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## about Killam properties inc.\n\nKillam Properties Inc. is a growth oriented Canadian real estate company. We own, manage and develop multi-family residential properties in Atlantic Canada and Ontario. Since our /first acquisition in 2002, our real estate portfolio has grown to $1.5 billion and includes 12,647 apartment units and 5,164 manufactured home community (MHC) sites. We are committed to growing Killam's earnings by maximizing the returns from our existing portfolio and expanding through acquisitions and development.\n\n## our mission\n\nTo have a team of caring sta/ff deliver clean, safe, quality housing to tenants who are proud to call our properties home.\n\n## our core Values\n\nBuild Community\n\nCurb Appeal\n\nDo the Right Thing\n\npresident's letter\n\n9\n\nasset portfolio\n\n18\n\nMD&a\n\n21\n\nFinancial Statements\n\n66\n\nFive-Year Summary\n\n96\n\nStrong Customer Relationships\n\n\n\n180 mill street, london, ontario", - "page_start": 2, - "page_end": 2, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Increased Supply Risk\n\nIncreased supply risk is the risk of loss from increased competition from the addition of new rental units in Killam's core markets. Numerous other residential developers and apartment owners compete for potential tenants. Although it is Killam's strategy to own multifamily residential properties in premier locations in each market in which it operates, some of the apartments or MHCs of Killam's competitors may be newer, better located or offer lower rents. An increase in alternative housing could have a material adverse effect on Killam's ability to lease units and in the rents charged and could adversely affect Killam's revenues and ability to meet its obligations. To mitigate against this risk Killam has a geographically diverse asset base. Management is expanding this diversification by increasing Killam's investment in apartment markets outside Atlantic Canada.\n\n## Credit Risk\n\nCredit risk arises from the possibility that tenants may experience financial difficulty and be unable to fulfill their lease term commitments. The Company mitigates the risk of credit loss through the diversification of its existing portfolio and limiting its exposure to any one tenant. Credit assessments are conducted with respect to all new leasing and the Company also obtains a security deposit to assist in potential recovery requirements. In addition, the receivable balances are monitored on an ongoing basis with the result that the Company's exposure to bad debt is not significant. The Company's bad debt expense experience has historically been less than 0.4% of revenues. None of Killam's tenants account for more than 1% of tenant receivables.\n\n## Development Risk\n\nDevelopment risk is the risk that costs of developments will exceed original estimates, unforeseen delays occur and/or units will not be leased in the timeframe and/or at rents anticipated. Killam minimizes its exposure to development risk my limiting the amount of development underway at any one time. To reduce the Company's exposure to price increases, Killam enters into fixed-rate contracts when possible. To reduce the lease-up risk, Killam does extensive market research in advance of each development to support expected rental rates, and pre-markets its properties early on in the process, to increase demand for the new developments.", - "page_start": 58, - "page_end": 58, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Complementing Acquisitions with Developments\n\nDevelopment is an important component of Killam's future growth. We are gaining expertise as developers, resulting in both increased e/fficiencies and returns. We completed four new developments in 2013, representing an investment of $70 million. Two of the buildings leased-up within three months, and two are expected to be substantially leased by the middle of 2014. The slower than expected lease-up at S2 in Halifax is attributable to a higher than normal amount of new units coming to market in recent years, leading to increased competition at the high-end of the market. At The Plaza in\n\nFredericton, a soft home sales market is leading to longer than expected lease-up. We will realize the full /financial bene/fit from these buildings once they are fully occupied.\n\nWe currently have two new developments underway. Chelsea Place, a 101-unit, 2-building complex located in St. John's, is expected to be completed in the third quarter of 2014. Saginaw Gardens, a 122-unit building in Cambridge, on land acquired in January 2013, was started in December 2013 and will be completed in 2015. The total investment in the two developments is approximately $46 million, representing 3% of our balance sheet. We expect to limit our", - "page_start": 9, - "page_end": 9, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "| Geographic Diversi/fication | 2013 acquisition program to include investments in Ontario. | Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. |\n| Growth in Same Store Net Operating Income (NOI) | Same store NOI growth of 2% to 4% in 2013. | Target not achieved. Despite generating 1.8% growth in same store revenue, high natural gas prices in Atlantic Canada caused total same store utility and fuel expenses to increase 13.8% during the year, which resulted in a decrease in same store NOI of 0.4% for the year. |", - "page_start": 7, - "page_end": 7, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## Business Strategy\n\n## Maximize NOI from Existing Portfolio\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n## Growth through Acquisitions\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n## Growth through Development\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to-date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n## Investment in New Properties\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high-quality buildings will result in above-market and long-term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above-average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two-bedroom unit in these newer buildings was $1,320 per month, compared to a market average two-bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap-rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n## Geographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "TSX_KMP_2013.pdf", - "query": "What is the Killam Properties Inc 2013 performance about the Geographic Diversification objective ?", - "target_page": 8, - "target_passage": "Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Geographic Diversification\n\nGeographic diversification in the apartment segment is a priority for Killam. With a 14.2% market share in its core markets in Atlantic Canada, Killam is the region's largest residential landlord. The maximum market share Management foresees Killam reaching in Atlantic Canada is between 15%-18%. With Atlantic Canada representing only 4.9% of the Canadian rental market, Killam's growth opportunities increase significantly when considering assets outside Atlantic Canada.\n\nWith its strong operating platform, Killam can support a larger and more geographically diverse portfolio. The Company is actively building a portfolio in targeted Ontario markets, including Ottawa, the Greater Toronto Area, and Southwestern Ontario. An increased investment in Ontario, and potentially Western Canada, will increase the Company's diversification and exposure in high growth centres in Canada. Based on the Company's portfolio at year-end, 15% of Killam's 2014 NOI will be generated in Ontario. Management has set a long-term target of growing the amount of NOI generated outside of Atlantic Canada to 50%.\n\nIn 2013, Killam sold a portfolio of ten MHCs in New Brunswick that allowed Killam to crystallize the increased value of this portfolio at attractive cap-rates. This creates moderate short-term dilution but it provides the Company with funds to continue its geographic diversification by accretively growing its apartment portfolio in Ontario.", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "\n\nKillam properties inc 2013 annual report", - "page_start": 0, - "page_end": 0, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "| Geographic Diversi/fication | 2013 acquisition program to include investments in Ontario. | Target achieved. Killam acquired $55 million in Ontario real estate in 2013, representing 45% of its acquisition program in the year. Assets acquired included a 102-unit property in Ottawa, a newly built, 179-unit, mixed-used property in downtown Toronto and a 5.2 acre parcel of land for development in Cambridge, Ontario. |\n| Growth in Same Store Net Operating Income (NOI) | Same store NOI growth of 2% to 4% in 2013. | Target not achieved. Despite generating 1.8% growth in same store revenue, high natural gas prices in Atlantic Canada caused total same store utility and fuel expenses to increase 13.8% during the year, which resulted in a decrease in same store NOI of 0.4% for the year. |", - "page_start": 7, - "page_end": 7, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## increasing Geographic Diversi/fication\n\nWith a home base in Halifax, Killam's roots are in atlantic canada and the company has successfully grown by consolidating the residential real estate market in the region's urban centres. in order to meet its long-term growth targets and increase its investment in canada's most dynamic real estate markets, Killam has been actively expanding its apartment portfolio in ontario and is exploring investment opportunities in Western canada. since 2010, Killam has expanded its apartment target markets to include speci/fic cities in ontario, and has invested approximately $200 million in real estate assets in the province. approximately 15% of Killam's 2014 net operating income is expected to be earned in ontario. the company has set a long-term target to earn 50% of its net operating income outside atlantic canada.", - "page_start": 16, - "page_end": 16, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Increasing Geographic Diversi/fication\n\nWe are increasing our geographic diversi/fication by expanding our apartment ownership outside Atlantic Canada. Over the last four years we have invested approximately $200 million in apartments located in Ontario and at the end of 2013 owned 1,359 units in three core Ontario markets: Ottawa, Toronto and Southwestern Ontario. Our long-term goal is to have 50% of our earnings generated outside Atlantic Canada. We plan to achieve this by focusing future acquisition and development activity in Ontario, and potentially Western Canada.\n\n## annual apartment net operating and equity Income from atlantic Canada and ontario $ millions\n\n\n\n\n\n## Investing in newer properties\n\nWe are expanding our portfolio with a focus on acquiring newer properties and through development. We believe that newer buildings often generate higher total returns due to limited deferred maintenance requirements, lower operating costs and a preference for renters to live in newer buildings. With 35% of Killam's apartment portfolio constructed since the year 2000, Killam has one of the newest multi-family real estate portfolios in Canada.\n\n## apartment Value by Year of Construction\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## Summary of 2013 Results and Operations\n\n## Acquisitions and Developments Drive Revenue Growth of 5.6%\n\nKillam completed $114.2 million in property acquisitions throughout 2013 and also completed $69.6 million of development projects in the first half of 2013, adding 1,025 apartment units and 65 MHC sites to the portfolio. $84.8 million of acquisitions completed throughout 2012 also contributed to revenue growth in 2013. This growth was partially offset by the disposition of ten MHC properties located in New Brunswick for proceeds of $69.0 million during the fourth quarter of 2013 and the disposition of twelve MHCs during 2012 for $72.9 million. The development projects completed in 2013 located in Halifax and Fredericton are expected to be substantially leased by mid-2014 and will generate additional revenue growth for the company in 2014.\n\n## Consolidated Same Store Revenue Growth of 1.8%\n\nKillam's same store portfolio posted a 1.8% increase in revenue growth compared to 2012, driven by an increase of 1.3% in rental rates related to the apartment portfolio and a 3.7% increase in rental rates related to the MHC portfolio. These rental rate gains were partially offset by higher vacancy during the first half of 2013, compared to 2012, and higher rental incentives due to increased competition in certain of the Company's core markets in Atlantic Canada as a result of increased supply.\n\nThe Halifax market, which comprises approximately 50% of the Company's same store apartments, contributed to the rental growth, posting a 2.5% increase in residential rents. The improved top-line growth in Halifax reflects the marketing and leasing changes implemented in 2013 and the quality and location of the Company's assets in the city. Growth in Halifax offset the Charlottetown and Saint John markets, which saw flat revenues year-over-year and a decline of 2.4% in revenue, respectively.\n\n## 14% Increase in Same Store Utility Costs Due to Pressure on Natural Gas Pricing\n\nDuring the first quarter of 2013 the Company experienced high natural gas prices as a result of supply constraints and high demand from utilities in New England, which drove up pricing within Atlantic Canada. Unanticipated disruptions at the Sable Offshore Energy project and delays in the Deep Panuke Project coming on-line created a regional supply deficit and forced distributors to purchase the commodity at higher prices from the day markets in the Northeastern United States. During the fourth quarter of 2013 Killam also saw a spike in pricing, specifically in the New Brunswick market, as colder than normal weather increased demand from utilities in Northeast New England and placed added pressure on day pricing in a market with a shortage of gas pipeline capacity. Pricing was more stable during the fourth quarter in Nova Scotia as the region's largest supplier had previously entered into a number of fixed gas-supply contracts for the 2013-2014 heating season.\n\n## Stability in Controllable Operating Costs\n\nExcluding energy and property taxes, Killam delivered an impressively modest 0.3% increase in same store operating expenses in 2013 compared to 2012. Killam managed operating costs by renegotiating key contracts, including garbage and elevator contracts, and reducing repair and maintenance and property administrative expenses through a company-wide focus on minimizing discretionary spending. In addition, the increase in same store property tax expense was managed to 2.8% as a result of successful assessment appeals.\n\n## Interest Cost Savings on Refinancings", - "page_start": 24, - "page_end": 24, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## Business Strategy\n\n## Maximize NOI from Existing Portfolio\n\nManagement is focused on increasing the value of its real estate portfolio by maximizing revenue and operating efficiencies. To achieve NOI growth, Killam must address three critical factors; occupancy, rental rates, and operating costs. The Company focuses on customer service, investing in its properties, leasing and marketing initiatives, and training its employees to maximize these outcomes.\n\nManagement is able to directly control approximately 40% of operating expenses, including labour costs, repairs and maintenance and property general and administrative expenses. The remaining operating costs, including utilities and property taxes, are less controllable. Killam's apartments are currently heated with a combination of natural gas, electricity and oil. Volatile oil and natural gas prices have an impact on Killam's operating costs. To mitigate this volatility, the Company is active in energy conservation initiatives and regularly monitors its energy usage.\n\n## Growth through Acquisitions\n\nKillam is expanding its portfolio by acquiring newer, centrally located buildings and is focused on Ontario. During 2013 Killam completed $121.1 million in acquisitions, including properties in Toronto, Ottawa, Moncton and Prince Edward Island.\n\n## Growth through Development\n\nKillam enhances its portfolio growth opportunities by developing properties. Killam started apartment developments in 2010 and has completed five properties to-date, including four in 2013. Building new properties directly allows Killam to control the quality and features of the buildings, maximizes the use of excess land and eliminates the seller's profit, generating higher returns than through acquisitions. Management expects to limit development projects to approximately 5% of the balance sheet on an annual basis.\n\n## Investment in New Properties\n\nIn addition to developing new properties, Killam also acquires newly constructed assets. Management believes that increasing Killam's ownership in new, high-quality buildings will result in above-market and long-term demand for the Company's assets from an aging population, reduce annual capital requirements for deferred maintenance, and transform Killam's portfolio, over time, into one of the highest quality portfolios in canada.\n\nDemand by renters for newly constructed rental apartments is strong, with high occupancy rates and above-average rents. CMHC's Fall 2013 Halifax Rental Market Report reported 97.3% occupancy for properties built in 2000 or later, compared to 96.8% for all rental markets in the city. The average rent for a two-bedroom unit in these newer buildings was $1,320 per month, compared to a market average two-bedroom rent of $976.\n\nThe new properties added to Killam's portfolio are condo quality, providing tenants with features and amenities traditionally associated with ownership. The Company believes that demand for this type of rental accommodation will grow given an increasing number of homeowners reaching retirement age and looking for alternatives to home ownership. Killam is also attracted to the low capital spend requirements from new assets compared to older buildings, which often include significant capital investment to address deferred maintenance. Generally, the amount of annual capital to maintain a property increases as the building ages. In addition, with energy efficient features, the NOI margins are generally higher in newer buildings.\n\nWith strong demand for the acquisition of apartments over the last three years, cap-rates have declined and the pricing differential between older and newer buildings has reduced. This enables Killam to increase the amount of newer apartments in its portfolio without paying a significant premium for quality assets.\n\n## Geographic Diversification", - "page_start": 28, - "page_end": 28, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "| Consolidation of Multi-family Residential Real Estate Market and Increase Investment New Properties Complete a minimum of $75 million in acquisitions and continue to develop two current projects on schedule and within 5% of budget. | Consolidation of Multi-family Residential Real Estate Market and Increase Investment New Properties Complete a minimum of $75 million in acquisitions and continue to develop two current projects on schedule and within 5% of budget. |\n| Geographic Diversification | Killam's 2014 acquisition program is to include over 50% of acquisitions outside of Atlantic Canada, with a focus on Ontario. |\n| Growth in Same Store Net Operating Income | same store noi growth of 0% to 2%. |", - "page_start": 26, - "page_end": 26, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## Continued Geographic Expansion in Ontario\n\nKillam acquired two buildings in Ontario during 2013 including a 102-unit building located in Ottawa for $10.4 million as well as a newly constructed, 8-storey, mixed-use complex containing 21,242 square feet of street level retail (TD Bank, Shoppers Drug Mart and Tim Hortons) and 179 apartment units in downtown Toronto for $40.0 million. With the completion of these two acquisitions, Killam's future NOI generated from its Ontario properties is expected to increase to 15.0% from 7.5%.\n\n## Reduced Cap-Rate Compression in 2013\n\nDuring 2013 Killam recorded $13.1 million in fair value gains related to its portfolio compared to $37.7 million in 2012. This decrease year-over-year was driven by a combination of reduced cap-rate compression in 2013 and a slight uptick in cap-rates of 25 bps in the Saint John market in the fourth quarter of 2013. The net gain in real estate valuations does not impact the Company's FFO per share, its key measure of performance.\n\n## Dividend Increase\n\non December 23, 2013, Killam announced an increase in its annual dividend by 3.4% to $0.60 per share from $0.58 per share. the increase reflects Management's expectation of earning's growth to be generated in 2014.\n\n## Performance Compared to 2013 Key Objectives", - "page_start": 25, - "page_end": 25, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## management's Discussion and analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## 2013 Dispositions - Investment Properties\n\nOn November 30, 2013, Killam sold a portfolio of ten MHCs in New Brunswick. Killam had invested $44.2 million to acquire and enhance this portfolio over the last ten years. The sale price of $69.0 million resulted in net cash proceeds of $42.6 million. The sale allowed Killam to crystallize the increased value of its New Brunswick MHC portfolio at current attractive cap-rates and use the funds to continue to geographically diversify and accretively grow the apartment portfolio. In addition, the transaction will further enhance FFO accretion as apartments acquired are expected to qualify for CMHC insured debt, resulting in mortgage rates 120 - 180 bps lower than conventional mortgages on MHC properties. The properties that were sold of are as follows:\n\n| Property | Location | Disposal Date | Sites | Acres |\n|------------------------|--------------------------|-----------------|---------|---------|\n| mHcs | | | | |\n| Burton estates | Burton, nB | 29-Nov-13 | 91 | 32 |\n| crown & currie estates | Fredericton, nB | 29-Nov-13 | 176 | 140 |\n| Kent & Bayview | Bathurst & Beresford, nB | 29-Nov-13 | 148 | 123 |\n| milford estates | saint John, nB | 29-Nov-13 | 152 | 22 |\n| Park P'tiso estates | edmundston, nB | 29-Nov-13 | 79 | 18 |\n| Pine tree Village | moncton, nB | 29-Nov-13 | 828 | 260 |\n| Parkside estates | Quispamis, NB | 29-Nov-13 | 94 | 15 |\n| river east estates | moncton, nB | 29-Nov-13 | 109 | 72 |\n| tamarack estates | Fredericton, nB | 29-Nov-13 | 419 | 75 |\n| White Frost estates | moncton, nB | 29-Nov-13 | 212 | 51 |\n\n## Investment Properties Under Construction\n\nFor the years ended December 31,\n\n| | 2013 | 2012 |\n|------------------------------------|----------|---------|\n| Balance, beginning of year | $57,941 | $11,574 |\n| Capital expenditures | 28,356 | 47,284 |\n| interest capitalized | 1,097 | 1,063 |\n| Land acquisitions | 7,294 | - |\n| Transfers to investment properties | (70,315) | - |\n| Fair value gains (losses) | - | (1,980) |\n| Balance, end of year | $24,373 | $57,941 |\n\nDuring 2013, Killam completed four development projects in the first half of the year; adding a total of 282 units to the Company's apartment portfolio in key operating markets in Atlantic Canada. Total development costs were $69.6 million and the properties generated $0.9 million in NOI during the year. Brighton House, located in Charlottetown, was completed in February 2013 and was fully leased by the end of the first quarter. Bennett House, located in St. John's, was completed in May 2013 and was fully leased within three months of opening. S2 located in Halifax and The Plaza located in Fredericton were both completed in May 2013 and are currently 62% and 61% leased. Management has developed specific advertising and marketing strategies for these two buildings and expects the buildings to be substantially leased by mid-2014. Management is anticipating a year-one stabilized all-cash yield of approximately 5% on these developments, and minimal capital requirements for the next 10 to 15 years.", - "page_start": 48, - "page_end": 48, - "source_file": "TSX_KMP_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "What is the conventional workflow for BERT ?", - "target_page": 1, - "target_passage": "The conventional workflow for BERT consists of two stages: pre-training and fine-tuning. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## A Primer in BERTology: What We Know About How BERT Works\n\n## Anna Rogers\n\nCenter for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\n## Olga Kovaleva\n\nUniversity of Massachusetts Lowell\n\nDept. of Computer Science okovalev@cs.uml.edu\n\n## Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n## 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear why , which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\n## Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell\n\narum@cs.uml.edu\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n## 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle 1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\ngoogle-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## 5.3 Pre-training BERT\n\nThe original BERT is a bidirectional Transformer pre-trained on two tasks: next sentence prediction (NSP) and masked language model (MLM) (section 2). Multiple studies have come up with alternative training objectives to improve on BERT, which could be categorized as follows:\n\n- · How to mask. Raffel et al. (2019) systematically experiment with corruption rate and corrupted span length. Liu et al. (2019b) propose diverse masks for training examples within an epoch, while Baevski et al. (2019) mask every token in a sequence instead of a random selection. Clinchant et al. (2019) replace the MASK token with [UNK] token, to help the model learn a representation for unknowns that could be useful for translation. Song et al. (2020) maximize the amount of information available to the model by conditioning on both masked and unmasked tokens, and letting the model see how many tokens are missing.\n- · What to mask. Masks can be applied to full words instead of word-pieces (Devlin et al., 2019; Cui et al., 2019). Similarly, we can mask spans rather than single tokens (Joshi et al., 2020), predicting how many are missing (Lewis et al., 2019). Masking phrases and named entities (Sun et al., 2019b) improves representation of structured knowledge.\n- · Where to mask. Lample and Conneau (2019) use arbitrary text streams instead of sentence pairs and subsample frequent outputs similar to Mikolov et al. (2013). Bao et al. (2020) combine the standard autoencoding MLM with partially autoregressive LM objective using special pseudo mask tokens.\n- · Alternatives to masking. Raffel et al. (2019) experiment with replacing and dropping spans, Lewis et al. (2019) explore deletion, infilling, sentence permutation and document rotation, and Sun et al. (2019c) predict whether a token is capitalized and whether it occurs in other segments of the same document. Yang et al. (2019) train on different permutations of word order in the input sequence, maximizing the probability of the original word order (cf. the n-gram word order reconstruction task (Wang et al., 2019a)). Clark et al. (2020) detect tokens that were replaced by a generator network rather than masked.\n- · NSP alternatives. Removing NSP does not hurt or slightly improves performance (Liu et al., 2019b; Joshi et al., 2020; Clinchant et al., 2019). Wang et al. (2019a) and Cheng et al. (2019) replace NSP with the task of predicting both the next and the previous sentences. Lan et al. (2020a) replace the negative NSP examples by swapped sentences from positive examples, rather than sentences from different documents. ERNIE 2.0 includes sentence reordering and sentence distance prediction. Bai et al. (2020) replace both NSP and token position embeddings by a combination of paragraph, sentence, and token index embeddings. Li and Choi (2020) experiment with utterance order prediction task for multiparty dialogue (and also MLM at the level of utterances and the whole dialogue).\n- · Other tasks. Sun et al. (2019c) propose simultaneous learning of 7 tasks, including discourse relation classification and predicting whether a segment is relevant for IR. Guu et al. (2020) include a latent knowledge retriever in language model pretraining. Wang et al. (2020c) combine MLM with knowledge base completion objective. Glass et al. (2020) replace MLM with span prediction task (as in extractive question answering), where the model is expected to provide the answer not from its own weights, but from a different passage containing the correct answer (a relevant search engine query snippet).", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter modules. They achieve competitive performance on 26 classification tasks at a fraction of the computational cost. Adapters in BERT were also used for multi-task learning (Stickland and Murray, 2019) and cross-lingual transfer (Artetxe et al., 2019). An alternative to fine-tuning is extracting features from frozen representations, but fine-tuning works better for BERT (Peters et al., 2019b).\n\nA big methodological challenge in the current NLP is that the reported performance improvements of new models may well be within variation induced by environment factors (Crane, 2018). BERT is not an exception. Dodge et al. (2020) report significant variation for BERT fine-tuned on GLUE tasks due to both weight initialization and training data order. They also propose early stopping on the less-promising seeds.\n\nAlthough we hope that the above observations may be useful for the practitioners, this section does not exhaust the current research on fine-tuning and its alternatives. For example, we do not cover such topics as Siamese architectures, policy gradient training, automated curriculum learning, and others.\n\n## 6 How big should BERT be?\n\n## 6.1 Overparameterization\n\nTransformer-based models keep growing by orders of magnitude: the 110M parameters of base BERT are now dwarfed by 17B parameters of Turing-NLG (Microsoft, 2020), which is dwarfed by 175B of GPT-3 (Brown et al., 2020). This trend raises concerns about computational complexity of self-attention (Wu et al., 2019a), environmental issues (Strubell et al., 2019; Schwartz et al., 2019), fair comparison of architectures (Aßenmacher and Heumann, 2020), and reproducibility.\n\nHuman language is incredibly complex, and would perhaps take many more parameters to describe fully, but the current models do not make good use of the parameters they already have. Voita et al. (2019b) showed that all but a few Transformer heads could be pruned without significant losses in performance . For BERT, Clark et al. (2019) observe that most heads in the same layer show similar self-attention patterns (perhaps related to the fact that the output of all self-attention heads in a layer is passed through the same MLP), which explains why Michel et al. (2019) were able to reduce most layers to a single head.\n\nDepending on the task, some BERT heads/layers are not only redundant (Kao et al., 2020), but also harmful to the downstream task performance. Positive effect from head disabling was reported for machine translation (Michel et al., 2019), abstractive summarization (Baan et al., 2019), and GLUE tasks (Kovaleva et al., 2019). Additionally, Tenney et al. (2019a) examine the cumulative gains of their structural probing classifier, observing that in 5 out of 8 probing tasks some layers cause a drop in scores (typically in the final layers). Gordon et al. (2020) find that 30-40% of the weights can be pruned without impact on downstream tasks.\n\nIn general, larger BERT models perform better (Liu et al., 2019a; Roberts et al., 2020), but not always: BERT-base outperformed BERT-large on subject-verb agreement (Goldberg, 2019) and sentence subject detection (Lin et al., 2019). Given the complexity of language, and amounts of pretraining data, it is not clear why BERT ends up with redundant heads and layers. Clark et al. (2019) suggest that one possible reason is the use of attention dropouts, which causes some attention weights to be zeroed-out during training.\n\n## 6.2 Compression techniques\n\nGiven the above evidence of overparameterization, it does not come as a surprise that BERT can be efficiently compressed with minimal accuracy loss , which would be highly desirable for real-world applications. Such efforts to date are summarized in Table 1. The main approaches are knowledge distillation, quantization, and pruning.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "\n\nmBERT across 29 tasks. Either way, these models do not address the inclusion problems raised by [65], who note that over 90% of the world's languages used by more than a billion people currently have little to no support in terms of language technology.\n\nAlongside work investigating what information the models retain from the data, we see a trend in reducing the size of these models using various techniques such as knowledge distillation [26, 58], quantization [118, 153], factorized embedding parameterization and cross-layer parameter sharing [70], and progressive module replacing [146]. Rogers et al. [110] provide a comprehensive comparison of models derived from BERT using these techniques, such as DistilBERT [113] and ALBERT [70]. While these models maintain and sometimes exceed the performance of the original BERT model, despite their much smaller size, they ultimately still rely on large quantities of data and significant processing and storage capabilities to both hold and reduce the model.\n\nWe note that the change from n-gram LMs to word vectors distilled from neural LMs to pretrained Transformer LMs is paralleled by an expansion and change in the types of tasks they are useful for: n-gram LMs were initially typically deployed in selecting among the outputs of e.g. acoustical or translation models; the LSTM-derived word vectors were quickly picked up as more effective representations of words (in place of bag of words features) in a variety of NLP tasks involving labeling and classification; and the pretrained Transformer models can be retrained on very small datasets (few-shot, one-shot or even zero-shot learning) to perform apparently meaning-manipulating tasks such as summarization, question answering and the like. Nonetheless, all of these systems share the property of being LMs in the sense we give above, that is, systems trained to predict sequences of words (or characters or sentences). Where they differ is in the size of the training datasets they leverage and the spheres of influence they can possibly affect. By scaling up in these two ways, modern very large LMs incur new kinds of risk, which we turn to in the following sections.\n\n## 3 ENVIRONMENTAL AND FINANCIAL COST\n\nStrubell et al. recently benchmarked model training and development costs in terms of dollars and estimated GLYPH<24> $ 2 emissions [129]. While the average human is responsible for an estimated 5t GLYPH<24> $ 2 4 per year, 2 the authors trained a Transformer (big) model [136] with neural architecture search and estimated that the training procedure emitted 284t of GLYPH<24> $ 2 . Training a single BERT base model (without hyperparameter tuning) on GPUs was estimated to require as much energy as a trans-American flight.\n\nWhile some of this energy comes from renewable sources, or cloud compute companies' use of carbon credit-offset sources, the authors note that the majority of cloud compute providers' energy is not sourced from renewable sources and many energy sources in the world are not carbon neutral. In addition, renewable energy sources are still costly to the environment, 3 and data centers with increasing computation requirements take away from other potential uses of\n\n2\n\nData for 2017, from https://ourworldindata.org/co2-emissions, accessed Jan 21, 2021\n\ngreen energy, 4 underscoring the need for energy efficient model architectures and training paradigms.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "Another obvious source of improvement is pretraining data. Several studies explored the benefits of increasing the corpus volume (Liu et al., 2019b; Conneau et al., 2019; Baevski et al., 2019) and longer training (Liu et al., 2019b). The data also does not have to be raw text: there is a number efforts to incorporate explicit linguistic information , both syntactic (Sundararaman et al., 2019) and semantic (Zhang et al., 2020). Wu et al. (2019b) and Kumar et al. (2020) include the label for a given sequence from an annotated task dataset. Schick and Schütze (2020) separately learn representations for rare words.\n\nAlthough BERT is already actively used as a source of world knowledge (see subsection 3.3), there is also work on explicitly supplying structured knowledge . One approach is entityenhanced models. For example, Peters et al. (2019a); Zhang et al. (2019) include entity em-", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## JAMANetworkOpen | EmergencyMedicine\n\n - 43 . Liu Y, Ott M, Goyal N, et al. Roberta: a robustly optimized bert pretraining approach. arXiv . Preprint posted online July 26, 2019. doi:10.48550/arXiv.1907.11692\n - 44 . Touvron H, Martin L, Stone K, et al. Llama 2: open foundation and fine-tuned chat models. arXiv . Preprint posted online July 19, 2023. doi:10.48550/arXiv.2307.09288\n - 45 . World Health Organization. Conceptual framework for the international classification for patient safety version 1.1: final technical report January 2009. 2010. Accessed October 23, 2024. https://www.who.int/publications/ i/item/WHO-IER-PSP-2010.2\n - 46 . Lin CY. Rouge: a package for automatic evaluation of summaries. 2004. Accessed October 23, 2024. https:// aclanthology.org/W04-1013/\n - 47 . Zhang T, Kishore V, Wu F, Weinberger KQ, Artzi Y. Bertscore: Evaluating text generation with bert. arXiv . Preprint posted online February 24, 2020. doi:10.48550/arXiv.1904.09675\n - 48 . Lattimer BM, Chen P, Zhang X, Yang Y. Fast and accurate factual inconsistency detection over long documents. Presented at: Conference on Empirical Methods in Natural Language Processing. December 6-10, 2023; Singapore.\n - 49 . Schaye V, Miller L, Kudlowitz D, et al. Development of a clinical reasoning documentation assessment tool for resident and fellow admission notes: a shared mental model for feedback. J Gen Intern Med . 2022;37(3):507-512. doi:10.1007/s11606-021-06805-6\n - 50 . Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge summaries to patient-friendly language and format. JAMANetwOpen . 2024;7(3):e240357. doi:10.1001/ jamanetworkopen.2024.0357\n - 51 . Choudhury A, Chaudhry Z. Large language models and user trust: consequence of self-referential learning loop and the deskilling of health care professionals. J Med Internet Res . 2024;26:e56764. doi:10.2196/56764\n - 52 . Gisev N, Bell JS, Chen TF. Interrater agreement and interrater reliability: key concepts, approaches, and applications. Res Social Adm Pharm . 2013;9(3):330-338. doi:10.1016/j.sapharm.2012.04.004\n - 53 . Baxter SL, Longhurst CA, Millen M, Sitapati AM, Tai-Seale M. Generative artificial intelligence responses to patient messages in the electronic health record: early lessons learned. JAMIA Open . 2024;7(2):ooae028. doi:10. 1093/jamiaopen/ooae028\n - 54 . Goodman KE, Paul HY, Morgan DJ. LLM-generated clinical summaries require more than accuracy. JAMA . 2024;331(8):637-638. doi:10.1001/jama.2024.0555\n - 55 . Achiam J, Adler S, Agarwal S, et al. Gpt-4 technical report. arXiv . Preprint posted online March 4, 2024. doi:10. 48550/arXiv.2303.08774\n - 56 . Chung HW, Hou L, Longpre S, et al. Scaling instruction-finetuned language models. J Mach Learn Res . 2024; 25(70):1-53.\n\n## SUPPLEMENT1.\n\neAppendix 1. Technology Specifications, Model Training, and Inference eAppendix 2. Automated Method of SCALE eTable 1. Definitions From the Clinical Assessment\n\neTable 2. Worst Case Scenario of Incorrectness Examples From LLM-Generated Notes\n\n## SUPPLEMENT2.\n\nData Sharing Statement\n\n\n\n(Reprinted)", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed8.pdf" - }, - { - "text": "Jacob Devlin, Ming-Wei Chang, Kenton Lee, and Kristina Toutanova. 2019. BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding. In Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers) , pages 4171-4186.", - "page_start": 13, - "page_end": 13, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## 3.3 World knowledge\n\nThe bulk of evidence about commonsense knowledge captured in BERT comes from practitioners using it to extract such knowledge. One direct probing study of BERT reports that BERT struggles with pragmatic inference and role-based event knowledge (Ettinger, 2019). BERT also struggles with abstract attributes of objects, as well as visual and perceptual properties that are likely to be assumed rather than mentioned (Da and Kasai, 2019).\n\nThe MLM component of BERT is easy to adapt for knowledge induction by filling in the\n\nKG\n\nDante\n\nborn-in\n\nFlorence\n\nFigure 1:\n\n\n\nQuerying knowledge bases (KB) and lan-\n\nguage models (LM) for factual knowledge. Figure 2: BERT world knowledge (Petroni et al., 2019)\n\nvast amounts of linguistic knowledge (Peters et al., 2018b; Goldberg, 2019; Tenney et al., 2019) useful for downstream tasks. This knowledge is usually accessed either by conditioning on latent context representations produced by the original model or by using the original model weights to initialize a task-specific model which is then further fine-tuned. This type of knowledge transfer is crucial for current state-of-the-art results on a wide range of tasks. In contrast, knowledge bases are e ective soblanks (e.g. \"Cats like to chase [\\_\\_\\_]\"). Petroni et al. (2019) showed that, for some relation types, vanilla BERT is competitive with methods relying on knowledge bases (Figure 2), and Roberts et al. (2020) show the same for open-domain QA using T5 model (Raffel et al., 2019). Davison et al. (2019) suggest that it generalizes better to unseen data. In order to retrieve BERT's knowledge, we need good template sentences, and there is work on their automatic extraction and augmentation (Bouraoui et al., 2019; Jiang et al., 2019b).\n\nff lutions for accessing annotated gold-standard relational data by enabling queries such as (D ante , born-in , X ). However, in practice we often need to extract relational data from text or other modalities to populate these knowledge bases. This requires complex NLP pipelines involving entity extraction, coreference resolution, entity linking and relation extraction (Surdeanu and Ji, 2014)components that often need supervised data and fixed schemas. Moreover, errors can easily propagate and accumulate throughout the pipeline. Instead, we could attempt to query neural language models for relational data by asking them to fill in masked tokens in sequences like 'Dante was born However, BERT cannot reason based on its world knowledge . Forbes et al. (2019) show that BERTcan \"guess\" the affordances and properties of many objects, but can not reason about the relationship between properties and affordances. For example, it 'knows\" that people can walk into houses, and that houses are big, but it cannot infer that houses are bigger than people. Zhou et al. (2020) and Richardson and Sabharwal (2019) also show that the performance drops with the number of necessary inference steps. Some of BERT's world knowledge success comes from learning stereotypical associations (Poerner et al., 2019), e.g., a person with an Italian-sounding name is predicted to be Italian, even when it is incorrect.\n\n## 3.4 Limitations\n\nMultiple probing studies in section 3 and section 4 report that BERT possesses a surprising amount of syntactic, semantic, and world knowledge. However, Tenney et al. (2019a) remarks, 'the fact that a linguistic pattern is not observed by our probing classifier does not guarantee that it is not there, and the observation of a pattern does not tell us how it is used.\" There is also the issue of how complex a probe should be allowed to be (Liu et al., 2019a). If a more complex probe recovers more information, to what extent are we still relying on the original model?\n\nFurthermore, different probing methods may lead to complementary or even contradictory conclusions, which makes a single test (as in most stud-\n\n(\n\nDante\n\n,\n\nborn-in\n\n,\n\nX\n\n)\n\nSymbolic\n\nMemory Access\n\nFlorence", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "| [26] J. Devlin, M.-W. Chang, K. Lee, and K. Toutanova, 'BERT: Pre-training of deep bidirectional transformers for language understanding,' in Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies, Volume 1 (Long and Short Papers) , 2019. |\n|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| [27] D. Ding, A. Mallick, C. Wang, R. Sim, S. Mukherjee, V. Ruhle, L. V. Lakshmanan, and A. H. Awadallah, 'Hybrid LLM: Cost-efficient and quality-aware query routing,' in International Conference on Learning Representations (ICLR) , 2024. |\n| [28] Y. Dong, H. Chen, J. Chen, Z. Fang, X. Yang, Y. Zhang, Y. Tian, H. Su, and J. Zhu, 'How robust is Google's Bard to adversarial image attacks?' arXiv preprint arXiv:2309.11751 , 2023. |\n| [29] N. Du, Y. Huang, A. M. Dai, S. Tong, D. Lepikhin, Y. Xu, M. Krikun, Y. Zhou, A. W. Yu, O. Firat et al. , 'Glam: Efficient scaling of language models with mixture-of-experts,' in International Conference on Machine Learning (ICML) , 2022. |\n| [30] W. Fedus, B. Zoph, and N. Shazeer, 'Switch transformers: Scaling to trillion parameter models with simple and efficient sparsity,' Journal of Machine Learning Research (JMLR) , 2022. |\n| [31] T. Feng, Y. Shen, and J. You, 'Graphrouter: A graph-based router for LLM selections,' arXiv preprint arXiv:2410.03834 , 2024. |\n| [32] I. J. Goodfellow, J. Shlens, and C. Szegedy, 'Explaining and harnessing adversarial examples,' in International Conference on Learning Representations (ICLR) , 2015. |\n| [33] K. Greshake, S. Abdelnabi, S. Mishra, C. Endres, T. Holz, and M. Fritz, 'Not what you've signed up for: Compro- mising real-world LLM-integrated applications with indirect prompt injection,' in ACM AISec , 2023. |\n| [34] J. Hayes, I. Shumailov, and I. Yona, 'Buffer overflow in mixture of experts,' arXiv preprint arXiv:2402.05526 , 2024. |\n| [35] D. Hendrycks, C. Burns, S. Basart, A. Zou, M. Mazeika, D. Song, and J. Steinhardt, 'Measuring massive multitask language understanding,' in International Conference on Learning Representations (ICLR) , 2021. |\n| [36] N. Jain, A. Schwarzschild, Y. Wen, G. Somepalli, J. Kirchenbauer, P.-y. Chiang, M. Goldblum, A. Saha, J. Geip- ing, and T. Goldstein, 'Baseline defenses for adversarial attacks against aligned language models,' arXiv preprint arXiv:2309.00614 , 2023. |", - "page_start": 19, - "page_end": 19, - "source_file": "arxiv1.pdf" - }, - { - "text": "this strategy often requires compatible hardware.\n\nAs discussed in section 6, individual selfattention heads and BERT layers can be disabled without significant drop in performance (Michel et al., 2019; Kovaleva et al., 2019; Baan et al., 2019). Pruning is a compression technique that takes advantage of that fact, typically reducing the amount of computation via zeroing out of certain parts of the large model. In structured pruning, architecture blocks are dropped, as in LayerDrop (Fan et al., 2019). In unstructured, the weights in the entire model are pruned irrespective of their location, as in magnitude pruning (Chen et al., 2020) or movement pruning (Sanh et al., 2020).\n\nPrasanna et al. (2020) and Chen et al. (2020) explore BERT from the perspective of the lottery ticket hypothesis (Frankle and Carbin, 2019), looking specifically at the \"winning\" subnetworks in pre-trained BERT. They independently find that such subnetworks do exist, and that transferability between subnetworks for different tasks varies.\n\nIf the ultimate goal of training BERT is compression, Li et al. (2020) recommend training larger\n\nmodels and compressing them heavily rather than compressing smaller models lightly.\n\nOther techniques include decomposing BERT's embedding matrix into smaller matrices (Lan et al., 2020a), progressive module replacing (Xu et al., 2020) and dynamic elimination of intermediate encoder outputs (Goyal et al., 2020). See Ganesh et al. (2020) for a more detailed discussion of compression methods.\n\n## 6.3 Pruning and model analysis\n\nThere is a nascent discussion around pruning as a model analysis technique. The basic idea is that a compressed model a priori consists of elements that are useful for prediction; therefore by finding out what they do we may find out what the whole network does. For instance, BERT has heads that seem to encode frame-semantic relations, but disabling them might not hurt downstream task performance Kovaleva et al. (2019); this suggests that this knowledge is not actually used.\n\nFor the base Transformer, Voita et al. (2019b) identify the functions of self-attention heads and", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is syntaxis encoded with Bert model ?", - "target_page": 2, - "target_passage": " As far as how syntaxis represented, it seems that syntactic structure is not directly encoded in self-attention weights.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## A Primer in BERTology: What We Know About How BERT Works\n\n## Anna Rogers\n\nCenter for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\n## Olga Kovaleva\n\nUniversity of Massachusetts Lowell\n\nDept. of Computer Science okovalev@cs.uml.edu\n\n## Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n## 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear why , which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\n## Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell\n\narum@cs.uml.edu\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n## 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle 1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\ngoogle-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## 3 What knowledge does BERT have?\n\nA number of studies have looked at the knowledge encoded in BERT weights. The popular approaches include fill-in-the-gap probes of MLM, analysis of self-attention weights, and probing classifiers with different BERT representations as inputs.\n\n## 3.1 Syntactic knowledge\n\n3 Visualization with Impact Maps Before we discuss specific syntactic phenomena, Figure 2: Part of the constituency tree. Constituency. Figure 2 shows part of the conFigure 1: Parameter-free probe for syntactic knowledge: words sharing syntactic subtrees have larger impact on each other in the MLM prediction (Wu et al., 2020)\n\n\n\nlet us first analyze some example impact matrices derived from sample sentences. We visualize an impact matrix of a sentence by displaying a heatmap. We use the term 'impact map' to refer to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English stituency tree of our example sentence generated by Stanford CoreNLP (Manning et al., 2014). In this sentence, ' media ' and ' on ' are two words that are adjacent to ' transitions '. From the tree, however, we see that ' media ' is closer to ' transitions ' than ' on ' is in terms of syntactic distance. If a model is syntactically uninformed, we would expect ' media ' and ' on ' to have comparable imparameter-free approach based on measuring the impact that one word has on predicting another word within a sequence in the MLM task (Figure 1). They concluded that BERT \"naturally\" learns some syntactic information, although it is not very similar to linguistic annotated resources .\n\nLin et al. (2019) showed that BERT representations are hierarchical rather than linear , i.e. there is something akin to syntactic tree structure in addition to the word order information. Tenney et al. (2019b) and Liu et al. (2019a) also showed that BERT embeddings encode information about parts of speech, syntactic chunks and roles . Enough syntactic information seems to be captured in the token embeddings themselves to recover syntactic trees (Vilares et al., 2020; Kim et al., 2020; Rosa and Mareˇcek, 2019), although probing classifiers could not recover the labels of distant parent nodes in the syntactic tree (Liu et al., 2019a). Warstadt and Bowman (2020) report evidence of hierarchical structure in three out of four probing tasks. [C L S ] F o r th o se w h o fo llo w so ci a l m e d ia tr a n si tio n s o n C a p ito l H ill , th is w ill be a lit tle d iff e re n t . [CLS] For those who follow social media transitions on Capitol Hill , this will be a little different . 1 2 3 4 5 Figure 1: Heatmap of the impact matrix for the sentence 'For those who follow social media transitions on Capitol Hill, this will be a little different.'", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "to explore the idea of extracting dependency trees\n\nHowever, syntactic information can be recovered from BERT token representations . Hewitt and Manning (2019) were able to learn transformation matrices that successfully recovered syntactic dependencies in PennTreebank data from BERT's token embeddings (see also Manning et al., 2020). Jawahar et al. (2019) experimented with transformations of the [CLS] token using Tensor Product Decomposition Networks (McCoy et al., 2019a), concluding that dependency trees are the best match among 5 decomposition schemes (although the reported MSE differences are very small). Miaschi and Dell'Orletta (2020) performs a range of syntactic probing experiments with concatenated token representations as input. to a heatmap of an impact matrix. Setup. We extract impact matrices by feeding BERT with 1,000 sentences from the English Parallel Universal Dependencies (PUD) treebank of the CoNLL 2017 Shared Task (Zeman et al., 2017). We follow the setup and pre-processing steps employed in pre-training BERT. An example impact map is shown in Figure 1. Dependency. We notice that the impact map contains many stripes , which are short series of vertical/horizontal cells, typically located along the diagonal. Take the word ' different ' as an example (which is illustrated by the second-to-last column in the impact matrix). We observe a clear vertical stripe above the main diagonal. The interpretation is that this particular occurrence of the word ' different ' strongly affects the occurrences\n\nfollow\n\nsocia\n\nFigure\n\nConstitue\n\nstituency tre\n\nby Stanford\n\nthis sentence\n\nthat are adja\n\nhowever, we\n\ntions\n\n' than '\n\nIf a model is\n\nexpect '\n\nmedi\n\npacts on the\n\nversa. Howe\n\n(darker color\n\nthan that bet\n\nfurther suppo\n\nperiments in\n\nOther Str\n\nimpact map,\n\nfour contigu\n\n(e.g., a noun\n\nobserve that t\n\nstrong inter-c\n\ning that gro\n\nverb phrase.\n\nmay capture\n\nIn the follo\n\nuate these ob\n\n4\n\nSyntact\n\nWe start wit\n\nprobe and co\n\n4.1\n\nDepen\n\nWith the goa\n\nrelations are\n\nswer the foll\n\nform linguist\n\npervised dep\n\ntent?\n\nWe begin\n\nmasking tech\n\nfor each sent\n\ngorithms to i\n\ncompare it ag\n\nrelations are captured in BERT, we set out to an-\n\nWe begin by using the token-level perturbed\n\nmasking technique to extract an impact matrix\n\nfor each sentence. We then utilize graph-based al-\n\ngorithms to induce a dependency tree from\n\nF\n\n, and\n\ncompare it against ground-truth whose annotations\n\nF\n\nNote that all these approaches look for the evidence of gold-standard linguistic structures, and add some amount of extra knowledge to the probe. Most recently, Wu et al. (2020) proposed a of those words before it. These strong influences are shown by the darker-colored pixels seen in the second last column of the impact map. This observation agrees with the ground-truth dependency tree, which selects ' different ' as the head of all\n\nremaining words in the phrase '\n\nthis will be a lit-\n\ntle different\n\n.' We also observe similar patterns on\n\n'\n\ntransitions\n\n' and '\n\nHill\n\n'. Such correlations lead us\n\nto explore the idea of extracting dependency trees\n\nfrom the matrices (see Section 4.1).", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Figure 3: Attention patterns in BERT (Kovaleva et al., 2019)\n\n\n\nies) insufficient (Warstadt et al., 2019). A given method might also favor one model over another, e.g., RoBERTa trails BERT with one tree extraction method, but leads with another (Htut et al., 2019). The choice of linguistic formalism also matters (Kuznetsov and Gurevych, 2020).\n\nIn view of all that, the alternative is to focus on identifying what BERT actually relies on at inference time. This direction is currently pursued both at the level of architecture blocks (to be discussed in detail in subsection 6.3), and at the level of information encoded in model weights. Amnesic probing (Elazar et al., 2020) aims to specifically remove certain information from the model and see how it changes performance, finding, for example, that language modeling does rely on part-of-speech information.\n\nAnother direction is information-theoretic probing. Pimentel et al. (2020) operationalize probing as estimating mutual information between the learned representation and a given linguistic property, which highlights that the focus should be not on the amount of information contained in a representation, but rather on how easily it can be extracted from it. Voita and Titov (2020) quantify the amount of effort needed to extract information from a given representation as minimum description length needed to communicate both the probe size and the amount of data required for it to do well on a task.\n\n## 4 Localizing linguistic knowledge\n\n## 4.1 BERT embeddings\n\nIn studies of BERT, the term \"embedding\" refers to the output of a Transformer layer (typically, the final one). Both conventional static embeddings (Mikolov et al., 2013) and BERT-style embeddings can be viewed in terms of mutual information maximization (Kong et al., 2019), but the latter are contextualized . Every token is represented by a vector dependent on the particular context of occurrence, and contains at least some information about that context (Miaschi and Dell'Orletta, 2020).\n\nSeveral studies reported that distilled contextualized embeddings better encode lexical semantic information (i.e. they are better at traditional word-level tasks such as word similarity). The methods to distill a contextualized representation into static include aggregating the information across multiple contexts (Akbik et al., 2019; Bommasani et al., 2020), encoding \"semantically bleached\" sentences that rely almost exclusively on the meaning of a given word (e.g. \"This is <>\") (May et al., 2019), and even using contextualized embeddings to train static embeddings (Wang et al., 2020d).\n\nBut this is not to say that there is no room for improvement. Ethayarajh (2019) measure how similar the embeddings for identical words are in every layer, reporting that later BERT layers produce more context-specific representations 3 . They also find that BERT embeddings occupy a narrow cone in the vector space, and this effect increases from the earlier to later layers. That is, two random words will on average have a much higher cosine similarity than expected if embeddings were directionally uniform (isotropic) . Since isotropy was shown to be beneficial for static word embeddings (Mu and Viswanath, 2018), this might be a fruitful direction to explore for BERT.\n\nSince BERT embeddings are contextualized, an interesting question is to what extent they capture phenomena like polysemy and homonymy. There is indeed evidence that BERT's contextualized embeddings form distinct clusters corresponding to word senses (Wiedemann et al., 2019; Schmidt and Hofmann, 2020), making BERT successful at word sense disambiguation task. However, Mickus et al. (2019) note that the representations of the same word depend on the position of the sentence in which it occurs , likely due to the NSP objective. This is not desirable from the linguistic point of view, and could be a promising", - "page_start": 3, - "page_end": 3, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "2019; Le et al., 2020). Most French models for sentence embeddings have been developed by the open-source community 2 , by fine-tuning models like CamemBERT (Martin et al., 2019) or CroissantLLM (Faysse et al., 2024).\n\nBenchmarks Embedding models are generally compared on specific tasks, such as information retrieval, STS or reranking (Thakur et al., 2021; Agirre et al., 2016; Wang et al., 2021). Other works evaluate embedding models on multiple tasks (Wang et al., 2018; et al., 2022; Conneau and Kiela, 2018) or compare meta-embeddings (GarcíaFerrero et al., 2021). The most comprehensive benchmark to date is MTEB (Muennighoff et al., 2022). MTEB still has a critical limit: it mainly focuses on English. Some initiatives already extended this benchmark to other languages, such as Chinese (Xiao et al., 2024) and German (Wehrli et al., 2024). Our work comes with the same ambition for French. It relies on the MTEB structure that provides a solid basis for analysis and extends it to a new language.\n\n## 3 MTEB for French\n\nIn this section, we describe the datasets and the models that we propose for the French extension of MTEB. We also list the research questions we want to discuss with the results.\n\n## 3.1 New Datasets\n\nWeidentified 7 datasets relevant to French in the existing MTEB, which we assume are of good quality. We complemented these with 8 external relevant datasets proposed in the literature, such as BSARD (Louis and Spanakis, 2022) and Alloprof (LefebvreBrossard et al., 2023), which are proven to be good quality. We created 3 new ones presented in Table 1 and assessed their quality with various procedures and metrics. In addition to all performed checks, we run multiple models on these datasets and provide results to show that they are neither trivial nor impossible to solve (see Tables 10, 11, 12 and 13).\n\nTherefore, as of today, our French MTEB runs on 18 datasets. Some datasets are framed differently according to the task category they are used with. For example, MasakhaNEWS dataset (Adelani et al., 2023) is used for both Classification ( MasakhaNEWSClassification ) and Clustering ( MasakhaNEWSClusteringS2S and\n\nMasakhaNEWSClusteringP2P ). Table 3 shows details of each task data used for running the benchmark.\n\nThis section describes the 3 new datasets we introduce, quality checks performed and an analysis of the semantic similarities between datasets.\n\n## 3.1.1 Syntec (Retrieval)\n\nThe Syntec French collective bargaining agreement 3 comprises around 90 articles. Despite its topic, the language used does not feature the specificity of the legal vocabulary, making the data suitable for benchmarking general-purpose models. The articles have been scraped for use as documents. Four annotators were divided into two groups. Each group was given half of the articles and asked to choose an article and write a question about it. Each annotator wrote 25 questions. Thus, a hundred questions have been manually created and paired with the articles containing the answer 4 . Examples of the dataset are available in the appendix Figure 5. This dataset could also be used for text classification, clustering or topic modeling. Regarding quality checks, every article's integrity has been reviewed while manually creating questions. We also manually checked that the questions could only be answered using the annotated article.\n\n## 3.1.2 HAL (Clustering)\n\nHyper Articles en Ligne (HAL) is a French open archive of scholarly documents from all academic fields. Scrapping this resource, we fetched 85,000 publications in French 5 . We extracted IDs, titles and the author's choice among domain labels. The last 2 are provided by authors when submitting their papers to HAL. Since domain annotations are provided, the dataset can be used for many tasks, such as topic modeling or text classification. To ensure the dataset quality is suitable for a benchmark, further data cleaning has been performed:", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv4.pdf" - }, - { - "text": "0\n\n2\n\np\n\ne\n\nS\n\n4\n\n]\n\nL\n\nC\n\n.\n\ns\n\nc\n\n[\n\n2\n\nv\n\n6\n\n6\n\n0\n\n1\n\n0\n\n.\n\n9\n\n0\n\n9\n\n1\n\n:\n\nv\n\ni\n\nX\n\nr\n\na\n\nRecent progress in pretraining language mod-\n\nels on large textual corpora led to a surge\n\nof improvements for downstream NLP tasks.\n\nWhilst learning linguistic knowledge, these\n\nreport that an intermediate fine-tuning step with supervised parsing does not make much difference for downstream task performance. models may also be storing relational knowledge present in the training data, and may be able to answer queries structured as 'fillin-the-blank' cloze statements. Language\n\nmodels have many advantages over structured\n\n## 3.2 Semantic knowledge knowledge bases: they require no schema en-\n\nTo date, more studies have been devoted to BERT's knowledge of syntactic rather than semantic phenomena. However, we do have evidence from an MLMprobing study that BERT has some knowledge of semantic roles (Ettinger, 2019). BERT even displays some preference for the incorrect fillers for semantic roles that are semantically related to the correct ones, as opposed to those that are unrelated (e.g. \"to tip a chef\" is better than \"to tip a robin\", but worse than \"to tip a waiter\"). gineering, allow practitioners to query about an open class of relations, are easy to extend to more data, and require no human supervision to train. We present an in-depth analysis of the relational knowledge already present (without fine-tuning) in a wide range of state-of-theart pretrained language models. We find that (i) without fine-tuning, BERT contains relational knowledge competitive with traditional NLP methods that have some access to oracle knowledge, (ii) BERT also does remarkably well on open-domain question answer-\n\nBERTstruggles with representations of numbers. Addition and number decoding tasks showed that BERT does not form good representations for floating point numbers and fails to generalize away from the training data (Wallace et al., 2019b). A part of the problem is BERT's wordpiece tokenization, since numbers of similar values can be divided up into substantially different word chunks. call factual knowledge without any fine-tuning demonstrates their potential as unsupervised open-domain QA systems. The code to reproduce our analysis is available at https: //github.com/facebookresearch/LAMA . 1 Introduction Recently, pretrained high-capacity language models such as ELMo (Peters et al., 2018a) and BERT\n\nTenney et al. (2019b) showed that BERT encodes information about entity types, relations, semantic roles, and proto-roles , since this information can be detected with probing classifiers. ing against a supervised baseline, and (iii) certain types of factual knowledge are learned much more readily than others by standard language model pretraining approaches. The surprisingly strong ability of these models to re-\n\nOut-of-the-box BERTis surprisingly brittle to named entity replacements : e.g. replacing names in the coreference task changes 85% of predictions (Balasubramanian et al., 2020). This suggests that the model does not actually form a generic idea of named entities, although its F1 scores on NER probing tasks are high (Tenney et al., 2019a). Broscheit (2019) find that fine-tuning BERT on Wikipedia entity linking \"teaches\" it additional entity knowledge, which would suggest that it did not absorb all the relevant entity information during pre-training on Wikipedia. (Devlin et al., 2018a) have become increasingly important in NLP. They are optimised to either predict the next word in a sequence or some masked word anywhere in a given sequence ( e.g. 'Dante was born in [M ask ] in the year 1265.'). The parameters of these models appear to store\n\n## 3.3 World knowledge", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "| | | | | 0.54 | 0.85 | 0.34 0.35 | 0.54 | 0.91 0.93 |\n| universal-sentence-encoder-multilingual-large-3 xlm-roberta-base | 0.73 0.23 | 0.66 0.14 | 0.72 0.60 | 0.64 0.19 | 0.88 0.44 | 0.27 | 0.51 | 0.85 |\n| xlm-roberta-large | 0.24 | 0.16 | 0.66 | 0.15 | 0.37 | 0.27 | 0.53 | 0.84 |", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv4.pdf" - }, - { - "text": "tion and, in practical applications, the underlying storage and compute costs. We selected models with embedding dimensions ranging from 384 to 4096.\n\n - · Sequence length: Being the number of tokens that a model can consider as input, the sequence length is important as it impacts the unit that can be encoded (sentence, paragraph, document). However, encoding overly long sequences requires efficiently storing the relevant information into a single vector. Among the selected methods, this criterion varies from 128 tokens to 32768.\n - · Model parameters: Often correlated with the two first characteristics, parameter count is important for practical applications as it affects usability on resource-efficient machines. The selected models have a number of parameters ranging from 20 million ( ∼ 100Mb in float32) to 7 billion ( ∼ 28Gb).\n - · Language: This is a major feature of language models. Some are monolingual, and others are multilingual. Language is usually acquired during pre-training, but sometimes, models familiarize themselves with new languages at tuning. For the benchmark, we selected French models, as well as bilingual or multilingual models. We also included a few ones that claimed to be English (e.g. allMiniLM-L12-v2 9 ).\n - · Model types: There are several strategies to generate text embeddings such as aggregating (e.g. with average pooling) token-level embeddings from raw pre-trained models, or adding an extra contrastive learning step on a sentence similarity task with, optionally, additional transformation layers. We included models of all types in our benchmark, summarizing the model type information under two relevant criteria: finetuned vs pretrained, and trained for sentence similarity or not.\n\nThe selected models are visible in Figure 1, and all of their characteristics are summarized in appendix Table 7. Overall, the selection includes the best models from the sentence transformers framework (Reimers and Gurevych, 2019), the most popular French NLP models (Le et al., 2020; Martin\n\net al., 2019), their variants optimized for semantic similarity (Reimers and Gurevych, 2019), numerous multilingual models performing at the top on MTEB (e.g E5 and T5 ), Bloom variants (Zhang et al., 2023), models based on very recent powerful LLMs (Wang et al., 2023; Faysse et al., 2024) and finally the proprietary models of OpenAI, Cohere and Voyage. Certain models were selected in multiple sizes to isolate the dimensionality effect effectively. We provide information on the models' licenses as reported in the Hugging Face hub 10 . However, we encourage readers to conduct further research before utilizing a model.\n\n## 3.3 Evaluation\n\nFor the sake of homogeneity, models are evaluated using the same metrics per task as in MTEB (Muennighoff et al., 2022): Classification (Accuracy), Bitext mining (F1 score), Pair classification (AP), Clustering (V measure), Reranking (MAP), Retrieval (NDCG@10), Summarization and STS (Spearman correlation based on cosine similarity). BitextMining tasks are excluded from the average performance scores and therefore the figures, as this task evaluates 2 languages instead of one, and this benchmark focuses only on one language (French). We present the results for both DiaBlaBitextMining and FloresBitextMining in Table 12.\n\nUsing the overall benchmark results, our goal will be to answer the following research questions: Q1: Is a model outstanding on all tasks?\n\nAs we are trying to find out whether one embedding model is statistically better than the others for French, the objective will also be to analyze the performance of the models by tasks to facilitate model choice for specific applications.\n\nQ2: Are there any links between the model characteristics and performance?", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv4.pdf" - }, - { - "text": "| Model | Finetuned | Language | # params | Size (Gb) | Seq. Len. | Emb. dim. | License | Sentence sim |\n|-------------------------------------------------|-------------|--------------|------------|-------------|-------------|-------------|----------------|----------------|\n| bert-base-multilingual-cased | No | multilingual | 1,78e+08 | 0.71 | 512 | 768 | Apache-2.0 | No |\n| bert-base-multilingual-uncased | No | multilingual | 1,67e+08 | 0.67 | 512 | 768 | Apache-2.0 | No |\n| camembert-base | No | french | 1,11e+08 | 0.44 | 514 | 768 | MIT | No |\n| camembert-large | No | french | 3,37e+08 | 1.35 | 514 | 1024 | MIT | No |\n| sentence-camembert-base | Yes | french | 1,11e+08 | 0.44 | 128 | 768 | Apache-2.0 | Yes |\n| sentence-camembert-large | Yes | french | 3,37e+08 | 1.35 | 514 | 1024 | Apache-2.0 | Yes |\n| sentence-flaubert-base | Yes | french | 1,37e+08 | 0.55 | 512 | 768 | Apache-2.0 | Yes |\n| embed-multilingual-light-v3.0 | N/A | multilingual | N/A | N/A | 512 | 384 | Closed source | N/A |\n| embed-multilingual-v3.0 | N/A | multilingual | N/A | N/A | 512 | 1024 | Closed source | N/A |\n| flaubert-base-cased | No | french | 1,38e+08 | 0.55 | 512 | 768 | MIT | No |\n| flaubert-base-uncased | No | french | 1,37e+08 | 0.55 | 512 | | MIT | No |\n| flaubert-large-cased | No | french | 3,73e+08 | 1.49 | 512 | 768 1024 | MIT | No |\n| distilbert-base-25lang-cased | No | multilingual | 1,08e+08 | 0.43 | 512 | 768 | Apache-2.0 | No |\n| distilbert-base-en-fr-cased | No | bilingual | 6,86e+07 | 0.27 | 512 | 768 | Apache-2.0 | No |\n| distilbert-base-fr-cased | No | french | 6,17e+07 | 0.25 | 512 | 768 | Apache-2.0 | No |\n| multilingual-e5-base | No | multilingual | 2,78e+08 | 1.11 | 512 | 768 | MIT | Yes |\n| multilingual-e5-large | No | multilingual | 5,60e+08 | 2.24 | 512 | 1024 | MIT | Yes |\n| multilingual-e5-small | No | multilingual | 1,18e+08 | 0.47 | 512 | 384 | MIT | Yes |\n| e5-mistral-7b-instruct | Yes | english-plus | 7,11e+09 | 28.44 | 32768 | 4096 | MIT | Yes |\n| udever-bloom-1b1 | Yes | multilingual | 1,07e+09 | 4.26 | 2048 | 1536 | bloom-rail-1.0 | Yes |\n| udever-bloom-560m | Yes | multilingual | 5,59e+08 | 2.24 | 2048 | 1024 | bloom-rail-1.0 | Yes |", - "page_start": 19, - "page_end": 19, - "source_file": "arxiv4.pdf" - }, - { - "text": "Figure 1: Critical difference diagram representing the significant rank gaps between models. The axis represents the normalized average rank of the models (lower is better). The black bars indicate that the difference in models' rank is not statistically significant, i.e. lower than the critical difference.\n\n\n\nfor similarity, prevail. Nevertheless, we can highlight the excellent performance of a few French models such as sentence-camembert and sentencecroissant and Solon-embeddings .\n\nLastly, we emphasize that closed-source models perform well on this benchmark ( text-embeddings , mistral-embed and voyage ), but we lack information about their characteristics. As more opensource well-performing models get added in the future, we could expect this correlation to decrease. Note that the correlation between sequence length and performance could be dragged by closedsource models that have generally larger sequence lengths.\n\nQ3: Do monolingual models have multilingual capabilities?\n\nModel perfromance vs language\n\nFigure 2: Model performance depending on the language of the data they have been trained on.\n\n\n\nWe also studied the capabilities of models on the French language when the language of the training data varies. It is surprising to note the absence of a clear correlation between the language the model is trained on and its performance on French, as shown by the large standard deviation in Figure 2. Furthermore, monolingual models trained exclusively on English such as voyage-code-2 show very good results on French datasets compared to models trained exclusively on French such as flaubert derivatives and distilbert-base-fr-cased (see Table D.1).\n\nThis is explained by the fact that a large part of the selected French models generate embeddings using a pooling strategy. Only a few are sentence transformer models, for which the pooled representation is part of the model and trained with it, leading to higher-quality embeddings. This is endorsed by the excellent results of sentence-camembert-large , a sentence transformer model trained on French corpus and confirms the recent findings in terms of model architecture (Gao et al., 2021).\n\nFinally, it should be noted that a significant portion of the French data used to train the selected French models actually comes from English datasets that have been machine translated (May, 2021). Despite the tremendous progress of machine translation, it is well known that the generated data may be unrepresentative of the language used by native speakers and cause a reduced final performance (Barbosa et al., 2021).", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv4.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv2_taclccby4_license.pdf", - "query": "Is BERT good with numbers representations ?", - "target_page": 3, - "target_passage": " BERTstruggles with representations of numbers. ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## A Primer in BERTology: What We Know About How BERT Works\n\n## Anna Rogers\n\nCenter for Social Data Science University of Copenhagen arogers@sodas.ku.dk\n\n## Olga Kovaleva\n\nUniversity of Massachusetts Lowell\n\nDept. of Computer Science okovalev@cs.uml.edu\n\n## Abstract\n\nTransformer-based models have pushed state of the art in many areas of NLP, but our understanding of what is behind their success is still limited. This paper is the first survey of over 150 studies of the popular BERT model. We review the current state of knowledge about how BERT works, what kind of information it learns and how it is represented, common modifications to its training objectives and architecture, the overparameterization issue and approaches to compression. We then outline directions for future research.\n\n## 1 Introduction\n\nSince their introduction in 2017, Transformers (Vaswani et al., 2017) have taken NLP by storm, offering enhanced parallelization and better modeling of long-range dependencies. The best known Transformer-based model is BERT (Devlin et al., 2019); it obtained state-of-the-art results in numerous benchmarks and is still a must-have baseline.\n\nWhile it is clear that BERT works remarkably well, it is less clear why , which limits further hypothesis-driven improvement of the architecture. Unlike CNNs, the Transformers have little cognitive motivation, and the size of these models limits our ability to experiment with pre-training and perform ablation studies. This explains a large number of studies over the past year that attempted to understand the reasons behind BERT's performance.\n\nIn this paper, we provide an overview of what has been learned to date, highlighting the questions which are still unresolved. We first consider the linguistic aspects of it, i.e., the current evidence regarding the types of linguistic and world knowledge learned by BERT, as well as where and how this knowledge may be stored in the model. We then turn to the technical aspects of the model and provide an overview of the current proposals to\n\n## Anna Rumshisky\n\nDept. of Computer Science University of Massachusetts Lowell\n\narum@cs.uml.edu\n\nimprove BERT's architecture, pre-training and finetuning. We conclude by discussing the issue of overparameterization, the approaches to compressing BERT, and the nascent area of pruning as a model analysis technique.\n\n## 2 Overview of BERT architecture\n\nFundamentally, BERT is a stack of Transformer encoder layers (Vaswani et al., 2017) which consist of multiple self-attention \"heads\". For every input token in a sequence, each head computes key, value and query vectors, used to create a weighted representation. The outputs of all heads in the same layer are combined and run through a fully-connected layer. Each layer is wrapped with a skip connection and followed by layer normalization.\n\nThe conventional workflow for BERT consists of two stages: pre-training and fine-tuning. Pretraining uses two self-supervised tasks: masked language modeling (MLM, prediction of randomly masked input tokens) and next sentence prediction (NSP, predicting if two input sentences are adjacent to each other). In fine-tuning for downstream applications, one or more fully-connected layers are typically added on top of the final encoder layer.\n\nThe input representations are computed as follows: each word in the input is first tokenized into wordpieces (Wu et al., 2016), and then three embedding layers (token, position, and segment) are combined to obtain a fixed-length vector. Special token [CLS] is used for classification predictions, and [SEP] separates input segments.\n\nGoogle 1 and HuggingFace (Wolf et al., 2020) provide many variants of BERT, including the original \"base\" and \"large\" versions. They vary in the number of heads, layers, and hidden state size.\n\ngoogle-research/bert", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "be successfully approximated with adapter modules. They achieve competitive performance on 26 classification tasks at a fraction of the computational cost. Adapters in BERT were also used for multi-task learning (Stickland and Murray, 2019) and cross-lingual transfer (Artetxe et al., 2019). An alternative to fine-tuning is extracting features from frozen representations, but fine-tuning works better for BERT (Peters et al., 2019b).\n\nA big methodological challenge in the current NLP is that the reported performance improvements of new models may well be within variation induced by environment factors (Crane, 2018). BERT is not an exception. Dodge et al. (2020) report significant variation for BERT fine-tuned on GLUE tasks due to both weight initialization and training data order. They also propose early stopping on the less-promising seeds.\n\nAlthough we hope that the above observations may be useful for the practitioners, this section does not exhaust the current research on fine-tuning and its alternatives. For example, we do not cover such topics as Siamese architectures, policy gradient training, automated curriculum learning, and others.\n\n## 6 How big should BERT be?\n\n## 6.1 Overparameterization\n\nTransformer-based models keep growing by orders of magnitude: the 110M parameters of base BERT are now dwarfed by 17B parameters of Turing-NLG (Microsoft, 2020), which is dwarfed by 175B of GPT-3 (Brown et al., 2020). This trend raises concerns about computational complexity of self-attention (Wu et al., 2019a), environmental issues (Strubell et al., 2019; Schwartz et al., 2019), fair comparison of architectures (Aßenmacher and Heumann, 2020), and reproducibility.\n\nHuman language is incredibly complex, and would perhaps take many more parameters to describe fully, but the current models do not make good use of the parameters they already have. Voita et al. (2019b) showed that all but a few Transformer heads could be pruned without significant losses in performance . For BERT, Clark et al. (2019) observe that most heads in the same layer show similar self-attention patterns (perhaps related to the fact that the output of all self-attention heads in a layer is passed through the same MLP), which explains why Michel et al. (2019) were able to reduce most layers to a single head.\n\nDepending on the task, some BERT heads/layers are not only redundant (Kao et al., 2020), but also harmful to the downstream task performance. Positive effect from head disabling was reported for machine translation (Michel et al., 2019), abstractive summarization (Baan et al., 2019), and GLUE tasks (Kovaleva et al., 2019). Additionally, Tenney et al. (2019a) examine the cumulative gains of their structural probing classifier, observing that in 5 out of 8 probing tasks some layers cause a drop in scores (typically in the final layers). Gordon et al. (2020) find that 30-40% of the weights can be pruned without impact on downstream tasks.\n\nIn general, larger BERT models perform better (Liu et al., 2019a; Roberts et al., 2020), but not always: BERT-base outperformed BERT-large on subject-verb agreement (Goldberg, 2019) and sentence subject detection (Lin et al., 2019). Given the complexity of language, and amounts of pretraining data, it is not clear why BERT ends up with redundant heads and layers. Clark et al. (2019) suggest that one possible reason is the use of attention dropouts, which causes some attention weights to be zeroed-out during training.\n\n## 6.2 Compression techniques\n\nGiven the above evidence of overparameterization, it does not come as a surprise that BERT can be efficiently compressed with minimal accuracy loss , which would be highly desirable for real-world applications. Such efforts to date are summarized in Table 1. The main approaches are knowledge distillation, quantization, and pruning.", - "page_start": 9, - "page_end": 9, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "Abbreviations: BERT, bidirectional encoder representations from transformers; p, precision-based scores; r, recall-based scores; R, recall-oriented understudy for gisting evaluation; SCALE, source chunking approach for large-scale inconsistency evaluation.\n\n- a R-1, R-2, R-L are the 3 types of recall-oriented understudy for gisting evaluation scores. Higher is better for all metrics.\n\n\n\nJAMANetwork Open. 2024;7(12):e2448723. doi:10.1001/jamanetworkopen.2024.48723\n\n(Reprinted)", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "0\n\n2\n\np\n\ne\n\nS\n\n4\n\n]\n\nL\n\nC\n\n.\n\ns\n\nc\n\n[\n\n2\n\nv\n\n6\n\n6\n\n0\n\n1\n\n0\n\n.\n\n9\n\n0\n\n9\n\n1\n\n:\n\nv\n\ni\n\nX\n\nr\n\na\n\nRecent progress in pretraining language mod-\n\nels on large textual corpora led to a surge\n\nof improvements for downstream NLP tasks.\n\nWhilst learning linguistic knowledge, these\n\nreport that an intermediate fine-tuning step with supervised parsing does not make much difference for downstream task performance. models may also be storing relational knowledge present in the training data, and may be able to answer queries structured as 'fillin-the-blank' cloze statements. Language\n\nmodels have many advantages over structured\n\n## 3.2 Semantic knowledge knowledge bases: they require no schema en-\n\nTo date, more studies have been devoted to BERT's knowledge of syntactic rather than semantic phenomena. However, we do have evidence from an MLMprobing study that BERT has some knowledge of semantic roles (Ettinger, 2019). BERT even displays some preference for the incorrect fillers for semantic roles that are semantically related to the correct ones, as opposed to those that are unrelated (e.g. \"to tip a chef\" is better than \"to tip a robin\", but worse than \"to tip a waiter\"). gineering, allow practitioners to query about an open class of relations, are easy to extend to more data, and require no human supervision to train. We present an in-depth analysis of the relational knowledge already present (without fine-tuning) in a wide range of state-of-theart pretrained language models. We find that (i) without fine-tuning, BERT contains relational knowledge competitive with traditional NLP methods that have some access to oracle knowledge, (ii) BERT also does remarkably well on open-domain question answer-\n\nBERTstruggles with representations of numbers. Addition and number decoding tasks showed that BERT does not form good representations for floating point numbers and fails to generalize away from the training data (Wallace et al., 2019b). A part of the problem is BERT's wordpiece tokenization, since numbers of similar values can be divided up into substantially different word chunks. call factual knowledge without any fine-tuning demonstrates their potential as unsupervised open-domain QA systems. The code to reproduce our analysis is available at https: //github.com/facebookresearch/LAMA . 1 Introduction Recently, pretrained high-capacity language models such as ELMo (Peters et al., 2018a) and BERT\n\nTenney et al. (2019b) showed that BERT encodes information about entity types, relations, semantic roles, and proto-roles , since this information can be detected with probing classifiers. ing against a supervised baseline, and (iii) certain types of factual knowledge are learned much more readily than others by standard language model pretraining approaches. The surprisingly strong ability of these models to re-\n\nOut-of-the-box BERTis surprisingly brittle to named entity replacements : e.g. replacing names in the coreference task changes 85% of predictions (Balasubramanian et al., 2020). This suggests that the model does not actually form a generic idea of named entities, although its F1 scores on NER probing tasks are high (Tenney et al., 2019a). Broscheit (2019) find that fine-tuning BERT on Wikipedia entity linking \"teaches\" it additional entity knowledge, which would suggest that it did not absorb all the relevant entity information during pre-training on Wikipedia. (Devlin et al., 2018a) have become increasingly important in NLP. They are optimised to either predict the next word in a sequence or some masked word anywhere in a given sequence ( e.g. 'Dante was born in [M ask ] in the year 1265.'). The parameters of these models appear to store\n\n## 3.3 World knowledge", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "avenue for future work.\n\nThe above discussion concerns token embeddings, but BERT is typically used as a sentence or text encoder. The standard way to generate sentence or text representations for classification is to use the [CLS] token, but alternatives are also being discussed, including concatenation of token representations (Tanaka et al., 2020), normalized mean (Tanaka et al., 2020), and layer activations (Ma et al., 2019). See Toshniwal et al. (2020) for a systematic comparison of several methods across tasks and sentence encoders.\n\n## 4.2 Self-attention heads\n\nSeveral studies proposed classification of attention head types. Raganato and Tiedemann (2018) discuss attending to the token itself, previous/next tokens and the sentence end. Clark et al. (2019) distinguish between attending to previous/next tokens, [CLS] , [SEP] , punctuation, and \"attending broadly\" over the sequence. Kovaleva et al. (2019) propose 5 patterns shown in Figure 3.\n\n## 4.2.1 Heads with linguistic functions\n\nThe \"heterogeneous\" attention pattern shown in Figure 3 could potentially be linguistically interpretable, and a number of studies focused on identifying the functions of self-attention heads. In particular, some BERT heads seem to specialize in certain types of syntactic relations. Htut et al. (2019) and Clark et al. (2019) report that there are BERT heads that attended significantly more than a random baseline to words in certain syntactic positions. The datasets and methods used in these studies differ, but they both find that there are heads that attend to words in obj role more than the positional baseline. The evidence for nsubj , advmod , and amod varies between these two studies. The overall conclusion is also supported by Voita et al. (2019b)'s study of the base Transformer in machine translation context. Hoover et al. (2019) hypothesize that even complex dependencies like dobj are encoded by a combination of heads rather than a single head, but this work is limited to qualitative analysis. Zhao and Bethard (2020) looked specifically for the heads encoding negation scope.\n\nBoth Clark et al. (2019) and Htut et al. (2019) conclude that no single head has the complete syntactic tree information , in line with evidence of partial knowledge of syntax (cf. subsection 3.1). However, Clark et al. (2019) identify a BERT head\n\nthat can be directly used as a classifier to perform coreference resolution on par with a rule-based system, which by itself would seem to require quite a lot of syntactic knowledge.\n\nLin et al. (2019) present evidence that attention weights are weak indicators of subjectverb agreement and reflexive anaphora. Instead of serving as strong pointers between tokens that should be related, BERT's self-attention weights were close to a uniform attention baseline, but there was some sensitivity to different types of distractors coherent with psycholinguistic data. This is consistent with conclusions by Ettinger (2019).\n\nTo our knowledge, morphological information in BERT heads has not been addressed, but with the sparse attention variant by Correia et al. (2019) in the base Transformer, some attention heads appear to merge BPE-tokenized words. For semantic relations, there are reports of self-attention heads encoding core frame-semantic relations (Kovaleva et al., 2019), as well as lexicographic and commonsense relations (Cui et al., 2020).", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "\n\nFigure 5: Pre-trained weights help BERT find wider optima in fine-tuning on MRPC (right) than training from scratch (left) (Hao et al., 2019)\n\n\n\nbeddings as input for training BERT, while Poerner et al. (2019) adapt entity vectors to BERT representations. As mentioned above, Wang et al. (2020c) integrate knowledge not through entity embeddings, but through additional pre-training objective of knowledge base completion. Sun et al. (2019b,c) modify the standard MLM task to mask named entities rather than random words, and Yin et al. (2020) train with MLM objective over both text and linearized table data. Wang et al. (2020a) enhance RoBERTa with both linguistic and factual knowledge with task-specific adapters.\n\nPre-training is the most expensive part of training BERT, and it would be informative to know how much benefit it provides. On some tasks, a randomly initialized and fine-tuned BERT obtains competitive or higher results than the pre-trained BERT with the task classifier and frozen weights (Kovaleva et al., 2019). The consensus in the community is that pre-training does help in most situations, but the degree and its exact contribution requires further investigation. Prasanna et al. (2020) found that most weights of pre-trained BERT are useful in fine-tuning, although there are \"better\" and \"worse\" subnetworks. One explanation is that pre-trained weights help the fine-tuned BERT find wider and flatter areas with smaller generalization error, which makes the model more robust to overfitting (see Figure 5 from Hao et al. (2019)).\n\nGiven the large number and variety of proposed modifications, one would wish to know how much impact each of them has. However, due to the overall trend towards large model sizes, systematic ablations have become expensive. Most new models claim superiority on standard benchmarks, but gains are often marginal, and estimates of model stability and significance testing are very rare.\n\n## 5.4 Fine-tuning BERT\n\nPre-training + fine-tuning workflow is a crucial part of BERT. The former is supposed to provide task-independent knowledge, and the latter would presumably teach the model to rely more on the representations useful for the task at hand.\n\nKovaleva et al. (2019) did not find that to be the case for BERT fine-tuned on GLUE tasks 5 : during fine-tuning, the most changes for 3 epochs occurred in the last two layers of the models, but those changes caused self-attention to focus on [SEP] rather than on linguistically interpretable patterns. It is understandable why fine-tuning would increase the attention to [CLS] , but not [SEP] . If Clark et al. (2019) are correct that [SEP] serves as \"noop\" indicator, fine-tuning basically tells BERT what to ignore.\n\nSeveral studies explored the possibilities of improving the fine-tuning of BERT:\n\n - · Taking more layers into account : learning a complementary representation of the information in deep and output layers (Yang and Zhao, 2019), using a weighted combination of all layers instead of the final one (Su and Cheng, 2019; Kondratyuk and Straka, 2019), and layer dropout (Kondratyuk and Straka, 2019).\n - · Two-stage fine-tuning introduces an intermediate supervised training stage between pre-training and fine-tuning (Phang et al., 2019; Garg et al., 2020; Arase and Tsujii, 2019; Pruksachatkun et al., 2020; Glavaš and Vuli'c, 2020). Ben-David et al. (2020) propose a pivot-based variant of MLM to fine-tune BERT for domain adaptation.\n - · Adversarial token perturbations improve robustness of the model (Zhu et al., 2019).\n - · Adversarial regularization in combination with Bregman Proximal Point Optimization helps alleviate pre-trained knowledge forgetting and therefore prevents BERT from overfitting to downstream tasks (Jiang et al., 2019a).\n - · Mixout regularization improves the stability of BERT fine-tuning even for a small number of training examples (Lee et al., 2019).", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "\n\nmBERT across 29 tasks. Either way, these models do not address the inclusion problems raised by [65], who note that over 90% of the world's languages used by more than a billion people currently have little to no support in terms of language technology.\n\nAlongside work investigating what information the models retain from the data, we see a trend in reducing the size of these models using various techniques such as knowledge distillation [26, 58], quantization [118, 153], factorized embedding parameterization and cross-layer parameter sharing [70], and progressive module replacing [146]. Rogers et al. [110] provide a comprehensive comparison of models derived from BERT using these techniques, such as DistilBERT [113] and ALBERT [70]. While these models maintain and sometimes exceed the performance of the original BERT model, despite their much smaller size, they ultimately still rely on large quantities of data and significant processing and storage capabilities to both hold and reduce the model.\n\nWe note that the change from n-gram LMs to word vectors distilled from neural LMs to pretrained Transformer LMs is paralleled by an expansion and change in the types of tasks they are useful for: n-gram LMs were initially typically deployed in selecting among the outputs of e.g. acoustical or translation models; the LSTM-derived word vectors were quickly picked up as more effective representations of words (in place of bag of words features) in a variety of NLP tasks involving labeling and classification; and the pretrained Transformer models can be retrained on very small datasets (few-shot, one-shot or even zero-shot learning) to perform apparently meaning-manipulating tasks such as summarization, question answering and the like. Nonetheless, all of these systems share the property of being LMs in the sense we give above, that is, systems trained to predict sequences of words (or characters or sentences). Where they differ is in the size of the training datasets they leverage and the spheres of influence they can possibly affect. By scaling up in these two ways, modern very large LMs incur new kinds of risk, which we turn to in the following sections.\n\n## 3 ENVIRONMENTAL AND FINANCIAL COST\n\nStrubell et al. recently benchmarked model training and development costs in terms of dollars and estimated GLYPH<24> $ 2 emissions [129]. While the average human is responsible for an estimated 5t GLYPH<24> $ 2 4 per year, 2 the authors trained a Transformer (big) model [136] with neural architecture search and estimated that the training procedure emitted 284t of GLYPH<24> $ 2 . Training a single BERT base model (without hyperparameter tuning) on GPUs was estimated to require as much energy as a trans-American flight.\n\nWhile some of this energy comes from renewable sources, or cloud compute companies' use of carbon credit-offset sources, the authors note that the majority of cloud compute providers' energy is not sourced from renewable sources and many energy sources in the world are not carbon neutral. In addition, renewable energy sources are still costly to the environment, 3 and data centers with increasing computation requirements take away from other potential uses of\n\n2\n\nData for 2017, from https://ourworldindata.org/co2-emissions, accessed Jan 21, 2021\n\ngreen energy, 4 underscoring the need for energy efficient model architectures and training paradigms.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "layers are more transferable (Liu et al., 2019a). In fine-tuning, it explains why the final layers change the most (Kovaleva et al., 2019), and why restoring the weights of lower layers of fine-tuned BERT to their original values does not dramatically hurt the model performance (Hao et al., 2019).\n\nTenney et al. (2019a) suggest that while syntactic information appears early in the model and can be localized, semantics is spread across the entire model , which explains why certain non-trivial examples get solved incorrectly at first but correctly at the later layers. This is rather to be expected: semantics permeates all language, and linguists debate whether meaningless structures can exist at all (Goldberg, 2006, p.166-182). But this raises the question of what stacking more Transformer layers in BERT actually achieves in terms of the spread of semantic knowledge, and whether that is beneficial. Tenney et al. compared BERT-base and BERT-large, and found that the overall pattern of cumulative score gains is the same, only more spread out in the larger model.\n\nNote that Tenney et al. (2019a)'s experiments concern sentence-level semantic relations; Cui et al. (2020) report that the encoding of ConceptNet semantic relations is the worst in the early layers and increases towards the top. Jawahar et al. (2019) place \"surface features in lower layers, syntactic features in middle layers and semantic features in higher layers\", but their conclusion is surprising, given that only one semantic task in this study actually topped at the last layer, and three others peaked around the middle and then considerably degraded by the final layers.\n\n## 5 Training BERT\n\nThis section reviews the proposals to optimize the training and architecture of the original BERT.\n\n## 5.1 Model architecture choices\n\nTo date, the most systematic study of BERT architecture was performed by Wang et al. (2019b), who experimented with the number of layers, heads, and model parameters, varying one option and freezing the others. They concluded that the number of heads was not as significant as the number of layers . That is consistent with the findings of Voita et al. (2019b) and Michel et al. (2019) (section 6), and also the observation by Liu et al. (2019a) that the middle layers were the most transferable. Larger hidden representation size was con-\n\nsistently better, but the gains varied by setting.\n\nAll in all, changes in the number of heads and layers appear to perform different functions . The issue of model depth must be related to the information flow from the most task-specific layers closer to the classifier (Liu et al., 2019a), to the initial layers which appear to be the most task-invariant (Hao et al., 2019), and where the tokens resemble the input tokens the most (Brunner et al., 2020) (see subsection 4.3). If that is the case, a deeper model has more capacity to encode information that is not task-specific.\n\nOn the other head, many self-attention heads in vanilla BERT seem to naturally learn the same patterns (Kovaleva et al., 2019). This explains why pruning them does not have too much impact. The question that arises from this is how far we could get with intentionally encouraging diverse self-attention patterns: theoretically, this would mean increasing the amount of information in the model with the same number of weights. Raganato et al. (2020) show for Transformer-based machine translation we can simply pre-set the patterns that we already know the model would learn, instead of learning them from scratch.\n\nVanilla BERT is symmetric and balanced in terms of self-attention and feed-forward layers, but it may not have to be. For the base Transformer, Press et al. (2020) report benefits from more selfattention sublayers at the bottom and more feedforward sublayers at the top.\n\n## 5.2 Improvements to the training regime", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "## 5.3 Pre-training BERT\n\nThe original BERT is a bidirectional Transformer pre-trained on two tasks: next sentence prediction (NSP) and masked language model (MLM) (section 2). Multiple studies have come up with alternative training objectives to improve on BERT, which could be categorized as follows:\n\n- · How to mask. Raffel et al. (2019) systematically experiment with corruption rate and corrupted span length. Liu et al. (2019b) propose diverse masks for training examples within an epoch, while Baevski et al. (2019) mask every token in a sequence instead of a random selection. Clinchant et al. (2019) replace the MASK token with [UNK] token, to help the model learn a representation for unknowns that could be useful for translation. Song et al. (2020) maximize the amount of information available to the model by conditioning on both masked and unmasked tokens, and letting the model see how many tokens are missing.\n- · What to mask. Masks can be applied to full words instead of word-pieces (Devlin et al., 2019; Cui et al., 2019). Similarly, we can mask spans rather than single tokens (Joshi et al., 2020), predicting how many are missing (Lewis et al., 2019). Masking phrases and named entities (Sun et al., 2019b) improves representation of structured knowledge.\n- · Where to mask. Lample and Conneau (2019) use arbitrary text streams instead of sentence pairs and subsample frequent outputs similar to Mikolov et al. (2013). Bao et al. (2020) combine the standard autoencoding MLM with partially autoregressive LM objective using special pseudo mask tokens.\n- · Alternatives to masking. Raffel et al. (2019) experiment with replacing and dropping spans, Lewis et al. (2019) explore deletion, infilling, sentence permutation and document rotation, and Sun et al. (2019c) predict whether a token is capitalized and whether it occurs in other segments of the same document. Yang et al. (2019) train on different permutations of word order in the input sequence, maximizing the probability of the original word order (cf. the n-gram word order reconstruction task (Wang et al., 2019a)). Clark et al. (2020) detect tokens that were replaced by a generator network rather than masked.\n- · NSP alternatives. Removing NSP does not hurt or slightly improves performance (Liu et al., 2019b; Joshi et al., 2020; Clinchant et al., 2019). Wang et al. (2019a) and Cheng et al. (2019) replace NSP with the task of predicting both the next and the previous sentences. Lan et al. (2020a) replace the negative NSP examples by swapped sentences from positive examples, rather than sentences from different documents. ERNIE 2.0 includes sentence reordering and sentence distance prediction. Bai et al. (2020) replace both NSP and token position embeddings by a combination of paragraph, sentence, and token index embeddings. Li and Choi (2020) experiment with utterance order prediction task for multiparty dialogue (and also MLM at the level of utterances and the whole dialogue).\n- · Other tasks. Sun et al. (2019c) propose simultaneous learning of 7 tasks, including discourse relation classification and predicting whether a segment is relevant for IR. Guu et al. (2020) include a latent knowledge retriever in language model pretraining. Wang et al. (2020c) combine MLM with knowledge base completion objective. Glass et al. (2020) replace MLM with span prediction task (as in extractive question answering), where the model is expected to provide the answer not from its own weights, but from a different passage containing the correct answer (a relevant search engine query snippet).", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "then check which of them survive the pruning, finding that the syntactic and positional heads are the last ones to go. For BERT, Prasanna et al. (2020) go in the opposite direction: pruning on the basis of importance scores, and interpreting the remaining \"good\" subnetwork. With respect to self-attention heads specifically, it does not seem to be the case that only the heads that potentially encode nontrivial linguistic patterns survive the pruning.\n\nThe models and methodology in these studies differ, so the evidence is inconclusive. In particular, Voita et al. (2019b) find that before pruning the majority of heads are syntactic, and Prasanna et al. (2020) - that the majority of heads do not have potentially non-trivial attention patterns.\n\nAn important limitation of the current head and layer ablation studies (Michel et al., 2019; Kovaleva et al., 2019) is that they inherently assume that certain knowledge is contained in heads/layers. However, there is evidence of more diffuse representations spread across the full network, such as the gradual increase in accuracy on difficult semantic parsing tasks (Tenney et al., 2019a) or the absence of heads that would perform parsing \"in general\" (Clark et al., 2019; Htut et al., 2019). If so, ablating individual components harms the weightsharing mechanism. Conclusions from component ablations are also problematic if the same information is duplicated elsewhere in the network.\n\n## 7 Directions for further research\n\nBERTology has clearly come a long way, but it is fair to say we still have more questions than answers about how BERT works. In this section, we list what we believe to be the most promising directions for further research.\n\nBenchmarks that require verbal reasoning. While BERT enabled breakthroughs on many NLP benchmarks, a growing list of analysis papers are showing that its language skills are not as impressive as it seems. In particular, it was shown to rely on shallow heuristics in natural language inference (McCoy et al., 2019b; Zellers et al., 2019; Jin et al., 2020), reading comprehension (Si et al., 2019a; Rogers et al., 2020; Sugawara et al., 2020; Si et al., 2019b; Yogatama et al., 2019), argument reasoning comprehension (Niven and Kao, 2019), and text classification (Jin et al., 2020). Such heuristics can even be used to reconstruct a non-publiclyavailable model (Krishna et al., 2020). As with any optimization method, if there is a shortcut in\n\nthe data, we have no reason to expect BERT to not learn it. But harder datasets that cannot be resolved with shallow heuristics are unlikely to emerge if their development is not as valued as modeling work.\n\nBenchmarks for the full range of linguistic competence. While the language models seem to acquire a great deal of knowledge about language, we do not currently have comprehensive stress tests for different aspects of linguistic knowledge. A step in this direction is the \"Checklist\" behavioral testing (Ribeiro et al., 2020), the best paper at ACL 2020. Ideally, such tests would measure not only errors, but also sensitivity (Ettinger, 2019).\n\nDeveloping methods to \"teach\" reasoning. While large pre-trained models have a lot of knowledge, they often fail if any reasoning needs to be performed on top of the facts they possess (Talmor et al., 2019, see also subsection 3.3). For instance, Richardson et al. (2020) propose a method to \"teach\" BERT quantification, conditionals, comparatives, and boolean coordination.", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "How many affiliate banks has First Financial Bankshares ?", - "target_page": 4, - "target_passage": "The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nFirst Financial Bankshares, Inc. is a financial holding company\n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion as of December 31, 2002. The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. The common stock of First Financial Bankshares, Inc. is held by more than 3,500 shareholders and is listed on The NASDAQ Stock Market ¤ under the symbol FFIN.\n\n'Our 10 affiliate banks provide services from 28 full-service locations in the Central, West and High Plains regions of Texas.'", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 17. BUSINESS COMBINATION:\n\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. ('City') and its subsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market value of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an identifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible asset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized over seven years utilizing a method that approximates the expected attrition of the deposits.\n\nThe primary purpose of the acquisition was to expand the Company's market share in areas with close proximity to Dallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City's historically stable record of earnings, capable management and its geographic location, which complements the Company's existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and City National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are included in the consolidated earnings of the Company commencing July 1, 2001.\n\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts assigned to the major asset and liability captions at the acquisition date.\n\n## ASSETS\n\n| Cash and cash equivalents | $ 9,651,769 |\n|-------------------------------|------------------|\n| Investment securities | 29,717,834 |\n| Loans, net | 51,061,735 |\n| Goodwill | 6,891,959 |\n| Identifiable intangible asset | 946,073 |\n| Other assets | 1,465,727 |\n| Total assets | $ 99,735,097 |\n\n## LIABILITIES AND SHAREHOLDER'S EQUITY\n\n| Noninterest-bearing deposits | $ 11,949,766 |\n|--------------------------------------------|-----------------|\n| Interest-bearing deposits | 70,575,256 |\n| Other liabilities | 710,075 |\n| Shareholders' equity | 16,500,000 |\n| Total liabilities and shareholder's equity | $ 99,735,097 |\n\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142. Accordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and identifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of City is insignificant to the Company's financial statements.\n\nCash flow information relative to the acquisition of City is, as follows:\n\n| Fair value of assets acquired | $ 99,735,097 |\n|-----------------------------------------|------------------|\n| Cash paid for the capital stock of City | 16,500,000 |\n| Liabilities assumed | $ 83,235,097 |", - "page_start": 92, - "page_end": 92, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 4. BANK PREMISES AND EQUIPMENT:\n\nThe following is a summary of bank premises and equipment:\n\n| | Useful Life | December 31, | December 31, |\n|-------------------------------------------------|-------------------------------------------------|----------------|----------------|\n| | | 2002 | 2001 |\n| Land | - | $ 7,362,814 | $ 7,104,759 |\n| Buildings | 20 to 40 years | 50,560,723 | 49,885,954 |\n| Furniture and equipment | 3 to 10 years | 26,347,819 | 27,249,965 |\n| Leasehold improvements | Lesser of lease term or 5 to 15 years | 4,385,288 | 4,105,350 |\n| | | 88,656,644 | 88,346,028 |\n| Less- accumulated depreciation and amortization | Less- accumulated depreciation and amortization | (48,051,243) | (46,333,597) |\n| | | $40,605,401 | $42,012,431 |\n\nDepreciation expense for the years ended December 31, 2002, 2001 and 2000 amounted to $4,284,473, $3,755,878, and $3,700,474, respectively and is included in the captions net occupancy expense and equipment expense in the accompanying consolidated statements of earnings.\n\nThe Company is lessor for portions of its banking premises. Total rental income for all leases included in net occupancy expense is approximately $1,578,000, $1,432,000 and $1,387,000, for the years ended December 31, 2002, 2001, and 2000, respectively.\n\n## 5. TIME DEPOSITS\n\nTime deposits of $100,000 or more totaled approximately $195,754,000 and $196,905,000 at December 31, 2002 and 2001, respectively. Interest expense on these deposits was approximately $11,559,000, $10,163,000, and $10,022,000 during 2002, 2001, and 2000, respectively.\n\nAt December 31, 2002, the scheduled maturities of time deposits were, as follows:\n\n| Year ending December 31, 2003 | $466,285,411 |\n|---------------------------------|----------------|\n| 2004 | 42,007,875 |\n| 2005 | 12,232,334 |\n| 2006 | 2,222,764 |\n| 2007 | 10,878,020 |\n| | $533,626,404 |\n\n## 6. LINE OF CREDIT\n\nThe Company has a line of credit with a nonaffiliated bank under which it could borrow up to $25,000,000. The line of credit is unsecured and matures on June 30, 2003. Bankshares paid no fee to secure the unused line of credit and, accordingly, did not estimate a fair value of the unused line of credit at December 31, 2002 and 2001. The line of credit carries an interest rate of the London Interbank Offering Rate plus 1.0%. There was no outstanding balance under the line of credit as of December 31, 2002 and 2001.", - "page_start": 80, - "page_end": 80, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements December 31, 2002, 2001 and 2000\n\n## 1. SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES:\n\n## Nature of Operations\n\nFirst Financial Bankshares, Inc. (a Texas corporation) ('Bankshares') is a financial holding company which owns (through its wholly-owned Delaware subsidiary) all of the capital stock of ten banks located in Texas as of December 31, 2002. Those subsidiary banks are First National Bank of Abilene; Hereford State Bank; First National Bank, Sweetwater; Eastland National Bank; First Financial Bank, National Association, Cleburne; Stephenville Bank & Trust Co.; San Angelo National Bank; Weatherford National Bank; First Financial Bank, National Association, Southlake and City National Bank, Mineral Wells. Each subsidiary bank's primary source of revenue is providing loans and banking services to consumers and commercial customers in the market area in which the subsidiary is located.\n\nA summary of significant accounting policies of Bankshares and subsidiaries (collectively, the 'Company') applied in the preparation of the accompanying consolidated financial statements follows. The accounting principles followed by the Company and the methods of applying them are in conformity with both accounting principles generally accepted in the United States of America and prevailing practices of the banking industry.\n\n## Use of Estimates in Preparation of Financial Statements\n\nThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and reported amounts of revenues and expenses during the reporting period. Actual results could differ from those estimates. Material estimates that are particularly susceptible to significant change in the near term relate to the determination of the allowance for loan losses, the valuations of foreclosed real estate, deferred income tax assets, and the fair value of financial instruments.\n\n## Consolidation\n\nThe accompanying consolidated financial statements include the accounts of Bankshares and its subsidiaries, all of which are wholly-owned. All significant intercompany accounts and transactions have been eliminated.\n\n## Investment Securities\n\nManagement classifies debt and equity securities as held-to-maturity, available-for-sale, or trading based on its intent. Debt securities that management has the positive intent and ability to hold to maturity are classified as heldto-maturity and recorded at cost, adjusted for amortization of premiums and accretion of discounts, which are recognized as adjustments to interest income using the interest method. Securities not classified as held-to-maturity or trading are classified as available-for-sale and recorded at estimated fair value, with unrealized gains and losses, net of deferred income taxes, excluded from earnings and reported in a separate component of shareholders' equity. Securities classified as trading are recorded at estimated fair value, with unrealized gains and losses included in earnings. The Company had no trading securities at December 31, 2002, 2001, or 2000.\n\n## Loans and Allowance for Loan Losses", - "page_start": 72, - "page_end": 72, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## Condensed Statements of Cash Flows-\n\nFor the Years Ended December 31, 2002, 2001, and 2000\n\n| | 2002 | 2001 | 2000 |\n|------------------------------------------------------|--------------|--------------|--------------|\n| Cash flows from operating activities: | | | |\n| Net earnings | $33,952,550 | $29,354,505 | $28,316,047 |\n| Adjustments to reconcile net earnings to net | | | |\n| cash provided by operating activities: | | | |\n| Excess of earnings over | | | |\n| dividends of subsidiary banks | (8,479,939) | (4,582,993) | (7,383,516) |\n| Depreciation | 54,219 | 32,658 | 26,222 |\n| Discount accretion, net of premium amortization | - | (4,667) | (12,133) |\n| Amortization of excess of cost over fair value | | | |\n| of assets acquired | - | 55,576 | 55,576 |\n| Gain on sale of securities | - | - | (530,097) |\n| (Increase) decrease in other assets | (215,435) | 559,515 | (178,092) |\n| (Decrease) increase in liabilities | (1,041,688) | 186,391 | 448,225 |\n| Net cash provided by operating activities | 24,269,707 | 25,600,985 | 20,742,232 |\n| Cash flows from investing activities: | | | |\n| Purchases of bank premises and equipment | (50,481) | (157,291) | (2,266) |\n| Activity in available-for-sale securities: | | | |\n| Sales | - | - | 530,097 |\n| Maturities | - | 10,000,000 | - |\n| Purchases | - | - | (9,983,200) |\n| Cash payment for stock acquisition | - | (16,500,000) | - |\n| Cash flows from financing activities: | | | |\n| Proceeds of stock issuances | 573,116 | 356,670 | 161,919 |\n| Acquisition of treasury stock | - | (315,050) | (3,925,069) |\n| Cash dividends paid | (16,052,983) | (13,921,211) | (12,543,863) |\n| Net cash used in financing activities | (15,479,867) | (13,879,591) | (16,307,013) |\n| Net increase (decrease) in cash and cash equivalents | 8,739,359 | 5,064,103 | (5,020,150) |\n| Cash and cash equivalents, beginning of year | 14,376,024 | 9,311,921 | 14,332,071 |\n| Cash and cash equivalents, end of year | $23,115,383 | $14,376,024 | $ 9,311,921 |", - "page_start": 91, - "page_end": 91, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 16. CONDENSED FINANCIAL INFORMATION - PARENT COMPANY:\n\n## Condensed Balance Sheets-December 31, 2002 and 2001\n\n| ASSETS | 2002 | 2001 |\n|-----------------------------------------------|----------------|----------------|\n| Cash in subsidiary bank | $ 903,319 | $ 579,686 |\n| Interest-bearing deposits in subsidiary banks | 22,212,064 | 13,796,338 |\n| Total cash and cash equivalents | 23,115,383 | 14,376,024 |\n| Investment in subsidiaries, at equity | 219,947,550 | 202,758,981 |\n| Intangible assets | 917,350 | 723,375 |\n| Other assets | 950,708 | 932,986 |\n| Total assets | $244,930,991 | $218,791,366 |\n| LIABILITIES AND SHAREHOLDERS' EQUITY | | |\n| Total liabilities | $ 6,163,346 | $ 5,137,353 |\n| Shareholders' equity: | | |\n| Common stock | 123,642,010 | 123,332,520 |\n| Capital surplus | 58,087,687 | 57,824,061 |\n| Retained earnings | 45,647,522 | 28,375,353 |\n| Accumulated other comprehensive earnings | 11,390,426 | 4,122,079 |\n| Total shareholders' equity | 238,767,645 | 213,654,013 |\n| Total liabilities and shareholders' equity | $244,930,991 | $218,791,366 |\n\n## Condensed Statements of Earnings-\n\n## For the Years Ended December 31, 2002, 2001, and 2000\n\n| | 2002 | 2001 | 2000 |\n|----------------------------------------------------------|--------------|--------------|--------------|\n| Income: | | | |\n| Cash dividends from subsidiary banks | $ 26,550,000 | $ 25,500,000 | $ 21,000,000 |\n| Excess of earnings over dividends of subsidiary banks | 8,479,939 | 4,582,993 | 7,383,516 |\n| Gain on sale of investment securities available-for-sale | - | - | 530,097 |\n| Other income | 944,911 | 1,092,375 | 1,325,613 |\n| | 35,974,850 | 31,175,368 | 30,239,226 |\n| Expenses: | | | |\n| Salaries and employee benefits | 1,451,136 | 1,160,903 | 1,067,664 |\n| Other operating expenses | 1,142,832 | 1,015,184 | 1,288,508 |\n| | 2,593,968 | 2,176,087 | 2,356,172 |\n| Earnings before income taxes | 33,380,882 | 28,999,281 | 27,883,054 |\n| Income tax benefit | 571,668 | 355,224 | 432,993 |\n| Net earnings | $33,952,550 | $29,354,505 | $28,316,047 |", - "page_start": 90, - "page_end": 90, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## REPORT OF INDEPENDENT AUDITORS\n\nTo the Board of Directors and Shareholders of\n\nFirst Financial Bankshares, Inc.\n\nWe have audited the accompanying consolidated balance sheet of First Financial Bankshares, Inc. (a Texas corporation) and subsidiaries as of December 31, 2002, and the related consolidated statements of earnings, comprehensive earnings, shareholders' equity, and cash flows for the year then ended. These financial statements are the responsibility of the Company's management. Our responsibility is to express an opinion on these financial statements based on our audit. The consolidated financial statements of First Financial Bankshares, Inc. and subsidiaries as of December 31, 2001 and for each of the two years then ended, were audited by other auditors who have ceased operations and whose report dated January 11, 2002, expressed an unqualified opinion on those statements.\n\nWe conducted our audit in accordance with auditing standards generally accepted in the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements. An audit also includes assessing the accounting principles used and significant estimates made by management, as well as evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion.\n\nIn our opinion, the financial statements referred to above present fairly, in all material respects, the financial position of First Financial Bankshares, Inc. and subsidiaries at December 31, 2002, and the consolidated results of their operations and their cash flows for the year then ended in conformity with accounting principles generally accepted in the United States.\n\nAs discussed above, the financial statements of First Financial Bankshares, Inc. as of December 31, 2001 and the two years then ended were audited by other auditors who have ceased operations. As described in Note 1, these financial statements have been revised to include the transitional disclosures required by Statement of Financial Accounting Standards No. 142, Goodwill and Other Intangible Assets , which was adopted by the Company as of January 1, 2002. Our audit procedures with respect to the disclosures in Note 1 with respect to 2001 and 2000 included (a) agreeing the previously reported net income to the previously issued financial statements and the adjustments to reported net income representing amortization expense including related tax effects recognized in those periods related to goodwill to the Company's underlying records obtained from management, and (b) testing the mathematical accuracy of the reconciliation of adjusted net income to reported net income, and the related earnings per share amounts. In our opinion, the disclosures for 2001 and 2000 are appropriate. However, we were not engaged to audit, review, or apply any procedures to the 2001 and 2000 financial statements of the Company other than with respect to such disclosures and, accordingly, we do not express an opinion or any other form of assurance on the 2001 and 2000 financial statements taken as a whole.\n\nErnst & Young LLP\n\nDallas, Texas January 14, 2003", - "page_start": 64, - "page_end": 64, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 18. CASH FLOW INFORMATION:\n\nSupplemental information on cash flows and noncash transactions is as follows:\n\n| | Year Ended December 31, | Year Ended December 31, | Year Ended December 31, |\n|---------------------------------------------------------|---------------------------|---------------------------|---------------------------|\n| | 2002 | 2001 | 2000 |\n| Supplemental cash flow information: | | | |\n| Interest paid | $25,704,950 | $46,243,602 | $48,123,200 |\n| Federal income taxes paid | 14,682,343 | 13,227,101 | 13,227,192 |\n| Schedule of noncash investing and financing activities: | | | |\n| Assets acquired through foreclosure | 553,840 | 628,797 | 285,195 |\n| Retirement of treasury stock | - | 4,240,119 | - |", - "page_start": 93, - "page_end": 93, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "\n\nFirst Financial Bankshares customers and shareholders also know a thing or two about Value and Values - and we learn from them every day. We're proud to share in their success. Here are just a few of their stories.\n\nGeorge Marti believes in doing things. Good things.\n\nBorn to humble roots on his parents' farm in 1920, Marti has accomplished much, including founding three radio stations (and investing in 10 more) and developing a remote pickup device that became standard equipment in 80 percent of all radio stations worldwide. He still has part ownership of KCLE in Cleburne, Texas (the town where he was once mayor for 12 years).\n\nMarti's dedication to his hometown is part of the reason why he bought Cleburne State Bank in 1992. His business skills (and success in the broadcasting industry) gave him the resources to turn the bank into yet another winning venture. Five years later, he sold it to First Financial, which merged it with their existing First Financial Bank, Cleburne.\n\nThe proceeds from the sale helped Marti complete the funding for his proudest achievement: the Marti Foundation, which he created in the 1970s to help send students from Johnson County to college. 'We help over 100 students a year … most are the first from their family ever to attend college,' says Marti. 'I know what education did for me, so it's a great thing to help these young people.' Marti says that when he dies, the Foundation will live on, $20 million strong.\n\nMarti still serves on the board of First Financial Bank, Cleburne. 'First Financial's merger of the banks was positive for the community. They have a good customer base. They are friendly, helpful and creative. They are growing, and the branches in Alvarado and Burleson are both doing well. Those are all good things.'\n\n## 'They are friendly, helpful and creative.\n\nThose are all good things.'\n\nGeorge Marti Founder Marti Enterprises Cleburne, Texas\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## CERTIFICATIONS\n\n - I, F. Scott Dueser, certify that:\n - 1. I have reviewed this annual report on Form 10-K of First Financial Bankshares, Inc.;\n - 2. Based on my knowledge, this annual report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this annual report;\n - 3. Based on my knowledge, the financial statements, and other financial information included in this annual report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods presented in this annual report;\n - 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-14 and 15d-14) for the registrant and have;\n - a. Designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this annual report is being prepared;\n - b. Evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this annual report (the 'Evaluation Date'); and\n - c. Presented in this annual report our conclusions about the effectiveness of this disclosure controls and procedures based on our evaluation as of the Evaluation Date;\n - 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of registrant's board of directors (or persons performing the equivalent functions):\n - a. All significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and\n - b. Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and\n - 6. The registrant's other certifying officers and I have indicated in this annual report whether there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.\n\nDate:\n\nMarch 10, 2003\n\nBy:\n\n/s/ F. SCOTT DUESER\n\nF. Scott Dueser\n\nPresident, Chief Executive Officer and Director", - "page_start": 62, - "page_end": 62, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What was the net income of First Financial Bankshares in 1995 ?", - "target_page": 14, - "target_passage": " 16,355", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 17. BUSINESS COMBINATION:\n\nIn July 2001, the Company purchased all of the outstanding stock of City Bancshares, Inc. ('City') and its subsidiary, City National Bank for $16,500,000 in cash. The total purchase price exceeded the estimated fair market value of net assets acquired by approximately $7,800,000, of which approximately $950,000 was assigned to an identifiable intangible asset with the balance recorded by the Company as goodwill. The identifiable intangible asset represents the future benefit associated with the acquisition of the core deposits of City and is being amortized over seven years utilizing a method that approximates the expected attrition of the deposits.\n\nThe primary purpose of the acquisition was to expand the Company's market share in areas with close proximity to Dallas/Ft. Worth, Texas. Factors that contributed to a purchase price resulting in goodwill include City's historically stable record of earnings, capable management and its geographic location, which complements the Company's existing service locations. Subsequent to the acquisition, the Company liquidated the stock of City and City National Bank is operating as a subsidiary of the Company. The results of operations of City National Bank are included in the consolidated earnings of the Company commencing July 1, 2001.\n\nThe following is a condensed consolidated balance sheet disclosing the preliminary estimated fair value amounts assigned to the major asset and liability captions at the acquisition date.\n\n## ASSETS\n\n| Cash and cash equivalents | $ 9,651,769 |\n|-------------------------------|------------------|\n| Investment securities | 29,717,834 |\n| Loans, net | 51,061,735 |\n| Goodwill | 6,891,959 |\n| Identifiable intangible asset | 946,073 |\n| Other assets | 1,465,727 |\n| Total assets | $ 99,735,097 |\n\n## LIABILITIES AND SHAREHOLDER'S EQUITY\n\n| Noninterest-bearing deposits | $ 11,949,766 |\n|--------------------------------------------|-----------------|\n| Interest-bearing deposits | 70,575,256 |\n| Other liabilities | 710,075 |\n| Shareholders' equity | 16,500,000 |\n| Total liabilities and shareholder's equity | $ 99,735,097 |\n\nGoodwill recorded in the acquisition of City has been accounted for in accordance with SFAS No. 142. Accordingly, goodwill has not been amortized, rather it has been tested for impairment. The goodwill and identifiable intangible asset recorded are not deductible for federal income tax purposes. The proforma impact of City is insignificant to the Company's financial statements.\n\nCash flow information relative to the acquisition of City is, as follows:\n\n| Fair value of assets acquired | $ 99,735,097 |\n|-----------------------------------------|------------------|\n| Cash paid for the capital stock of City | 16,500,000 |\n| Liabilities assumed | $ 83,235,097 |", - "page_start": 92, - "page_end": 92, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 16. CONDENSED FINANCIAL INFORMATION - PARENT COMPANY:\n\n## Condensed Balance Sheets-December 31, 2002 and 2001\n\n| ASSETS | 2002 | 2001 |\n|-----------------------------------------------|----------------|----------------|\n| Cash in subsidiary bank | $ 903,319 | $ 579,686 |\n| Interest-bearing deposits in subsidiary banks | 22,212,064 | 13,796,338 |\n| Total cash and cash equivalents | 23,115,383 | 14,376,024 |\n| Investment in subsidiaries, at equity | 219,947,550 | 202,758,981 |\n| Intangible assets | 917,350 | 723,375 |\n| Other assets | 950,708 | 932,986 |\n| Total assets | $244,930,991 | $218,791,366 |\n| LIABILITIES AND SHAREHOLDERS' EQUITY | | |\n| Total liabilities | $ 6,163,346 | $ 5,137,353 |\n| Shareholders' equity: | | |\n| Common stock | 123,642,010 | 123,332,520 |\n| Capital surplus | 58,087,687 | 57,824,061 |\n| Retained earnings | 45,647,522 | 28,375,353 |\n| Accumulated other comprehensive earnings | 11,390,426 | 4,122,079 |\n| Total shareholders' equity | 238,767,645 | 213,654,013 |\n| Total liabilities and shareholders' equity | $244,930,991 | $218,791,366 |\n\n## Condensed Statements of Earnings-\n\n## For the Years Ended December 31, 2002, 2001, and 2000\n\n| | 2002 | 2001 | 2000 |\n|----------------------------------------------------------|--------------|--------------|--------------|\n| Income: | | | |\n| Cash dividends from subsidiary banks | $ 26,550,000 | $ 25,500,000 | $ 21,000,000 |\n| Excess of earnings over dividends of subsidiary banks | 8,479,939 | 4,582,993 | 7,383,516 |\n| Gain on sale of investment securities available-for-sale | - | - | 530,097 |\n| Other income | 944,911 | 1,092,375 | 1,325,613 |\n| | 35,974,850 | 31,175,368 | 30,239,226 |\n| Expenses: | | | |\n| Salaries and employee benefits | 1,451,136 | 1,160,903 | 1,067,664 |\n| Other operating expenses | 1,142,832 | 1,015,184 | 1,288,508 |\n| | 2,593,968 | 2,176,087 | 2,356,172 |\n| Earnings before income taxes | 33,380,882 | 28,999,281 | 27,883,054 |\n| Income tax benefit | 571,668 | 355,224 | 432,993 |\n| Net earnings | $33,952,550 | $29,354,505 | $28,316,047 |", - "page_start": 90, - "page_end": 90, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 7. INCOME TAXES:\n\nThe Company files a consolidated federal income tax return. Income tax expense (benefit) is comprised of the following:\n\n| | Year Ended December 31, | Year Ended December 31, | Year Ended December 31, |\n|-----------------------------------------------|---------------------------|---------------------------|---------------------------|\n| | 2002 | 2001 | 2000 |\n| Current federal income tax | $14,280,038 | $13,016,053 | $12,966,837 |\n| Deferred federal income tax expense (benefit) | 350,415 | (188,982) | (304,240) |\n| Income tax expense | $14,630,453 | $12,827,071 | $12,662,597 |\n\nIncome tax expense, as a percentage of pretax earnings, differs from the statutory federal income tax rate as follows:\n\n| | As a Percent of Pretax Earnings | As a Percent of Pretax Earnings | As a Percent of Pretax Earnings |\n|---------------------------------------|-----------------------------------|-----------------------------------|-----------------------------------|\n| | 2002 | 2001 | 2000 |\n| Statutory federal income tax rate | 35.0 % | 35.0 % | 35.0 % |\n| Reductions in tax rate resulting from | | | |\n| interest income exempt from | | | |\n| federal income tax | (5.6)% | (5.2)% | (4.9)% |\n| Other | 0.7 % | 0.6 % | 0.8 % |\n| Effective income tax rate | 30.1 % | 30.4 % | 30.9 % |", - "page_start": 81, - "page_end": 81, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "\n\nFirst Financial Bankshares, Inc. is a financial holding company\n\nheadquartered in Abilene, Texas, with consolidated assets of $2.0 billion as of December 31, 2002. The corporation has 10 affiliate banks, which provide services from 28 full-service locations in the Central, West and High Plains regions of Texas. The common stock of First Financial Bankshares, Inc. is held by more than 3,500 shareholders and is listed on The NASDAQ Stock Market ¤ under the symbol FFIN.\n\n'Our 10 affiliate banks provide services from 28 full-service locations in the Central, West and High Plains regions of Texas.'", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\nThe estimated fair values, and carrying values at December 31, 2002 and 2001, were as follows:\n\n| | 2002 | 2002 | 2001 | 2001 |\n|------------------------------------------------|----------------------|------------------------|----------------------|------------------------|\n| | Carrying Value | Estimated Fair Value | Carrying Value | Estimated Fair Value |\n| Cash and due from banks | $108,436,645 | $108,436,645 | $112,150,214 | $112,150,214 |\n| Federal funds sold | 70,000,000 | 70,000,000 | 72,975,000 | 72,975,000 |\n| Interest-bearing deposits in banks | 2,324,425 | 2,324,425 | 1,374,285 | 1,374,285 |\n| Investment securities | 772,256,413 | 783,668,780 | 721,693,695 | 729,588,999 |\n| Net loans | 952,821,044 | 964,782,729 | 929,528,556 | 938,431,998 |\n| Accrued interest receivable | 15,360,833 | 15,360,833 | 17,636,608 | 17,636,608 |\n| Deposits with stated maturities | 541,031,072 | 544,575,352 | 575,069,375 | 580,467,556 |\n| Deposits with no stated maturities | 1,170,531,144 | 1,170,531,144 | 1,110,093,223 | 1,110,093,223 |\n| Securities sold under agreements to repurchase | 26,708,994 | 26,708,994 | 19,847,067 | 19,847,067 |\n| Accrued interest payable | 2,150,309 | 2,150,309 | 3,475,555 | 3,475,555 |\n\nFinancial instruments actively traded in a secondary market have been valued using quoted available market prices. Financial instruments with stated maturities have been valued using a present value discounted cash flow with a discount rate approximating current market for similar assets and liabilities. Financial instrument assets with variable rates and financial instrument liabilities with no stated maturities have an estimated fair value equal to both the amount payable on demand and the carrying value. Changes in assumptions or estimation methodologies may have a material effect on these estimated fair values.\n\nThe Company's remaining assets and liabilities, which are not considered financial instruments, have not been valued differently than customary with historical cost accounting.\n\nThere is no material difference between the carrying value and the estimated fair value of the Company's contractual off-balance-sheet unfunded lines of credit, loan commitments and letters of credit which are generally priced at market at the time of funding.\n\nReasonable comparability between financial institutions may not be likely due to the wide range of permitted valuation techniques and numerous estimates which must be made given the absence of active secondary markets for many of the financial instruments. This lack of uniform valuation methodologies also introduces a greater degree of subjectivity to these estimated fair values.\n\n## 9. COMMITMENTS AND CONTINGENCIES:\n\nThe Company is engaged in legal actions arising from the normal course of business. In management's opinion, the Company has adequate legal defenses with respect to these actions, and the resolution of these matters will have no material adverse effects upon the results of operations or financial condition of the Company.", - "page_start": 83, - "page_end": 83, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## 4. BANK PREMISES AND EQUIPMENT:\n\nThe following is a summary of bank premises and equipment:\n\n| | Useful Life | December 31, | December 31, |\n|-------------------------------------------------|-------------------------------------------------|----------------|----------------|\n| | | 2002 | 2001 |\n| Land | - | $ 7,362,814 | $ 7,104,759 |\n| Buildings | 20 to 40 years | 50,560,723 | 49,885,954 |\n| Furniture and equipment | 3 to 10 years | 26,347,819 | 27,249,965 |\n| Leasehold improvements | Lesser of lease term or 5 to 15 years | 4,385,288 | 4,105,350 |\n| | | 88,656,644 | 88,346,028 |\n| Less- accumulated depreciation and amortization | Less- accumulated depreciation and amortization | (48,051,243) | (46,333,597) |\n| | | $40,605,401 | $42,012,431 |\n\nDepreciation expense for the years ended December 31, 2002, 2001 and 2000 amounted to $4,284,473, $3,755,878, and $3,700,474, respectively and is included in the captions net occupancy expense and equipment expense in the accompanying consolidated statements of earnings.\n\nThe Company is lessor for portions of its banking premises. Total rental income for all leases included in net occupancy expense is approximately $1,578,000, $1,432,000 and $1,387,000, for the years ended December 31, 2002, 2001, and 2000, respectively.\n\n## 5. TIME DEPOSITS\n\nTime deposits of $100,000 or more totaled approximately $195,754,000 and $196,905,000 at December 31, 2002 and 2001, respectively. Interest expense on these deposits was approximately $11,559,000, $10,163,000, and $10,022,000 during 2002, 2001, and 2000, respectively.\n\nAt December 31, 2002, the scheduled maturities of time deposits were, as follows:\n\n| Year ending December 31, 2003 | $466,285,411 |\n|---------------------------------|----------------|\n| 2004 | 42,007,875 |\n| 2005 | 12,232,334 |\n| 2006 | 2,222,764 |\n| 2007 | 10,878,020 |\n| | $533,626,404 |\n\n## 6. LINE OF CREDIT\n\nThe Company has a line of credit with a nonaffiliated bank under which it could borrow up to $25,000,000. The line of credit is unsecured and matures on June 30, 2003. Bankshares paid no fee to secure the unused line of credit and, accordingly, did not estimate a fair value of the unused line of credit at December 31, 2002 and 2001. The line of credit carries an interest rate of the London Interbank Offering Rate plus 1.0%. There was no outstanding balance under the line of credit as of December 31, 2002 and 2001.", - "page_start": 80, - "page_end": 80, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\n## Consolidated Statements of Comprehensive Earnings\n\nDecember 31, 2002, 2001 and 2000\n\n| | 2002 | 2001 | 2000 |\n|---------------------------------------------------------------------------------------------------------------------|--------------|--------------|--------------|\n| NET EARNINGS | $ 33,952,550 | $ 29,354,505 | $ 28,316,047 |\n| OTHER ITEMS OF COMPREHENSIVE EARNINGS: | | | |\n| Change in unrealized gain on investment securities available-for-sale, before income tax | 13,414,265 | 3,916,477 | 9,319,576 |\n| Reclassification adjustment for realized gains on investment securities included in net earnings, before income tax | (16,373) | (67,789) | (530,097) |\n| Minimum liability pension adjustment, before income tax | (2,215,820) | - | - |\n| Total other items of comprehensive earnings | 11,182,072 | 3,848,688 | 8,789,479 |\n| Income tax expense related to other items of comprehensive earnings | (3,913,725) | (1,347,041) | (3,076,320) |\n| COMPREHENSIVE EARNINGS | $ 41,220,897 | $ 31,856,152 | $ 34,029,206 |", - "page_start": 69, - "page_end": 69, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nNotes to Consolidated Financial Statements\n\nDecember 31, 2002, 2001 and 2000\n\n## Condensed Statements of Cash Flows-\n\nFor the Years Ended December 31, 2002, 2001, and 2000\n\n| | 2002 | 2001 | 2000 |\n|------------------------------------------------------|--------------|--------------|--------------|\n| Cash flows from operating activities: | | | |\n| Net earnings | $33,952,550 | $29,354,505 | $28,316,047 |\n| Adjustments to reconcile net earnings to net | | | |\n| cash provided by operating activities: | | | |\n| Excess of earnings over | | | |\n| dividends of subsidiary banks | (8,479,939) | (4,582,993) | (7,383,516) |\n| Depreciation | 54,219 | 32,658 | 26,222 |\n| Discount accretion, net of premium amortization | - | (4,667) | (12,133) |\n| Amortization of excess of cost over fair value | | | |\n| of assets acquired | - | 55,576 | 55,576 |\n| Gain on sale of securities | - | - | (530,097) |\n| (Increase) decrease in other assets | (215,435) | 559,515 | (178,092) |\n| (Decrease) increase in liabilities | (1,041,688) | 186,391 | 448,225 |\n| Net cash provided by operating activities | 24,269,707 | 25,600,985 | 20,742,232 |\n| Cash flows from investing activities: | | | |\n| Purchases of bank premises and equipment | (50,481) | (157,291) | (2,266) |\n| Activity in available-for-sale securities: | | | |\n| Sales | - | - | 530,097 |\n| Maturities | - | 10,000,000 | - |\n| Purchases | - | - | (9,983,200) |\n| Cash payment for stock acquisition | - | (16,500,000) | - |\n| Cash flows from financing activities: | | | |\n| Proceeds of stock issuances | 573,116 | 356,670 | 161,919 |\n| Acquisition of treasury stock | - | (315,050) | (3,925,069) |\n| Cash dividends paid | (16,052,983) | (13,921,211) | (12,543,863) |\n| Net cash used in financing activities | (15,479,867) | (13,879,591) | (16,307,013) |\n| Net increase (decrease) in cash and cash equivalents | 8,739,359 | 5,064,103 | (5,020,150) |\n| Cash and cash equivalents, beginning of year | 14,376,024 | 9,311,921 | 14,332,071 |\n| Cash and cash equivalents, end of year | $23,115,383 | $14,376,024 | $ 9,311,921 |", - "page_start": 91, - "page_end": 91, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## FIRST FINANCIAL BANKSHARES, INC. AND SUBSIDIARIES\n\nConsolidated Statements of Earnings\n\nDecember 31, 2002, 2001 and 2000", - "page_start": 68, - "page_end": 68, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "| Net earnings | $ 33,953 | $ 29,355 | $ 28,316 | $ 25,690 | $ 23,254 |\n| Per Share Data: | | | | | |\n| Net earnings per share, basic | $ 2.75 | $ 2.38 | $ 2.28 | $ 2.06 | $ 1.87 |\n| Net earnings per share, assuming dilution | 2.74 | 2.37 | 2.27 | 2.05 | 1.86 |\n| Cash dividends declared | 1.35 | 1.16 | 1.03 | .90 | .80 |\n| Book value at period-end | 19.31 | 17.32 | 15.92 | 14.33 | 13.62 |\n| Earnings performance ratios: | | | | | |\n| Return on average assets | 1.78% | 1.62% | 1.67% | 1.53% | 1.44% |\n| Return on average equity | 15.13 | 14.35 | 15.39 | 14.84 | 14.51 |\n| Summary Balance Sheet Data (Period-end): | | | | | |\n| Investment securities | $ 772,256 | $ 721,694 | $ 654,253 | $ 656,218 | $ 625,891 |\n| Loans | 964,040 | 940,131 | 859,271 | 797,275 | 779,544 |\n| Total assets | 1,993,183 | 1,929,694 | 1,753,814 | 1,723,369 | 1,686,647 |", - "page_start": 41, - "page_end": 41, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_FFIN_2002.pdf", - "query": "What is the address of the San Angelo National Bank main office ?", - "target_page": 21, - "target_passage": "Main Office 301 W. Beauregard San Angelo, Texas 76903 Chartered 1997 ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## San Angelo National Bank\n\n## Main Office\n\n301 W. Beauregard San Angelo, Texas 76903 Chartered 1997\n\n## Branch\n\n3471 Knickerbocker San Angelo, Texas 76904\n\n## Senior Officers\n\nMichael L. Boyd\n\nPresident and Chief Executive Officer\n\nDavid Byrd\n\nExecutive Vice President and Trust Officer\n\nRobert Pate\n\nExecutive Vice President\n\nKatherine Reeves\n\nExecutive Vice President and Cashier\n\nMichael L. Boyd President and Chief Executive Officer\n\n\n\n## Directors\n\nDal DeWees\n\nChairman of the Board\n\nGeorge Alexander\n\nPartner, Alexander Construction Company\n\nMichael L. Boyd\n\nPresident and Chief Executive Officer\n\nW. Dan Cravy, M.D.\n\nPhysician\n\nDavid B. Drake\n\nInvestment Advisor\n\nF. Scott Dueser\n\nFirst Financial Bankshares, Inc.\n\nDoug Eakman\n\nOwner, Pecos Street Pharmacy\n\nJoe Henderson\n\nPresident, Porter Henderson Implement Company, Inc.\n\nRobert D. Housley President and Owner, Housley Communications\n\nJim Johnson\n\nShannon, Porter, Johnson, Pfluger, Davis & Joynton, LLP\n\nDavid F. Lupton\n\nPresident, Angelo Glass & Mirror\n\nCompany, Inc.\n\nKenneth T. Murphy\n\nFirst Financial Bankshares, Inc.\n\nBill Pfluger\n\nRancher\n\nRichard W. Salmon Investments\n\n\n\nJohn E. Schwartz, Sr. Farmer/Rancher\n\nF.L. (Steve) Stephens Retired Chairman and Chief Executive Officer, Town & Country Food Stores, Inc.\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $303,124 | $299,808 |\n| Loans | 115,450 | 110,685 |\n| Deposits | 251,931 | 257,212 |\n| Equity | 30,634 | 27,986 |\n| Net Income | 4,917 | 4,167 |\n| Trust Assets | 144,047 | 129,471 |\n| Return on Average Assets | 1.70% | 1.46% |\n| Return on Average Equity | 16.48 | 15.13 |\n\nTom Green County Deposit Market Share\n\nSan Angelo\n\n2\n\n4\n\n%", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "- · Eastland National Bank, Eastland, Texas;\n - · Stephenville Bank and Trust Co., Stephenville, Texas;\n - · First Financial Bank, National Association, Cleburne, Texas;\n - · San Angelo National Bank, San Angelo, Texas;\n - · First Financial Bank, National Association, Southlake, Texas; and\n - · Weatherford National Bank, Weatherford, Texas;\n - · City National Bank, Mineral Wells, Texas.\n\nAs described in more detail below, we elected to be treated as a financial holding company in September 2001.\n\nOur service centers are located primarily in North Central and West Texas. Considering the branches and locations of all our subsidiary banks, as of December 31, 2002, we had 28 financial centers across Texas, with seven locations in Abilene, two locations in Cleburne, two locations in Stephenville, two locations in San Angelo, three locations in Weatherford, and one location each in Mineral Wells, Hereford, Sweetwater, Eastland, Southlake, Aledo, Alvarado, Burleson, Keller, Trophy Club, Roby, and Trent.\n\nInformation on our revenues, profits and losses and total assets appears in the discussion of our Results of Operations contained in Item 7 hereof.\n\n## First Financial Bankshares, Inc.\n\nWe provide management and technical resources and policy direction to our subsidiary banks, which enables them to improve or expand their banking services while continuing their local activity and identity. Each of our subsidiary banks operates under the day-to-day management of its own board of directors and officers, with substantial authority in making decisions concerning their own investments, loan policies, interest rates, and service charges. We provide resources and policy direction in, among other things, the following areas:\n\n - · asset and liability management;\n - · accounting, budgeting, planning and insurance;\n - · capitalization; and\n - · regulatory compliance.\n\nIn particular, we assist our subsidiary banks with, among other things, decisions concerning major capital expenditures, employee fringe benefits, including pension plans and group insurance, dividend policies, and appointment of officers and directors and their compensation. We also perform, through corporate staff groups or by outsourcing to third parties, internal audits and loan reviews of our subsidiary banks. Through First National Bank of Abilene, we provide advice and specialized services for our banks related to lending, investing, purchasing, advertising, public relations, and computer services.\n\nWhile we have no specific acquisition agreements in place or commitments to expand our branch network, we periodically evaluate various potential financial institution acquisition opportunities and also periodically evaluate potential locations for new branch offices. We anticipate that funding for any acquisitions or expansions would be provided from our existing cash balances, available dividends from subsidiary banks, utilization of available lines of credit and future debt or equity offerings.\n\n## Services Offered by Our Subsidiary Banks\n\nEach of our subsidiary banks is a separate legal entity that operates under the day-to-day management of its own board of directors and officers. Each of our subsidiary banks provides general commercial banking services, which include accepting and holding checking, savings and time deposits, making loans, automated teller machines, drivein and night deposit services, safe deposit facilities, transmitting funds, and performing other customary commercial banking services. Certain of our subsidiary banks also administer pension plans, profit sharing plans and other employee benefit plans. First National Bank of Abilene, First National Bank, Sweetwater, Stephenville Bank and Trust Co. and San Angelo National Bank have active trust departments. The trust departments offer a complete", - "page_start": 29, - "page_end": 29, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "\n\n## First National Bank of Abilene\n\n## Main Office\n\n400 Pine Street Abilene, Texas 79601\n\nChartered 1890\n\n## Branches\n\n4400 Buffalo Gap Road\n\nAbilene, Texas 79606\n\n4350 Southwest Drive Abilene, Texas 79606\n\n920 N. Willis\n\nAbilene, Texas 79603\n\n3300 S. 14th Street\n\nAbilene, Texas 79605\n\n1010 N. Judge Ely Blvd.\n\nAbilene, Texas 79601\n\n701 Pine Street\n\nAbilene, Texas 79601\n\n1345 Barrow Street Abilene, Texas 79605\n\n## Senior Officers\n\nF. Scott Dueser\n\nChairman of the Board\n\nChuck A. Cowell\n\nPresident and Chief Executive Officer\n\nRon Fogle\n\nExecutive Vice President, Commercial Loans\n\nRobert S. Patterson\n\nExecutive Vice President and\n\nSenior Trust Officer\n\nJohn Prince\n\nExecutive Vice President, Personal Loans\n\nChuck A. Cowell President and Chief Executive Officer\n\n\n\nMario A. Luppino\n\nExecutive Vice President, Marketing and Retail\n\nGary Tucker, CDP\n\nExecutive Vice President and Chief Information Officer\n\nLeo Dennis\n\nExecutive Vice President, Chief Financial Officer and Cashier\n\n## Directors\n\nChuck A. Cowell\n\nPresident and Chief Executive Officer\n\nJ. Michael Alexander\n\nPresident, James M. Alexander & Co.\n\nTucker S. Bridwell\n\nPresident and Chief Executive Officer, Mansefeldt Investments, Inc.\n\nJoseph E. Canon\n\nExecutive Director, Dodge Jones Foundation\n\nDavid Copeland\n\nPresident, Shelton Family Foundation\n\nJoe Crawford\n\nPresident, Abilene Aero, Inc.\n\nF. Scott Dueser\n\nFirst Financial Bankshares, Inc.\n\nCharles Ezzell\n\nInvestments\n\nAllan D. Frizzell\n\nExecutive Vice President,\n\nEnrich Oil Corporation\n\nRaymond A. McDaniel, Jr. Investments\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $705,468 | $670,959 |\n| Loans | 353,564 | 344,341 |\n| Deposits | 624,262 | 598,310 |\n| Equity | 68,670 | 63,276 |\n| Net Income | 14,277 | 13,051 |\n| Trust Assets | 740,745 | 722,504 |\n| Return on Average Assets | 2.12% | 1.98% |\n| Return on Average Equity | 21.05 | 20.19 |\n\nTaylor County Deposit Market Share\n\n## Abilene\n\n\n\n\n\n6\n\nBynum Miers\n\nRancher\n\nWilliam D. Minter\n\nVice President, CameraMouse\n\nStanley Morris, Jr. Investments\n\nKenneth T. Murphy First Financial Bankshares, Inc.\n\nJames Parker\n\nPresident, Parker Properties, Inc.\n\nJack D. Ramsey, M.D. Physician\n\nDian Graves Stai Investments\n\nMichael C. Waters, F.A.C.H.E.\n\nPresident, Hendrick Health System\n\n## Advisory\n\nBob J. Surovik McMahon, Surovik, Suttle, Buhrmann, Hicks and Gill, P.C.\n\nSteve Suttle\n\nMcMahon, Surovik, Suttle, Buhrmann, Hicks and Gill, P.C.", - "page_start": 15, - "page_end": 15, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "| First National Bank of Abilene | $ 61,895,000 | 9% | ≥ $ 19,728,000 | ≥ 3% | ≥ | $ 32,880,000 | ≥ 5% | |\n| San Angelo National Bank | $ 26,672,000 | 9% | ≥ $ 8,800,000 | ≥ 3% | ≥ | $ 14,667,000 | ≥ 5% | |\n| Weatherford National Bank | $ 18,019,000 | 9% | ≥ $ 5,788,000 | ≥ 3% | ≥ | $ 9,647,000 | ≥ 5% | |", - "page_start": 88, - "page_end": 88, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## First Financial Bank, National Association, Cleburne\n\n## Main Office\n\n403 N. Main Cleburne, Texas 76033 Chartered 1927\n\n## Branches\n\n200 N. Ridgeway Cleburne, Texas 76033\n\n1900 S.W. Wilshire Burleson, Texas 76028\n\n201 E. Highway 67 Alvarado, Texas 76009\n\n## Senior Officers\n\nRonald E. Schneider Chief Executive Officer\n\nChairman of the Board, President and\n\nPerry Ginn\n\nRonald E. Schneider Chief Executive Officer\n\nChairman of the Board, President and\n\nPerry Ginn\n\nExecutive Vice President\n\nHomer S. Pittman, Jr.\n\nSenior Vice President and Cashier\n\nCraig Beskow\n\nSenior Vice President\n\nDerek Schmidt\n\nSenior Vice President\n\n## Directors\n\nRonald E. Schneider Chairman of the Board, President and Chief Executive Officer\n\nAlbert A. Archer\n\nChairman of the Board, Walls Industries, Inc.\n\nGary Bennett\n\nBennett Printing & Office Supply\n\nRobert T. Childress\n\nInvestments\n\nF. Scott Dueser\n\n\n\nFirst Financial Bankshares, Inc.\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $205,591 | $209,159 |\n| Loans | 106,755 | 108,607 |\n| Deposits | 182,715 | 189,597 |\n| Equity | 20,364 | 18,040 |\n| Net Income | 3,451 | 3,120 |\n| Return on Average Assets | 1.72% | 1.62% |\n| Return on Average Equity | 17.66 | 17.08 |\n\nJohnson County Deposit Market Share\n\nCleburne\n\n\n\n2\n\n\n\nRonald E. Schneider Chairman of the Board, President and Chief Executive Officer", - "page_start": 16, - "page_end": 16, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## City National Bank, Mineral Wells\n\n## Office\n\n1800 E. Hubbard Mineral Wells, Texas 76068\n\nChartered 1925\n\n## Senior Officers\n\nKen A. Williamson Chairman of the Board, President and Chief Executive Officer\n\nBrad Seay\n\nExecutive Vice President, Lending\n\nEddie Gregory\n\nVice President\n\nKay Hudspeth Cashier\n\nMike Mearse Vice President\n\n\n\nKen A. Williamson Chairman of the Board, President and Chief Executive Officer\n\n## Directors\n\nKen A. Williamson\n\nChairman of the Board, President and Chief Executive Officer\n\nF. Scott Dueser\n\nFirst Financial Bankshares, Inc.\n\nTerry L. Murphy President and Chief Executive Officer, Murphy and Murphy, Inc.\n\nDon O'Neal\n\nDon O'Neal Distributing Company, Inc., O'Neal Enterprises, Inc.\n\nDavid Ramsey, M.D.\n\nFamily Practice Center\n\n\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $93,969 | $91,252 |\n| Loans | 51,224 | 48,838 |\n| Deposits | 84,043 | 82,339 |\n| Equity | 9,538 | 8,433 |\n| Net Income | 1,659 | 574 |\n| Return on Average Assets | 1.79% | 1.25% |\n| Return on Average Equity | 18.02 | 13.22 |\n\nPalo Pinto County Deposit Market Share\n\nMineral Wells\n\n2\n\n6\n\n%", - "page_start": 19, - "page_end": 19, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## Stephenville Bank & Trust Co.\n\n## Main Office\n\n2201 W. South Loop Stephenville, Texas 76401 Chartered 1923\n\n## Branches\n\n1875 Lingleville Road Stephenville, Texas 76401\n\n199 N. Columbia Stephenville, Texas 76401\n\n## Senior Officers\n\nRon Butler\n\nPresident and Chief Executive Officer\n\nPerry D. Elliott\n\nVice Chairman\n\nKen Luker\n\nExecutive Vice President\n\nMonty Bedwell\n\nSenior Vice President\n\nDereece Howell\n\nSenior Vice President and Cashier\n\nRon Butler President and Chief Executive Officer\n\n\n\nTerry McCoy\n\nSenior Vice President\n\nRobert Reeves Senior Vice President\n\n## Directors\n\nJames C. Terrell, Jr., M.D. Chairman of the Board\n\n\n\nPerry D. Elliott Vice Chairman\n\nRon Butler\n\nPresident and Chief Executive Officer\n\nWilliam L. Corbin\n\nInvestments\n\nF. Scott Dueser\n\nFirst Financial Bankshares, Inc.\n\nCharles P. Gillespie, Jr. Engineer\n\nCurtis R. Harvey\n\nFirst Financial Bankshares, Inc.\n\nWilliam H. Oxford Attorney\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $138,260 | $130,186 |\n| Loans | 75,454 | 71,367 |\n| Deposits | 125,226 | 118,903 |\n| Equity | 12,755 | 10,954 |\n| Net Income | 2,313 | 2,151 |\n| Trust Assets | 36,578 | 40,859 |\n| Return on Average Assets | 1.75% | 1.79% |\n| Return on Average Equity | 19.06 | 19.88 |\n\nStephenville 3 1 % Erath County Deposit Market Share\n\nBill Parham Parham & Parham, CPAs\n\nJerry Parham Investments\n\nJack Parks\n\nFarmer\n\nRonald E. Schneider First Financial Bank, Cleburne\n\nFrank Terrell, M.D. Ophthalmologist\n\nJohn Terrill Attorney\n\n## Advisory\n\nW.L. Nix Investments", - "page_start": 22, - "page_end": 22, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## First Financial Bank, National Association, Southlake\n\n## Main Office\n\n3205 E. Highway 114 Southlake, Texas 76092 Chartered 1985\n\n## Branches\n\n95 Trophy Club Drive Tr ophy Club, Texas 76262 891 E. Keller Parkway Suite 100 Keller, Texas 76248\n\nMark L. Jones President and Chief Executive Officer\n\n\n\n## Senior Officers\n\nPerry D. Elliott\n\nChairman of the Board\n\nMark L. Jones\n\nPresident and Chief Executive Officer\n\nF. Mills Shallene Senior Vice President\n\nJ. Sean Shope\n\nSenior Vice President\n\nMichele P. Stevens\n\nSenior Vice President and Cashier\n\n## Directors\n\nPerry D. Elliott Chairman of the Board\n\nJames E. Burger\n\nJack Dortch Jack Dortch Insurance Agency\n\nF. Scott Dueser First Financial Bankshares, Inc.\n\nDerrell Johnson\n\nPresident, American Council of Engineering Companies Life Health Trust\n\nMark L. Jones\n\nPresident and Chief Executive Officer\n\nK. Wayne Lee\n\nPresident, DDFW Properties\n\nRobert S. Mundlin\n\nOwner, Lifetime Benefits Insurance\n\nJim Ridenour President, Sunbelt Station Service\n\nBurger Construction\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $67,750 | $65,554 |\n| Loans | 45,132 | 42,366 |\n| Deposits | 61,532 | 59,672 |\n| Equity | 6,295 | 5,845 |\n| Net Income | 412 | 652 |\n| Return on Average Assets | 0.62% | 1.07% |\n| Return on Average Equity | 6.74 | 10.97 |\n\nCities of Southlake, Keller and Roanoke Deposit Market Share\n\n\n\n## Southlake\n\n\n\n9", - "page_start": 21, - "page_end": 21, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Assets managed by the Trust Departments at First National Bank of Abilene, San Angelo National Bank, Stephenville Bank & Trust Co. and First National Bank, Sweetwater, increased $27.3 million during the past year to a December 31, 2002 book value of $986.2 million. However, due to depressed stock market values and volumes, trust department revenue declined in 2002. Trust combined revenues for the year were down slightly from $5.89 million in 2001 to $5.83 million for 2002. In 2003, we anticipate a return to improved income growth.\n\nThe performance of the stock market the past three years has been a challenge that our trust investment professionals have managed well. Not since 1939-1941 have we seen the S&P 500 drop 35% in a three-year period. Our portfolio managers outperformed their indices in Large Cap stocks by 83 basis points and Fixed Income securities by 168 basis points. This performance bodes well for the present and future of our client accounts.\n\nDuring 2002, we saw a successful conversion of Stephenville Bank & Trust to the SEI Corporation accounting system. In March 2003, we will be converting First National Bank, Sweetwater, to this system as well. This will provide all First Financial Bankshares trust clients with the strength and advantages of a uniform accounting system. Other operational systems have been examined and consistent practices and procedures have been implemented.\n\nTo further enhance our risk management assessments in 2003, we will be introducing an Operational Peer Review Team similar to the successful peer review teams used in the Personal Trust areas of our four locations.\n\nRobert S. Patterson First National Bank of Abilene\n\nPerry Elliott Stephenville Bank & Trust Co.\n\n\n\n\n\nJanis McDowell First National Bank, Sweetwater\n\n\n\nPlans for the formation of a First Financial Bankshares trust company are moving forward with regulatory approval anticipated in late Spring or early Summer. This will permit your Company to provide quality, locally delivered trust services to additional markets.\n\nWith skilled trust professionals offering a complete range of financial products and services, the future of our trust departments look bright. Through dedication to individualized portfolio design and personalized service, our trust departments stand ready to meet the needs of our present and future clients.\n\n\n\nSenior Vice President, Trust Services\n\n## TRUST ASSETS in millions\n\n\n\n\n\nDavid Byrd San Angelo National Bank\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## First National Bank, Sweetwater\n\n## Main Office\n\n201 Elm Street Sweetwater, Texas 79556 Chartered 1948\n\n## Branches\n\n123 N. Concho\n\nRoby, Texas 79543 117 N. Main Trent, Texas 79561\n\n## Senior Officers\n\nJ.V. Martin\n\nChairman of the Board, President and Chief Executive Officer\n\nKirby Andrews\n\nSenior Vice President, Lending\n\nJ.V. Martin Chairman of the Board, President and Chief Executive Officer\n\n\n\n\n\nRodney Foster\n\nSenior Vice President, Lending\n\nJanis McDowell\n\nSenior Vice President, Trust Officer\n\nDonnie Ruppert\n\nSenior Vice President and Controller\n\n## Directors\n\nJ.V. Martin\n\nChairman of the Board, President and Chief Executive Officer\n\nGlenn D. Bennett Bennett & Associates\n\nLouis Brooks, Jr.\n\nRanching, Brooks-Maberry, Inc.\n\n| IN THOUSANDS | December 31, 2002 | December 31, 2001 |\n|--------------------------|---------------------|---------------------|\n| Assets | $112,079 | $104,968 |\n| Loans | 49,487 | 46,666 |\n| Deposits | 100,306 | 90,100 |\n| Equity | 11,114 | 10,204 |\n| Net Income | 2,078 | 1,605 |\n| Trust Assets | 64,854 | 66,118 |\n| Return on Average Assets | 1.99% | 1.53% |\n| Return on Average Equity | 19.15 | 15.82 |\n\nNolan and Fisher Counties Deposit Market Share\n\n\n\n\n\n8", - "page_start": 23, - "page_end": 23, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What kind of scholarship programs are available to start a financial career?", - "target_page": 1, - "target_passage": "Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nHome / Money / 3 Great Resources to Kick-Start Your Financial Planning Career\n\n\n\nMONEY\n\n## 3 Great Resources to Kick-Start Your Financial Planning Career\n\n11/23/2022\n\n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should be a top contender, whether you are just starting out or looking to make a career change. But once you have decided that financial planning is the field for you, how do you get started? Here are three resources that can help you launch a successful financial planning career.\n\n- 1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide introduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry points and career tracks, explores the types of companies that hire financial planners and provides information on how to find financial planning career opportunities. It also includes resources such as a list of recommended questions to ask in a job interview.\n- 2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional journey. Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning, which administers 16 scholarship programs that help pay for the education and exam requirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer scholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and credentials such as CFP® certification -- some of which may be required to advance within the company.\n- 3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective employers. CFP Board's spring and fall career fairs are some of the most popular hiring events in the profession, with dozens of firms participating in these online exhibitions. Job seekers can visit employers' virtual exhibit booths and view open jobs and internships, apply for open positions and interact with employers through one-on-one video meetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship opportunities in financial planning, as well as a collection of articles providing career guidance.\n\nOther top resources include career offices at your college or university, financial services companies' career websites and professional organizations that may have a local chapter near you.\n\nMaking the most of these resources will not only help you find a financial planning job, but also support your growth and development as a future financial planning professional. To learn more about CFP® certification, visit the CFP Board website.\n\nArticle Link\n\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, marketing, business administration, computer science and information technology. In addition, scholars will take part in a Chesapeake Presidential Leadership Course facilitated by faculty members in coordination with designated Chesapeake leadership coaches, including a Chesapeake senior vice president and OCU alumni.\n\nIn 2007 Chesapeake launched a scholarship program in Texas with an initial $1.25 million contribution, challenging the cities of Fort Worth and Dallas to match its gift within a year. The cities responded and matched the gift, so Chesapeake in 2008 added another $1.25 million to the fund, bringing the total to $3.75 million. The Chesapeake Scholarship Fund currently funds the cost of higher education for 48 minority students. The fund provides each student $20,000 a year for up to four years at the school of their choice. To date more than $1.0 million has been distributed to deserving local students.\n\nTo help ensure the training of qualified geologists, engineers, landmen and energy lawyers in the next generation, we award scholarships to students pursuing energy-related degrees. We also help mentor them through Chesapeake's Peak Program. Junior- and senior-level scholarship recipients are paired with Chesapeake employee mentors who help develop students' knowledge and provide career advice. There are currently 25 mentors and 40 scholarship recipients participating in the Peak Program.\n\nOur recruiting team also initiated a strategic military recruitment effort during the past two years to hire former military personnel to work in a variety of leadership and crew positions. This effort earned Chesapeake an honor from G.I. JOBS magazine when we were named a 2011 Top 100 Military-Friendly Employer. Chesapeake currently employs 37 men and women who formerly served as junior military officers and more than 100 former servicemen and servicewomen who joined the company through a program called Troops 2 Roughnecks.\n\nIn addition to our specific scholarship programs, one-time educational donations and recruitment efforts, in 2010 we gave more than $1.8 million to fund higher education for nearly 400 other students in 12 states through our Chesapeake Scholars program. Chesapeake's scholarships help recruit the best and brightest students and provide educational opportunities in communities where we operate. In Oklahoma City, more than 400 employees volunteer for up to an hour a week on company time at four local public schools. Chesapeake's program has grown to become the largest corporate mentoring program in Oklahoma.\n\n## Community Impact\n\nChesapeake employees have been enriching their hometowns as volunteers for many years. We formalized those efforts in 2009 by establishing an official employee volunteer program, the H.E.L.P. (Helping Energize Local Progress) Initiative, wherein employees are invited to volunteer each month for a variety of organizations from food pantries to animal shelters. Through that program, employees donated more than 26,000 hours to their communities in 2009.\n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a higher level through the launch of Operation Blue. From Memorial Day through Labor Day, each employee was given four hours of company time to complete the volunteer project of their choice. Our employees eagerly accepted the challenge, and in three months more than 4,900 employees donated 30,900 hours of service to 519 organizations in more than 96 communities across the country. Operation Blue is now an annual\n\nvolunteer program in which employees roll up their sleeves in the communities they call home.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## FINANCIAL SECTION", - "page_start": 69, - "page_end": 69, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\n\n\n\n\nJun 26, 2023\n\nFlexibility is Key to a Thriving Retirement\n\n\n\nDec 07, 2022\n\nPlanning for Winter Expenses Pays Off\n\nFASHION\n\nBUSINESS\n\nINFOGRAPHIC\n\nENVIRONMENT\n\nHEALTH\n\nMONEY\n\nFOOD\n\nTRAVEL\n\nBRIDAL\n\nRECREATION\n\nTECHNOLOGY\n\nHOME\n\nEDUCATION\n\nARTS & ENTERTAINMENT\n\nAUTO\n\nCHILDREN\n\nFITNESS\n\nHOLIDAY\n\nINSURANCE\n\nLAWN & GARDEN\n\nLISTICLE\n\nNUTRITION\n\nPARENTING\n\n## CATEGORIES\n\nHow Financial Planners Can Feb 23, 2023\n\nAdvance Equality\n\nOct 31, 2022\n\n4 Tax-Smart Strategies for Your Charitable Giving\n\nJan 12, 2023\n\nSpending and Saving Strategies for 2023\n\n\n\nOct 27, 2022\n\nHow to Find a Financial Planner", - "page_start": 1, - "page_end": 1, - "source_file": "news3.pdf" - }, - { - "text": "## Financial Information", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_HIG_2001.pdf" - }, - { - "text": "## Financial Information", - "page_start": 55, - "page_end": 55, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## SALES FINANCE\n\n## Providing Profit and Supporting Sales\n\nNAOTOMO UCHIMURA President Nissan Financial Services\n\n\n\n'Sales finance is a core business in the auto world. Automotive financing supports car sales and provides additional income, which translates into increased profit for the Group. All Nissan finance companies operate under strict risk management control policies and must balance the drive for profit with active sales support.\n\nIn Japan, about fifty percent of customers use cash when buying a car. Corporate sales account for another 20 percent of the total, while the remaining 30 percent of customers use automotive financing. Therefore, we focus on capturing that 30 percent market, in addition to penetrating the cash customer segment. Nissan Financial Services, or NFS, has the highest level of market penetration in Japan, and our centralized customer center gives us a clear advantage over other finance companies.\n\nA sales finance company is exposed to various forms of risk. One risk is interest rate fluctuation. NFS mitigates this risk by matching interest as much as possible. Almost seventy percent of our portfolio is on a match-funding basis. Another risk is credit risk. Fortunately, our portfolio is improving. The economy is getting better, and we've had success with a low-interest, 2.9 percent APR program. Because this is a competitive rate, it has attracted customers with good credit ratings who otherwise would have opted for bank financing.\n\nWe have also improved our scoring system for credit analysis. We have a new system that can automatically process 60 percent of all credit applications. Turnaround time for the credit decision used to take three to four hours, but with continuous improvement of our system it takes just 14 minutes. If the dealer submits the data online, turnaround is reduced to four minutes. This has really increased customer satisfaction. In addition, having a centralized system ensures that our credit standards are consistently applied.\n\nThe above improvements have reduced our loss ratio to below 0.3 percent. More importantly, 95 percent of applicants are approved for financing. The challenge is to reduce the loss ratio and rejection rate at the same time. We want to support sales by providing financing, and keep the loss ratio low.\n\nIn the past, NFS depended on the parent company for funding. Since Nissan and NFS had their financial ratings upgraded, we issued our first public bond in September 2003. We have also issued commercial paper and diversified our funding sources. As a result, our reliance on the parent company for funding has been reduced to almost zero.\n\nSales finance became actively involved in sales support during NISSAN 180. We have always been a source of profit, but now we are aiming to enhance the value chain as well. We have the largest number of business lines of any finance company, including credit loans, corporate and private leasing, car rentals, credit cards, insurance, maintenance and much more. Because we have more touch points with the customer, we have a great opportunity to easily cross-sell our products. Nissan is allocating more resources to light commercial vehicles, which is a perfect platform for us as well. And two years ago we created a fleet division with Nissan that provides both vehicles and a full range of services including total outsourcing of fleet management.\n\nThe Alliance with Renault has played a central role in our development over the past few years.", - "page_start": 29, - "page_end": 29, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\nFirst Financial Bankshares customers and shareholders also know a thing or two about Value and Values - and we learn from them every day. We're proud to share in their success. Here are just a few of their stories.\n\nGeorge Marti believes in doing things. Good things.\n\nBorn to humble roots on his parents' farm in 1920, Marti has accomplished much, including founding three radio stations (and investing in 10 more) and developing a remote pickup device that became standard equipment in 80 percent of all radio stations worldwide. He still has part ownership of KCLE in Cleburne, Texas (the town where he was once mayor for 12 years).\n\nMarti's dedication to his hometown is part of the reason why he bought Cleburne State Bank in 1992. His business skills (and success in the broadcasting industry) gave him the resources to turn the bank into yet another winning venture. Five years later, he sold it to First Financial, which merged it with their existing First Financial Bank, Cleburne.\n\nThe proceeds from the sale helped Marti complete the funding for his proudest achievement: the Marti Foundation, which he created in the 1970s to help send students from Johnson County to college. 'We help over 100 students a year … most are the first from their family ever to attend college,' says Marti. 'I know what education did for me, so it's a great thing to help these young people.' Marti says that when he dies, the Foundation will live on, $20 million strong.\n\nMarti still serves on the board of First Financial Bank, Cleburne. 'First Financial's merger of the banks was positive for the community. They have a good customer base. They are friendly, helpful and creative. They are growing, and the branches in Alvarado and Burleson are both doing well. Those are all good things.'\n\n## 'They are friendly, helpful and creative.\n\nThose are all good things.'\n\nGeorge Marti Founder Marti Enterprises Cleburne, Texas\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Choice of vesting patterns. Under SFAS 123(R), awards with graded vesting, as all of our awards have, may be expensed in one of two time patterns: 1) On a straightline basis over the complete vesting period (as though the entire award was one grant); or 2) On an accelerated basis, treating each vesting layer as a separate grant and amortizing each layer on a straight-line basis. For disclosure purposes under SFAS 123, we used the accelerated basis. We have preliminarily concluded that we will use the straight-line method for future grants under SFAS 123(R). As discussed below under transition methods, such policy will only apply to future grants. Expense recognized under SFAS 123(R) for previously granted options will be recorded on the accelerated basis.\n\nEstimating forfeitures. Under SFAS 123, we could choose whether to estimate forfeitures at the grant date or recognize actual forfeitures as they occur. Under SFAS 123(R), we must estimate forfeitures as of the grant date.\n\n## Presentation of excess tax benefits in the statement of cash flows. Under SFAS\n\n123(R), the excess of tax benefits realized from the exercise of employee stock options over the tax benefit associated with the financial reporting expense is shown as a financing cash inflow in the statement of cash flows. Previously, these excess benefits were shown as an operating cash inflow.\n\nTransition alternatives. There are two allowable transition alternatives - the modifiedprospective transition or the modified-retrospective transition. Under the modifiedprospective transition, we would begin applying the valuation and other criteria to stock options granted beginning July 1, 2005. We would begin recognizing expense for the unvested portion of previously issued grants at the same time, based on the valuation and attribution methods originally used to calculate the disclosures. Under the modified-retrospective transition, we would restate prior periods to reflect the previously calculated amounts in the pro forma disclosures as actual expenses of the prior period (with no change in valuation or attribution methods). Future accounting would\n\nbe the same as under the modified-prospective transition. We would also restate the statement of cash flows for the change in classification of excess tax benefits. In addition, we would be required under the modified-retrospective transition method to estimate forfeitures for options outstanding as of July 1, 2005 and recognize a cumulative effect of change in accounting principle to reverse such previously recognized compensation. We have not yet determined which transition method we will apply.\n\nDisclosures. There are additional disclosure requirements under SFAS 123(R), which will not have a material impact on us.\n\nThe impact of adopting SFAS 123(R) on our operating results will depend in part on the amount of stock options or other share-based payments we grant in the future. The following table shows compensation expense related to options granted through December 31, 2004, based on the options' vesting schedules:\n\n| | (In thousands) |\n|-------------------------------------------------------------------------|------------------|\n| 2002 (Actual, included in our pro forma disclosures) | $47,761 |\n| 2003 (Actual, included in our pro forma disclosures) | 43,310 |\n| 2004 (Actual, included in our pro forma disclosures) | 22,963 |\n| 2005, through June 30 (Estimated, for pro forma disclosures) | 10,299 |\n| 2005, July 1 through December 31 (Estimated, to be recorded as expense) | 10,032 |\n\nWe do not believe the adoption of SFAS 123(R) will have a material impact on our cash flows or financial position.\n\n## Market Risk", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "range of services to individuals, associations, and corporations. These services include administering estates, testamentary trusts, various types of living trusts, and agency accounts. In addition, First National Bank of Abilene, First Financial Bank, Cleburne, San Angelo National Bank and First Financial Bank, National Association, Southlake, Texas provide securities brokerage services through arrangements with various third parties.\n\nWe have filed an application with the office of the Comptroller of the Currency to form a limited purpose national bank under which we will consolidate the management of our current trust departments. The new entity will operate as a subsidiary of our subsidiary holding company, First Financial Bankshares of Delaware, Inc. We believe that with this structure we can more effectively manage our current trust operations and provide trust services to customers of our banks that do not currently have trust departments. We anticipate that the new trust company will begin operations in the latter part of 2003.\n\n## Competition\n\nCommercial banking in Texas is highly competitive, and because we hold less than 1% of the state's deposits, we represent only a minor segment of the industry. To succeed in this industry, our management believes that our banks must have the capability to compete in the areas of (1) interest rates paid or charged; (2) scope of services offered; and (3) prices charged for such services. Our subsidiary banks compete in their respective service areas against highly competitive banks, thrifts, savings and loan associations, small loan companies, credit unions, mortgage companies, and brokerage firms, all of which are engaged in providing financial products and services and some of which are larger than our subsidiary banks in terms of capital, resources and personnel.\n\nOur business does not depend on any single customer or any few customers, the loss of any one of which would have a materially adverse effect upon our business. Although we have a broad base of customers that are not related to us, our customers also occasionally include our officers and directors, as well as other entities with which we are affiliated. With our subsidiary banks we may make loans to officers and directors, and entities with which we are affiliated, in the ordinary course of business. We make these loans on substantially the same terms, including interest rates and collateral, as those prevailing at the time for comparable transactions with other persons. Loans to directors, officers and their affiliates are also subject to numerous restrictions under federal and state banking laws which we describe in greater detail below.\n\n## Employees\n\nWith our subsidiary banks we employed approximately 750 full-time equivalent employees at February 1, 2003. Our management believes that our employee relations have been and will continue to be good.\n\n## Supervision and Regulation\n\nBoth federal and state laws extensively regulate bank holding companies, financial holding companies and banks. These laws (and the regulations promulgated thereunder) are primarily intended to protect depositors and the deposit insurance fund of the Federal Deposit Insurance Corporation, or FDIC, although shareholders may also benefit. The following information describes particular laws and regulatory provisions relating to financial holding companies and banks. This discussion is qualified in its entirety by reference to the particular laws and regulatory provisions. A change in any of these laws or regulations may have a material effect on our business and the business of our subsidiary banks.\n\n## Bank Holding Companies and Financial Holding Companies", - "page_start": 30, - "page_end": 30, - "source_file": "NASDAQ_FFIN_2002.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "what are career fairs for?", - "target_page": 1, - "target_passage": " In-person and virtual career fairs provide valuable opportunities to connect with prospective employers.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nHome / Money / 3 Great Resources to Kick-Start Your Financial Planning Career\n\n\n\nMONEY\n\n## 3 Great Resources to Kick-Start Your Financial Planning Career\n\n11/23/2022\n\n(NewsUSA) - Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers. With those goals in mind, a career in financial planning should be a top contender, whether you are just starting out or looking to make a career change. But once you have decided that financial planning is the field for you, how do you get started? Here are three resources that can help you launch a successful financial planning career.\n\n- 1. Guide to Careers in Financial Planning. Based on interviews with leading financial services firms, this guide introduces you to the wide range of career opportunities in the financial planning profession. It identifies typical entry points and career tracks, explores the types of companies that hire financial planners and provides information on how to find financial planning career opportunities. It also includes resources such as a list of recommended questions to ask in a job interview.\n- 2. Scholarship Programs. Dozens of scholarship programs are available to support you on your professional journey. Some are offered directly through colleges and universities that have financial planning degree and certificate programs. Others are available through nonprofits and organizations like the CFP Board Center for Financial Planning, which administers 16 scholarship programs that help pay for the education and exam requirements to become a CERTIFIED FINANCIAL PLANNERTM professional. Financial services firms may offer scholarships or tuition reimbursements to employees to cover the costs of obtaining professional designations and credentials such as CFP® certification -- some of which may be required to advance within the company.\n- 3. Career Fairs. In-person and virtual career fairs provide valuable opportunities to connect with prospective employers. CFP Board's spring and fall career fairs are some of the most popular hiring events in the profession, with dozens of firms participating in these online exhibitions. Job seekers can visit employers' virtual exhibit booths and view open jobs and internships, apply for open positions and interact with employers through one-on-one video meetings and messaging. You can also visit the CFP Board Career Center to browse current job and internship opportunities in financial planning, as well as a collection of articles providing career guidance.\n\nOther top resources include career offices at your college or university, financial services companies' career websites and professional organizations that may have a local chapter near you.\n\nMaking the most of these resources will not only help you find a financial planning job, but also support your growth and development as a future financial planning professional. To learn more about CFP® certification, visit the CFP Board website.\n\nArticle Link\n\nhttps://about.newsusa.com/3-great-resources-to-kick-start-your-financial-planni…", - "page_start": 0, - "page_end": 0, - "source_file": "news3.pdf" - }, - { - "text": "When we think about our careers, and what we need to do to establish them, we often forget about the need to develop an essential skill: communication. If you start reading through the job descriptions in a industry, you will find that the vast majority of jobs require one or more of the following:\n\n - · Effective communication skills\n - · Interpersonal skills\n - · Ability to work in a team\n - · Negotiation skills\n - · Conflict resolution skills\n - · Report writing skills\n\nWhat all of these skills have in common is that they involve the use of language to achieve a particular purpose. And for this reason, having good language skills is essential in any working environment.\n\n## In a career context, good language skills can also:\n\n - · Affect your credibility. Poor grammar indicates to a prospective employer that you are sloppy, while flawless grammar indicates that you pay attention to detail.\n - · Improve your relationships with your co- workers. If you are able to express yourself clearly, you can eliminate the confusion and misunderstanding that often leads to conflict.\n - · Increase your chances of being promoted.\n - · Help you to create a good impression.\n - · Improve your ability to persuade others (which is a valuable skill in the working world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Events are useful during troubleshooting. You can get high-level information about failures and issues in the cluster, and then proceed to investigate by using log files and other oc subcommands.", - "page_start": 167, - "page_end": 167, - "source_file": "sg248459.pdf" - }, - { - "text": "## Environmental Activities\n\n - Committed to supporting environmental businesses, a CSR priority, through our core businesses\n\n## A new venue for confabs: SMFG Environmental Business Forum at Eco-Products\n\n## The eco japan cup: 'A Contest for Unearthing and Growing Seeds of New Businesses'\n\nThe Eco-Products exhibition, held each The Eco-Products exhibition, held each December, is one of Japan December, is one of Japan's largest envis largest environmental exhibitions. Under it, SMFG held ronmental exhibitions. Under it, SMFG held the SMFG Environmental Business Forum, the SMFG Environmental Business Forum, a unique event to which the whole SMFG a unique event to which the whole SMFG Group contributed. Group contributed.\n\nThe SMFG Environmental Business Forum The SMFG Environmental Business Forum enables encounters and information enables encounters and information exchange in the field of environmental exchange in the field of environmental business. SMFG and its Group companies business. SMFG and its Group companies provide various platforms, including business provide various platforms, including business matching events, stands and catalogue matching events, stands and catalogue exhibitions, and lectures and seminars, exhibitions, and lectures and seminars, with the aim of giving new business with the aim of giving new business opportunities to companies and other opportunities to companies and other organizations that are considering entering organizations that are considering entering the environmental business, expanding the environmental business, expanding their marketing channels within it, or just their marketing channels within it, or just gathering information. gathering information.\n\nEnvironmental business matching\n\n\n\nSMBC jointly organizes the 'eco japan cup,' an SMBC jointly organizes the 'eco japan cup,' an environmental business contest, together with environmental business contest, together with the Ministry of the Environment, the Ministry the Ministry of the Environment, the Ministry of Internal Affairs and of Internal Affairs and Communi Communications, cations, the Ministry of Land, Infrastructure,h e Ministr y of L and, Infrastructure, Tr ans Transport and Tourism, Development Bank of port and Tourism, Development Bank of Japan Inc. and Environmental Business Japan Inc. and Environmental Business Women. The competition has four major Women. The competition has four major categories - business, culture, lifestyle, and categories - business, culture, lifestyle, and policy-making. policy-making.\n\nIn eco japan cup 2010, the 'SMBC Eco-Banking In eco japan cup 2010, the 'SMBC Eco-Banking Office Prize' was launched in the cultural Office Prize' was launched in the cultural division. Entries were solicited on creating division. Entries were solicited on creating eco-friendly bank branches through envi eco-friendly bank branches through environment protection measures including ronment protection measures including advanced energy initiatives and reduction advanced energy initiatives and reduction of carbon dioxide. Some of the prize-winning of carbon dioxide. Some of the prize-winning proposals (for example, efficient use of proposals (for example, efficient use of timber from forest thinning) have been timber from forest thinning) have been adopted at environment-friendly model adopted at environment-friendly model branches that the bank is developing. branches that the bank is developing.\n\nEnvironment-friendly model branches\n\n\n\n\n\n\n\n\n\nEco-Products is one of Japan's largest comprehensive environmental exhibitions\n\n\n\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare earth product per expired card. earth product per expired card.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Example:\n\n'I have been offered an opportunity to work as an IT Manager abroad, and I have decided to accept the offer.'\n\n## 4.\n\n## A sentence or two in which you thank your employer for the opportunities you have been given during your time with the organisation.\n\n## Example:\n\n'I would like to thank you for the wonderful opportunities you have given me, both to develop my skills, and to work with such knowledgeable and inspiring people.'\n\n## 5.\n\n## An offer to help with the transition.\n\nOnly include this if you are sincere, and don't make any promises that you won't be able to keep. You could, for example, assure your employer that you will finish your current projects or hand them over to a colleague. You could also offer to train the person who will be replacing you.\n\n## Example:\n\n'During the next two weeks, I will do everything I can to ensure a smooth transition for the company. If required, I am more than willing to assist with the hiring and training of the new Assistant IT Manager.'\n\n## 6.\n\n## A suitable closing.\n\nIt is important to use a closing that is appropriate in the circumstances. If you have a good relationship with your employer, you may want to wish him/her well for the future, and provide contact details that he/she can use to get in touch with you once you have left the organisation. You can then end your letter with a greeting such as 'Kind regards,' followed by your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## HUMAN RESOURCES\n\n## Dynamism and Diversity\n\n'Once perceived as bureaucratic and slow to change, Human Resources changed dramatically during the NISSAN 180 period. Now, in fact, people occasionally say that we're changing too rapidly. That may be true, but a positive dynamism is emerging as a result, and Nissan is stronger because of it.\n\nThe impetus for many of the modifications comes from top management. Mr. Ghosn, for one, takes a direct and abiding interest in this area of operations. There is also a cross-functional team dedicated to organizational issues that recommends changes to HR policy. And because half the people on our HR staff come from other companies, many suggestions are coming from within as well. The latter is very unusual for a major Japanese company such as Nissan, and is a direct result of a new policy we call Mid-Career Scouting, which actively seeks talent from outside Nissan. All of these activities are indicative of the dynamism that is creating such diversity at the Company.\n\nThere is no doubt that diversity is a key theme in our HR evolution. We are currently focusing on three areas in particular: women in the workforce, Mid-Career Scouting, and embracing other cultures. We are working to provide more opportunities for our female employees (please see the Diversity feature on p. 57). Renault, which has a number of female executives-including many with families-has served as a great example for us. Unfortunately, that kind of work-home balance is still rare for women both inside and outside the executive ranks in Japan.\n\nThe second area mentioned, Mid-Career Scouting, is still an uncommon practice at Japanese companies. We have found great value, though, in the insights people who have experience in other corporate cultures bring to Nissan, and we are able to learn to take advantage of those insights.\n\nThe third area, embracing other cultures, became a more pressing consideration after the Alliance. Suddenly\n\nHITOSHI KAWAGUCHI Senior Vice President\n\n\n\nwe had many foreign executives working at Nissan headquarters, and the majority of communications were in English as well as Japanese. As a result, more employees, including non-management staff, are being assigned to work outside of Japan. In addition, proficiency in English is now a prerequisite for all managers at Nissan. These efforts to promote diversity are transforming our corporate culture.\n\nOne of the most interesting developments of NISSAN 180 was the advent of the Career Coach system, which we imported from our Alliance partner, Renault. In a modern business structure, HR is in charge of structural and system functions such as compensation. The Career Coach system provides career development for the individual employee. There are five career coaches at this time, one for each of the major functions. Their collective task is to identify people of high potential and create career plans for them. In a sense, they work outside of HR, although they report to me. The coaches gather once a month for the Nissan Assignment Committee, headed by Mr. Ghosn, to report on their activities.\n\nEmployees at Nissan also have the chance to control their career paths through our internal 'self-career' system on the Company's intranet. Managers can search for employees registered on the system for open positions they have and proactively post job vacancies on the openentry system portal. Although the open-entry system has a longer history, the self-career system began in early fiscal 2005 in Japan. We plan to expand both these programs on a global basis.\n\nNissan Management Institute\n\n", - "page_start": 57, - "page_end": 57, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## First Paragraph\n\nIntroduce yourself, and explain why you are writing the letter. If you are responding to a job advertisement, state which advertisement you are responding to, and indicate where you found it.\n\n## For example:\n\n'I would like to apply for the position of Graphic Designer, as advertised in the Career Times on 1 March 2015.'\n\nIf possible, mention a mutual contact or acquaintance.\n\n## For example:\n\n'Samantha Stevens mentioned that you are looking for an experienced Graphic Designer with a keen interest in the fashion industry.'\n\n## Second Paragraph\n\nMention your qualifications, skills and experience, and relate them to the needs of the company. Give relevant examples of how you have used your skills in the past to perform similar tasks and responsibilities to those set out in the job description.\n\n## Third Paragraph\n\nExplain why you want to work for this organisation in particular. Where relevant, explain any gaps in your CV. If you don't have the required academic qualifications, for example, you can explain how your practical work experience makes up for it.\n\n## Fourth paragraph\n\nMention any documents or attachments that you have included with your cover letter, and state your availability for an interview.\n\n## Close\n\nThank the recipient for taking the time to read your letter, and sign off with a professional greeting, such as 'Yours sincerely' or 'Kind regards', followed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Exhibit\n\nMethod of Filing", - "page_start": 83, - "page_end": 83, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "Displays all event types whether they are fixed or unfixed. For each entry that is selected, you can perform the following tasks:", - "page_start": 724, - "page_end": 724, - "source_file": "sg247938.pdf" - }, - { - "text": "PERFECT MATCH #1\n\n## THE FORTUNE 500 AND ALLSTEEL\n\nWhen we saw Get Set TM it was love at first sight. Then we got to know everything else you have to offer, and realized you're more than just a pretty face - you're a brand with a head for business and uplifting products that set the standard for functionality, durability, and style. Of course we know we Fortune 500 types are not the only ones in your life corporate, government, and institutional customers are excited about you, too, since you match everyone's workplace furniture and service needs with energy, confidence, and great customer relationships. That's ok, Allsteel; you're worth sharing.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_HNI_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "news3.pdf", - "query": "What are the priorities for job seekers ?", - "target_page": 1, - "target_passage": " Finding a rewarding career that offers growth potential, work-life balance and the satisfaction of helping others is a key priority for many job seekers.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## First Paragraph\n\nIntroduce yourself, and explain why you are writing the letter. If you are responding to a job advertisement, state which advertisement you are responding to, and indicate where you found it.\n\n## For example:\n\n'I would like to apply for the position of Graphic Designer, as advertised in the Career Times on 1 March 2015.'\n\nIf possible, mention a mutual contact or acquaintance.\n\n## For example:\n\n'Samantha Stevens mentioned that you are looking for an experienced Graphic Designer with a keen interest in the fashion industry.'\n\n## Second Paragraph\n\nMention your qualifications, skills and experience, and relate them to the needs of the company. Give relevant examples of how you have used your skills in the past to perform similar tasks and responsibilities to those set out in the job description.\n\n## Third Paragraph\n\nExplain why you want to work for this organisation in particular. Where relevant, explain any gaps in your CV. If you don't have the required academic qualifications, for example, you can explain how your practical work experience makes up for it.\n\n## Fourth paragraph\n\nMention any documents or attachments that you have included with your cover letter, and state your availability for an interview.\n\n## Close\n\nThank the recipient for taking the time to read your letter, and sign off with a professional greeting, such as 'Yours sincerely' or 'Kind regards', followed by your full name, telephone number and e-mail address.", - "page_start": 46, - "page_end": 46, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "Migration offers the following options:", - "page_start": 534, - "page_end": 534, - "source_file": "sg247938.pdf" - }, - { - "text": "When we think about our careers, and what we need to do to establish them, we often forget about the need to develop an essential skill: communication. If you start reading through the job descriptions in a industry, you will find that the vast majority of jobs require one or more of the following:\n\n - · Effective communication skills\n - · Interpersonal skills\n - · Ability to work in a team\n - · Negotiation skills\n - · Conflict resolution skills\n - · Report writing skills\n\nWhat all of these skills have in common is that they involve the use of language to achieve a particular purpose. And for this reason, having good language skills is essential in any working environment.\n\n## In a career context, good language skills can also:\n\n - · Affect your credibility. Poor grammar indicates to a prospective employer that you are sloppy, while flawless grammar indicates that you pay attention to detail.\n - · Improve your relationships with your co- workers. If you are able to express yourself clearly, you can eliminate the confusion and misunderstanding that often leads to conflict.\n - · Increase your chances of being promoted.\n - · Help you to create a good impression.\n - · Improve your ability to persuade others (which is a valuable skill in the working world).", - "page_start": 4, - "page_end": 4, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 2 - FILL IN YOUR STUDENT DETAILS\n\n\n\nTo complete this section, you need to provide us with your personal details:\n\n## E-mail address\n\nPlease provide a valid e-mail address that you check on a regular basis, as we'll be using this address to communicate with you throughout your studies.\n\n## Occupation\n\nRefers to your current job (if you are employed). If you are unemployed, you can simply write 'unemployed' or 'not applicable'.\n\n## Delivery address\n\nRefers to the address at which you want your study material to be delivered. The reason why we prefer you to select your work address is so that there will always be someone available to receive your study material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that makes it possible to use it on local issues, for the reasons and in the ways discussed in the next paragraph. For example, visualization techniques like those used by ABC News to show the effects of the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before and after the earthquake is to move a slider, should be routinely used to explain proposals about urban planning, zoning and related topics.\n\n## 4.6. Focus on local, specific issues to raise interest for Open Data\n\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens to use Open Data in their political, economic and professional decisions, one of the final recommendations of the Open Data, Open Society report confirms its importance and needs to be repeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of citizens that demand and use Open Data in the shortest possible time, to practice all the recommendations of this report at the local level ,\n\nMost people encounter their local governments much more often then their national ones. When working within a single city or region it is much easier to inform citizens, raise their interest and involve them, because they would be searching local solutions to improve local services and/or save local money. There may also be much more opportunities to do so, especially in this period of financial crisis that will see substantial decreases both in credit by financial institutions and in subsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" must be the keys for local activists and public employees working on local Open Data:\n\n - · work on specific issues and with precise objectives\n - · focus on immediate usefulness\n - · work on demand, on the services that people want. Required services define what data must be open, not the contrary\n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \"how do we get people to use the data that we publish?\" . The right question, instead, is \"what data do people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, or that what they need can be done more quickly and cheaply by releasing some information in that way.\n\nA great example of what all this means is the Great British Public Toilet Map: a public participation", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "Development Activities. We seek to identify opportunities to further our position as an integrated service provider in markets where we provide services for a portion of the waste stream. Where appropriate, we seek to obtain permits to build transfer stations and/or landÑlls that would provide", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## 4.3.4 Working life perspective - health\n\nThis EWCS 2015 question on the working life perspective ( 'Will you be able to do this or a similar job at 60 years of age?' ) gives quite a good hint to the individual long-term prospects, which might even be more valuable than the question on currently affected health because it is a personal assessment of the overall status of health.\n\nDifferences between countries are significant but not as significant as between other categories, for example, between sectors and occupations . The EU average of 'No' responses to the question 'Do you think you will be able to do your current job or a similar one until you are 60 years old?' is at 27%; the eight countries with the highest rates of 'No' responses (between 44% and 33%) are France, Slovenia, Poland, Slovakia, Croatia, Belgium, Malta and Bulgaria. Under 25% of 'No' responses were given in eight countries, starting from Portugal (16%) over Germany, Denmark, Ireland, Sweden, Italy, Estonia and Lithuania (24%). 263\n\nFigure 35: Opinion on work until the age of 60 - EWCS 2015\n\n\n\nYoung workers under 35 are much more sceptic than those over 50; 38% say that they will not be able, a much higher percentage than the 22% of workers aged over 50. The employment status is also very important; 26% of the permanently employed respond with a 'No' compared to 39% of those with 'Other arrangements'. Remarkably, only 19% of the self-employed do not believe that they will be able to do their job at 60 years.\n\nLarge differences can be seen between occupation levels. 37% per cent of the low-skilled manual workers respond with 'No', and 30% of the highly skilled manual workers respond 'No', as do 27% of the low-skilled clerical workers and only 21% of the high-skilled clerical workers, a 16% difference between high-skilled clerical workers and low-skilled manual workers. In some countries only 10% to 15% of the highly skilled clerical workers respond with 'No' while in a number of countries more than 50% of the low-skilled manual workers respond with 'No', for example, in Slovenia, Croatia, Slovakia and Czechia.\n\nThe authors of the Senior Working Life study describe these differences as follows: 264\n\n'For ISCO groups 1-4 (seated work) main expected reasons for retiring were freedom to choose and desire for more leisure time, but many would consider staying longer if there were better possibilities for additional senior days, longer vacations and flexible working hours. For ISCO groups 5-9 (physical work), poor physical health and not being capable of doing the job were common expected reasons for retiring, but many would consider staying longer if the work were less physically demanding and there were more senior days. Possibility for pension was a general expected reason for retiring. Expected reasons differed to a less extent between genders than between ISCO groups, e.g. economic factors were more important for men and high work demands more important for women.", - "page_start": 95, - "page_end": 95, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## Example:\n\n'I have been offered an opportunity to work as an IT Manager abroad, and I have decided to accept the offer.'\n\n## 4.\n\n## A sentence or two in which you thank your employer for the opportunities you have been given during your time with the organisation.\n\n## Example:\n\n'I would like to thank you for the wonderful opportunities you have given me, both to develop my skills, and to work with such knowledgeable and inspiring people.'\n\n## 5.\n\n## An offer to help with the transition.\n\nOnly include this if you are sincere, and don't make any promises that you won't be able to keep. You could, for example, assure your employer that you will finish your current projects or hand them over to a colleague. You could also offer to train the person who will be replacing you.\n\n## Example:\n\n'During the next two weeks, I will do everything I can to ensure a smooth transition for the company. If required, I am more than willing to assist with the hiring and training of the new Assistant IT Manager.'\n\n## 6.\n\n## A suitable closing.\n\nIt is important to use a closing that is appropriate in the circumstances. If you have a good relationship with your employer, you may want to wish him/her well for the future, and provide contact details that he/she can use to get in touch with you once you have left the organisation. You can then end your letter with a greeting such as 'Kind regards,' followed by your signature.", - "page_start": 49, - "page_end": 49, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## CHAPTER 10:\n\n## LANGUAGE SKILLS AT WORK HOW TO WRITE A COVER LETTER\n\n\n\nIf you've ever applied for a job, you'll know that writing the cover letter is the most difficult part of almost any job application. Your cover letter creates the first impression, and often determines whether an employer will even look at your CV.\n\nYou need to use this opportunity to introduce yourself and your skills, and to set yourself apart from all the other candidates. You can also use this opportunity to explain any gaps in your CV, and to motivate why you are the right person for the job.", - "page_start": 44, - "page_end": 44, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## HUMAN RESOURCES\n\n## Dynamism and Diversity\n\n'Once perceived as bureaucratic and slow to change, Human Resources changed dramatically during the NISSAN 180 period. Now, in fact, people occasionally say that we're changing too rapidly. That may be true, but a positive dynamism is emerging as a result, and Nissan is stronger because of it.\n\nThe impetus for many of the modifications comes from top management. Mr. Ghosn, for one, takes a direct and abiding interest in this area of operations. There is also a cross-functional team dedicated to organizational issues that recommends changes to HR policy. And because half the people on our HR staff come from other companies, many suggestions are coming from within as well. The latter is very unusual for a major Japanese company such as Nissan, and is a direct result of a new policy we call Mid-Career Scouting, which actively seeks talent from outside Nissan. All of these activities are indicative of the dynamism that is creating such diversity at the Company.\n\nThere is no doubt that diversity is a key theme in our HR evolution. We are currently focusing on three areas in particular: women in the workforce, Mid-Career Scouting, and embracing other cultures. We are working to provide more opportunities for our female employees (please see the Diversity feature on p. 57). Renault, which has a number of female executives-including many with families-has served as a great example for us. Unfortunately, that kind of work-home balance is still rare for women both inside and outside the executive ranks in Japan.\n\nThe second area mentioned, Mid-Career Scouting, is still an uncommon practice at Japanese companies. We have found great value, though, in the insights people who have experience in other corporate cultures bring to Nissan, and we are able to learn to take advantage of those insights.\n\nThe third area, embracing other cultures, became a more pressing consideration after the Alliance. Suddenly\n\nHITOSHI KAWAGUCHI Senior Vice President\n\n\n\nwe had many foreign executives working at Nissan headquarters, and the majority of communications were in English as well as Japanese. As a result, more employees, including non-management staff, are being assigned to work outside of Japan. In addition, proficiency in English is now a prerequisite for all managers at Nissan. These efforts to promote diversity are transforming our corporate culture.\n\nOne of the most interesting developments of NISSAN 180 was the advent of the Career Coach system, which we imported from our Alliance partner, Renault. In a modern business structure, HR is in charge of structural and system functions such as compensation. The Career Coach system provides career development for the individual employee. There are five career coaches at this time, one for each of the major functions. Their collective task is to identify people of high potential and create career plans for them. In a sense, they work outside of HR, although they report to me. The coaches gather once a month for the Nissan Assignment Committee, headed by Mr. Ghosn, to report on their activities.\n\nEmployees at Nissan also have the chance to control their career paths through our internal 'self-career' system on the Company's intranet. Managers can search for employees registered on the system for open positions they have and proactively post job vacancies on the openentry system portal. Although the open-entry system has a longer history, the self-career system began in early fiscal 2005 in Japan. We plan to expand both these programs on a global basis.\n\nNissan Management Institute\n\n", - "page_start": 57, - "page_end": 57, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What does ShareAlike mean in terms of licencing ?", - "target_page": 1, - "target_passage": "adaptations based on this work must be licensed under the same license.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "I am aware of the above [framework] [specific] contract, especially Articles [I.10 and II.13] concerning intellectual property rights and exploitation of the results and I confirm that I transferred all the relevant rights to [ insert name of contractor or other intermediary right holder ].\n\nI declare that [I have received full remuneration] [I agreed to receive remuneration by [ insert date ]].\n\n[As creator, I also confirm that I do not object to the following:\n\n - (a) that my name be mentioned or not mentioned when the results are presented to the public;\n - (b) that the results be divulged or not after they have been delivered in their final version to the contracting authority;\n - (c) that the results be adapted, provided that this is done in a manner which is not prejudicial to my honour or reputation.]\n\nDate, place, signature", - "page_start": 48, - "page_end": 48, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "## Share information\n\nShare issues", - "page_start": 46, - "page_end": 46, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## Who would get to use the books data commons? For what?\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n - · Defining and ensuring acceptable and ethical use: Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of 'gated access' are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside 'sticks' like legal penalties, this would be a 'carrot' that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, 'good behavior' would constitute a significant challenge.\n - · Charging for use to support sustainability of the training corpus itself: While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others). 40\n - · Ensuring benefits of AI are broadly shared, including with book authors or publishers: The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in 'winner takes all-or-most' markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Multiple Deliverable Arrangements\n\nWe offer some products and services as part of multiple deliverable arrangements. We record these as follows:\n\n - GLYPH<129> Divide the products and services into separate units of accounting, as long as the delivered elements have stand-alone value to customers and we can determine the fair value of any undelivered elements objectively and reliably.\n - GLYPH<129> Measure and allocate the arrangement consideration among the accounting units based on their relative fair values and recognize revenue when the relevant criteria are met for each unit.\n\n## Unearned Revenue\n\nWe record payments we receive in advance of providing goods and services as unearned revenue. Advance payments include subscriber deposits, cable installation fees and amounts subscribers pay for services and subscriptions that will be provided in future periods.\n\n## S tock-Based Compensation and Other S tock-Based Payments\n\n## Stock Option Plans\n\nCash-settled share appreciation rights (SARs) are attached to all stock options granted under our employee stock option plan. This feature allows the option holder to choose to receive a cash payment equal to the intrinsic value of the option (the amount by which the market price of the Class B Non-Voting share exceeds the exercise price of the option on the exercise date) instead of exercising the option to acquire Class B Non-Voting shares. We classify all outstanding stock options as liabilities and carry them at their fair value, determined using option valuation techniques that comply with IFRS 2, Share-based Payment. We remeasure the fair value of the liability each period and amortize it to operating costs using graded vesting, either over the four-year vesting period or to the date an employee is eligible to retire (whichever is shorter).\n\n## Restricted Share Unit (RSU) Plan\n\nWe record outstanding RSUs as liabilities, measuring the liabilities and compensation costs based on the award's fair value, and recording it as a charge to operating costs over the vesting period of the award. If the award's fair value changes after it has been granted and before the settlement date, we record the resulting changes in the liability as a charge to operating costs in the year that the change occurs. The payment amount is established as of the vesting date.\n\n## Deferred Share Unit (DSU) Plan\n\nWe record outstanding DSUs as liabilities, measuring the liabilities and compensation costs based on the award's fair value at the grant date. If the award's fair value changes after it has been granted and before the settlement date, we record the resulting changes in our liability as a charge to operating costs in the year that the change occurs. The payment amount is established as of the exercise date.\n\n## Employee Share Accumulation Plan", - "page_start": 99, - "page_end": 99, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- (i) where the results are or include logos or subject-matter which could be registered as a trademark: the right to register such logo or subject-matter as a trademark and to further exploit and use it;\n - (j) where the results are or include know-how: the right to use such know-how as is necessary to make use of the results to the full extent provided for by this FWC, and the right to make it available to contractors or subcontractors acting on behalf of the contracting authority, subject to their signing of adequate confidentiality undertakings where necessary;\n - (k) where the results are documents:\n - (i) the right to authorise the reuse of the documents in conformity with the Commission Decision of 12 December 2011 on the reuse of Commission documents (2011/833/EU), to the extent it is applicable and the documents fall within its scope and are not excluded by any of its provisions; for the sake of this provision, \"reuse\" and \"document\" have the meaning given to them by this Decision;\n - (ii) the right to store and archive the results in line with the document management rules applicable to the contracting authority, including digitisation or converting the format for preservation or new use purposes;\n - (l) where the results are or incorporate software, including source code, object code and, where relevant, documentation, preparatory materials and manuals, in addition to the other rights mentioned in this Article:\n - (i) end-user rights, for all uses by the contracting authority or by subcontractors which result from this FWC and from the intention of the parties;\n - (ii) the rights to receive both the source code and the object code;\n - (m) the right to license to third parties any of the exclusive rights or of the modes of exploitation set out in this FWC; however, for pre-existing materials which are only licensed to the contracting authority, the right to sub-license does not apply, except in the two cases foreseen by Article II.13.2.;\n - (n) to the extent that the contractor may invoke moral rights, the right for the contracting authority, except where otherwise provided in this FWC, to publish the results with or without mentioning the creator (s)' name(s), and the right to decide when and whether the results may be disclosed and published.", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- GLYPH<129> a gain on investment of $233 million in other income in the consolidated statement of income, representing our 50% share of the Inukshuk gain relating to the assets sold to the other venturer,\n - GLYPH<129> spectrum licences of $360 million, which includes a $15 million fee paid in 2011 to the other venturer to acquire certain blocks of spectrum, and network equipment of $13 million representing the fair value of the assets purchased less our share of the Inukshuk gain, and\n - GLYPH<129> a decrease of $125 million in our investment in Inukshuk, representing the carrying value of the assets sold.\n\nThe following tables provide summary financial information for the joint ventures and associates and our portion. We record our investments in joint ventures and associates using the equity method.\n\n| | 2013 | 2012 |\n|-------------------------|---------|---------|\n| Current assets | $ 153 | $ 307 |\n| Long-term assets | 2,434 | 2,509 |\n| Current liabilities | 334 | 1,033 |\n| Long-term liabilities | 1,146 | 557 |\n| Total net assets | $ 1,108 | $ 1,226 |\n| Our share of net assets | $ 554 | $ 613 |\n| Revenues | 648 | 193 |\n| Expenses (income) | 644 | (710) |\n| Total net income | $ 4 | $ 903 |\n| Our share of net income | $ 2 | $ 219 |\n\nCertain of our joint ventures have non-controlling shareholders that have a right to require our joint venture to purchase the non-controlling interest at a future date.\n\n## NOTE 15: OTHER LONG-TERM ASSETS", - "page_start": 113, - "page_end": 113, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "entities working for it or cooperating with it, including contractors and subcontractors, whether legal or natural persons, but only for the purpose of their mission for the contracting authority;\n\n - (b) if the result is a \"document\" such as a report or a study, and it is meant to be published, the existence of pre-existing materials in the result may not prevent the publication of the document, its translation or its \"reuse\", it being understood however that the \"reuse\" may only be made of the result as a whole and not of the pre-existing materials taken separately from the result ; for the sake of this provision, \"reuse\" and \"document\" have the meaning given by the Commission Decision of 12 December 2011 on the reuse of Commission documents (2011/833/EU).\n\nAll pre-existing rights are licensed to the contracting authority from the moment the results are delivered and approved by the contracting authority.\n\nThe licensing of pre-existing rights to the contracting authority under this FWC covers all territories worldwide and is valid for the duration of intellectual property rights protection.\n\nThe payment of the price as set out in the specific contracts is deemed to also include any fees payable to the contractor in relation to the licensing of pre-existing rights to the contracting authority, including for all forms of exploitation and of use of the results .\n\nWhere implementation of the FWC requires that the contractor uses pre-existing materials belonging to the contracting authority, the contracting authority may request that the contractor signs an adequate licence agreement. Such use by the contractor will not entail any transfer of rights to the contractor and is limited to the needs of this FWC.\n\n## II.13.3. Exclusive rights\n\nThe Contracting Authority acquires the following exclusive rights:", - "page_start": 23, - "page_end": 23, - "source_file": "EN-Draft FWC for services 0142.pdf" - }, - { - "text": "- , Share Repurchases. If we are unable to identify opportunities that satisfy our growth strategy, we intend to continue to use our free cash Öow to repurchase shares of our common stock at prices that provide value to our stockholders. As of December 31, 2004, we had repurchased a total of 35.2 million shares, or approximately 20% of our common stock outstanding at the commencement of our share repurchase program in 2000, for $750.4 million. In October 2004, our board of directors authorized the repurchase of up to an additional $275.0 million of our common stock, of which $274.6 million remained available at December 31, 2004. We believe that our share repurchase program will continue to enhance stockholder value.\n - , Dividends. In July 2003, our board of directors initiated a quarterly cash dividend of $.06 per share. EÅective October 2004, our quarterly cash dividend was increased to $.12 per share. We may consider increasing our quarterly cash dividend if we believe it will enhance stockholder value.\n - , Minimize Borrowings. To the extent that the opportunities to enhance stockholder value mentioned above are not available, we also intend to continue to use our free cash Öow to minimize our borrowings.\n\nAnother key component of our Ñnancial strategy includes maintaining an investment grade rating on our senior debt. This has allowed us to secure favorable, long-term, Ñxed-rate Ñnancing that reduces our exposure to changing interest rates. This has also allowed us, and will continue to allow us, to readily access capital markets.\n\nFor certain risks related to our Ñnancial strategy, see \"\"Risk Factors.''\n\n## Operating Strategy\n\nWe seek to leverage existing assets and revenue growth to increase operating margins and enhance stockholder value. Our operating strategy to accomplish this goal is to:\n\n - , utilize the extensive industry knowledge and experience of our executive management,\n - , utilize a decentralized management structure in overseeing day-to-day operations,\n - , integrate waste operations,\n - , improve operating margins through economies of scale, cost eÇciencies and asset utilization,\n - , achieve high levels of customer satisfaction, and\n - , utilize systems to improve consistency in Ñnancial and operational performance.\n\nFor certain risks related to our operating strategy, see \"\"Risk Factors.''\n\n - , Experienced Executive Management Team. We believe that we have one of the most experienced executive management teams in the solid waste industry.\n\nJames E. O'Connor, who has served as our Chief Executive OÇcer since December 1998, also became our Chairman in January 2003. He worked at Waste Management, Inc. from 1972 to 1978 and from 1982 to 1998. During that time, he served in various management positions, including Senior Vice President in 1997 and 1998, and Area President of Waste Management of Florida, Inc. from 1992 to 1997. Mr. O'Connor has over 30 years of experience in the solid waste industry.\n\nMichael J. Cordesman, who has served as our Chief Operating OÇcer since March 2002 and also as our President since February 2003, has over 24 years of experience in the solid waste industry. He joined us in June 2001 as our Eastern Region Vice President. From 1999 to 2001, Mr. Cordesman served as Vice President of the Central Region for Superior Services Inc. From 1980 to 1999, he served in various positions with Waste Management, including Vice President of the Mid-Atlantic Region from 1992 to 1999.", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "What is the most restricive Creative Common licence ?", - "target_page": 1, - "target_passage": "CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## 6. Cross-cutting design questions\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n## Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative 'opt-in' consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of 'opt-out' could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about who can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most are not actively managed by their rightsholders. There is no official registry of copyrighted works and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially those that have or have had limited commercial value. Put differently, the barrier to using 17 most books is not simply to pay publishers; even if one had significant financial resources, licensing would not enable access to most works.\n\n## Permissively licensed works\n\nThere are books that have been permissively licensed in an easily identifiable way, such as works placed under Creative Commons (CC) licenses. Such works explicitly allow particular uses of works subject to various responsibilities (e.g., requiring attribution by the user in their follow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion depends on whether the license's terms can be complied with in the context of AI training. For instance, in the context of CC licensed works, there are requirements for proper attribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public Domain Mark (PDM) are not licenses and do not require attribution). 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "- /SM590000 Enabled Compression license", - "page_start": 442, - "page_end": 442, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\nThis is a frame from 'Twenty Years of Creative Commons (in Sixty Seconds)' by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n## Creative Commons\n\nPO Box 1866 Mountain View CA 94042 USA +1 415 429 6753 info@creativecommons.org\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "- /SM590000 The systems must have the necessary licenses that enable remote copy partnerships to be configured between two systems. No separate license is required to enable IP partnership.", - "page_start": 571, - "page_end": 571, - "source_file": "sg247938.pdf" - }, - { - "text": "ISBN: 978-1-78655-073-6\n\nISSN: 1756-3666\n\n\n\n© Crown copyright 2016\n\nThis publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gsi.gov.uk.\n\nWhere we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.", - "page_start": 44, - "page_end": 44, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf", - "query": "In which case CC licence can't be used ?", - "target_page": 1, - "target_passage": "fair use, fair dealing, or some other limitation and exception to copyright applies the the work.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "Activation of the license can be performed in one of two ways:", - "page_start": 630, - "page_end": 630, - "source_file": "sg247938.pdf" - }, - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "Generally, our licences are granted for a specified term and are subject to conditions on the maintenance of these licences. These licencing conditions may be modified at any time by the regulators. The regulators may decide not to renew a licence when it expires, and any failure by us to comply with the conditions on the maintenance of a licence could result in a revocation or forfeiture of any of our licences or the imposition of fines.\n\nThe licences include conditions requiring us to comply with Canadian ownership restrictions of the applicable legislation. We are currently in compliance with all of these Canadian ownership and control requirements. However, if these requirements are violated, we would be subject to various penalties, possibly including, in the extreme case, the loss of a licence.\n\n## The Wireless Code\n\nThe CRTC's decision to implement its wireless consumer code of conduct, among other things, effectively requires Canadian wireless carriers to move away from offering three-year service contracts and instead offer two-year contracts, and this could change our customer acquisition and retention costs and subscriber churn. The Wireless Code also sets billing caps on data roaming and domestic data overage charges, creates a prohibition on requiring customers to provide 30days' notice of cancellation, and requires the payment of interest on security deposits, which could also reduce our results of operations.\n\nOur wireless business could be materially adversely affected if laws, regulation or customer behaviour makes it difficult for us to impose term commitments or early cancellation fees on customers or receive the service revenues we anticipate from the term commitments.\n\n## S pectrum\n\nRadio spectrum is one of the fundamental assets required to carry on the wireless business. Our ability to continue to offer and improve current services and to offer new services depends on, among other factors, continued access to and deployment of adequate spectrum, including both the ability to renew current spectrum licenses and acquire new spectrum licenses.\n\nIf we cannot acquire and retain needed spectrum, we may not be able to continue to offer and improve our current services and deploy new services on a timely basis including providing competitive data speeds that customers want. As a result, our ability to attract and retain customers could be materially adversely affected. In addition, an inability to acquire and retain needed spectrum could affect network quality and result in higher capital expenditures, as a consequence of network densification and other related network upgrades.\n\n## S pectrum Fees\n\nChanges to government spectrum fees could significantly increase our payments and therefore materially reduce our operating profit. Spectrum licences are an indefinite life intangible asset and we do not amortize them, however, any potential increases in spectrum licence fees may affect our current accounting policies.", - "page_start": 78, - "page_end": 78, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Regulatory changes or decisions can adversely affect our consolidated results of operations.\n\nOur costs of providing services may increase from time to time as we comply with industry or legislative initiatives to address consumer protection concerns or Internet-related issues like copyright infringement, unsolicited commercial e-mail, cybercrime and lawful access.\n\nGenerally, our spectrum and broadcast licences are granted for a specified term and are subject to conditions for maintaining these licences. The regulators can modify these licensing conditions at any time, and they can decide not to renew a licence when it expires. If we do not comply with the conditions, a licence may be forfeited or revoked, or we may be fined.\n\nThe licences have conditions that require us, amongst other things, to comply with Canadian ownership restrictions of the applicable legislation, and we are currently in compliance with them. If we violate the requirements, we would be subject to various penalties and it could include losing a licence in extreme cases.\n\nCable, wireless and broadcasting licences generally cannot be transferred without regulatory approval.\n\n## Canadian Broadcasting Operations\n\nOur Canadian broadcasting operations - including our cable television systems, radio and television stations, and specialty services - are licenced (or operated under an exemption order) and regulated by the CRTC under the Broadcasting Act.\n\nThe CRTC is responsible for regulating and supervising all aspects of the Canadian broadcasting system. It is also responsible under the Telecommunications Act for the regulation of telecommunications carriers, including:\n\n - GLYPH<129> Wireless' mobile voice and data operations\n - GLYPH<129> Cable's Internet and telephone services.\n\nOur cable and telecommunications retail services are not subject to price regulation, because the CRTC believes there is enough competition for these services provided by other carriers to protect the interests of users, so has forborne from regulating them. Regulations\n\ncan and do, however, affect the terms and conditions under which we offer these services.\n\n## S pectrum Licences\n\nIndustry Canada sets technical standards for telecommunications under the Radiocommunication Act (Canada) (Radiocommunication Act) and the Telecommunications Act. It licences and oversees:", - "page_start": 70, - "page_end": 70, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Training in how to use CC Licenses is key to their adoption.\n\nWe offer a ten-week CC Certificate program that is now tailored not only to the education and library sectors, but also galleries, archives, libraries, and museums and available in 10 languages .\n\nAs of 2023, we've certified:\n\n\n\n1,705 Graduates\n\n\n\n65 Countries\n\n## In 2023, we greatly expanded our CC Licenses training and education offerings:\n\n## 19 Workshops & Trainings\n\nwith institutions like ALA, Connecticut Humanities & State University of New York, Digital Research Alliance of Canada, and WikiConf North America.\n\n## 2 Week-Long CC Certificate Bootcamps\n\nfor California Community Colleges.\n\n## 27 Webinars\n\non topics like the basics of Open Culture, the possibilties of Open Educational Resources (OER) for business-university cooperation, and the future of CC Licenses in digital and online education.\n\n## 12 CC Legal Open Office Hours\n\nhosted by our legal team, providing a personalized opportunity for the CC community to ask questions about CC Licenses, open access, and sharing.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "When CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\n\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't change the copyright status of a work.\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\n## Public Domain Mark\n\nUse this tool if you have identified a work that is free of known copyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most are not actively managed by their rightsholders. There is no official registry of copyrighted works and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially those that have or have had limited commercial value. Put differently, the barrier to using 17 most books is not simply to pay publishers; even if one had significant financial resources, licensing would not enable access to most works.\n\n## Permissively licensed works\n\nThere are books that have been permissively licensed in an easily identifiable way, such as works placed under Creative Commons (CC) licenses. Such works explicitly allow particular uses of works subject to various responsibilities (e.g., requiring attribution by the user in their follow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion depends on whether the license's terms can be complied with in the context of AI training. For instance, in the context of CC licensed works, there are requirements for proper attribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public Domain Mark (PDM) are not licenses and do not require attribution). 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Reliance on Copyright Limitations and Exceptions\n\nEven if a book is in copyright, it's possible that copying books for AI training may be covered by existing limitations and exceptions to copyright law in particular jurisdictions. For example:\n\n - · In the United States, many argue using existing works to train generative AI is 'fair use,' consistent with existing law and legal precedents. This is the subject of a 19 number of currently active court cases, and different actors and tools may yield different results, as fair use is applied case-by-case using a flexible balancing test.\n - · In the European Union, there are explicit exceptions in the law for 'text and data mining' uses of in-copyright works, both for non-commercial research and for commercial purposes. However, for commercial uses and for users outside of research and heritage institutions, they must respect the rights of rightsholders who choose to 'reserve their rights' (i.e., opt-out of allowing text and data mining) via machine readable mechanisms. The exception also requires that users have 'lawful 20 access' to the works.\n - · Finally, Japan provides a specific text and data mining exception, without any comparable opt-out requirement for commercial uses as is embedded in EU law. 21\n\nWhile exceptions that allow AI training exist in several other countries, such as Singapore and Israel, most countries do not provide exceptions that appear to permit AI training. Even where potentially available, as in the United States, legal uncertainty and risk create a hurdle for anyone building a books commons. 22", - "page_start": 10, - "page_end": 10, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RSG_2004.pdf", - "query": "In how many regions the Republic Services operations are organized ?", - "target_page": 9, - "target_passage": "As of December 31, 2004, our operations were organized into five regions whose boundaries may change from time to time: Eastern, Central, Southern, Southwestern and Western.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| 2003 | Gross Revenue | Intercompany Revenue(b) | Net Revenue | Depreciation, Amortization, Depletion and Accretion(c) | Operating Income | Capital Expenditures(d) | Total Assets |\n|----------------------------|--------------------------------|---------------------------|---------------|----------------------------------------------------------|--------------------|---------------------------|----------------|\n| Eastern Region ÏÏÏÏÏÏÏÏÏ $ | 600.2 | $ (93.0) | $ 507.2 | $ 36.4 | $ 71.3 | $ 40.7 | $ 826.9 |\n| Central Region ÏÏÏÏÏÏÏÏÏ | 671.7 | (151.6) | 520.1 | 74.0 | 106.6 | 75.7 | 960.5 |\n| Southern RegionÏÏÏÏÏÏÏÏ | 680.3 | (76.9) | 603.4 | 62.8 | 107.5 | 69.9 | 865.6 |\n| Southwestern Region ÏÏÏÏ | 332.6 | (31.2) | 301.4 | 28.7 | 50.2 | 28.9 | 409.4 |\n| Western Region ÏÏÏÏÏÏÏÏ | 729.4 | (143.9) | 585.5 | 46.2 | 148.8 | 51.4 | 813.2 |\n| Corporate Entities(a)ÏÏÏÏ | .2 | Ì | .2 | 3.7 | (71.7) | 6.6 | 678.5 |\n| | TotalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ $3,014.4 | $(496.6) | $2,517.8 | $251.8 | $412.7 | $273.2 | $4,554.1 |\n\nDepreciation,", - "page_start": 88, - "page_end": 88, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| | Balance as of December 31, 2002 | Acquisitions | Divestitures | Cumulative EÅect of Changes in Accounting Principles | Balance as of December 31, 2003 |\n|-------------------------|-----------------------------------|----------------|----------------|--------------------------------------------------------|-----------------------------------|\n| Eastern Region ÏÏÏÏÏÏÏÏ | $ 429.0 | $ 7.2 | $(.3) | $ Ì | $ 435.9 |\n| Central Region ÏÏÏÏÏÏÏÏ | 343.0 | 7.5 | Ì | Ì | 350.5 |\n| Southern Region ÏÏÏÏÏÏÏ | 323.2 | 2.6 | Ì | Ì | 325.8 |\n| Southwestern Region ÏÏÏ | 134.7 | .3 | Ì | Ì | 135.0 |\n| Western RegionÏÏÏÏÏÏÏÏ | 314.3 | 3.6 | Ì | (7.0) | 310.9 |\n| Total ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $1,544.2 | $21.2 | $(.3) | $(7.0) | $1,558.1 |\n\nRevenue of the Company by revenue source for the years ended December 31, 2004, 2003 and 2002 is as follows:\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|-----------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Collection: | | | |\n| Residential ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 655.2 | $ 601.2 | $ 530.7 |\n| Commercial ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 737.9 | 706.0 | 696.7 |\n| IndustrialÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 558.1 | 523.0 | 501.6 |\n| OtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 62.2 | 50.9 | 50.8 |\n| Total collectionÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2,013.4 | 1,881.1 | 1,779.8 |\n| Transfer and disposalÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1,031.0 | 967.5 | 854.1 |\n| Less: Intercompany ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (519.8) | (493.7) | (428.5) |\n| Transfer and disposal, net ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 511.2 | 473.8 | 425.6 |\n| OtherÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 183.5 | 162.9 | 159.7 |\n| Revenue ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $2,708.1 | $2,517.8 | $2,365.1 |\n\n## 11. FUEL HEDGE", - "page_start": 89, - "page_end": 89, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| | Years Ended December 31, | Years Ended December 31, | Years Ended December 31, |\n|----------------------------------------------------------------------------------------------------------------------------|----------------------------|----------------------------|----------------------------|\n| | 2004 | 2003 | 2002 |\n| Weighted-average fair value of the Company's stock options, restricted stock and stock units granted during the period ÏÏÏ | $ 9.33 | $ 7.64 | $ 7.47 |\n| Assumptions Ì | | | |\n| Risk-free interest ratesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6% | 3.2% | 2.7% |\n| Expected livesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 5 years | 5 years | 5 years |\n| Expected volatility ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 30.0% | 40.0% | 40.0% |\n| Dividend yieldÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9% | Ì | Ì |\n\n## Revenue Recognition and Deferred Revenue\n\nThe Company generally provides services under contracts with municipalities or individual customers. Revenue consists primarily of collection fees from commercial, industrial, residential and municipal customers and transfer and landÑll disposal fees charged to third parties. Advance billings are recorded as deferred revenue, and the revenue is then recognized over the period services are provided. Collection, transfer and disposal, and other services accounted for approximately 74.3%, 18.9% and 6.8%, respectively, of consolidated revenue for the year ended December 31, 2004. No one customer has individually accounted for more than 10% of the Company's consolidated revenues or of the Company's reportable segment revenue in any of the past three years.\n\nThe Company recognizes revenue when all four of the following criteria are met:\n\n - , Persuasive evidence of an arrangement exists such as a service agreement with a municipality, a hauling customer or a disposal customer,\n - , Services have been performed such as the collection and hauling of waste or the disposal of waste at a Company-owned disposal facility,\n - , The price of the services provided to the customer are Ñxed or determinable, and\n - , Collectability is reasonably assured.\n\n## Other Charges", - "page_start": 71, - "page_end": 71, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED STATEMENTS OF CASH FLOWS\n\n(in millions)", - "page_start": 63, - "page_end": 63, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data)\n\n## 1. BASIS OF PRESENTATION\n\nThe accompanying Consolidated Financial Statements include the accounts of Republic Services, Inc. (a Delaware corporation) and its subsidiaries (the \"\"Company''). The Company provides non-hazardous solid waste collection and disposal services in the United States. All intercompany transactions have been eliminated in consolidation.\n\nAs of January 1, 2003, the Company adopted Statement of Financial Accounting Standards No. 143, \"\"Accounting for Asset Retirement Obligations'' (\"\"SFAS 143''). SFAS 143 required the Company to change the methodology it used to record Ñnal capping, closure and post-closure costs relating to its landÑlls. As of January 1, 2003, the Company recorded an after-tax expense of $20.8 million, or $33.6 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle resulting from the adoption of SFAS 143. In addition, the Company also recorded an after-tax expense of $17.0 million, or $27.4 million on a pre-tax basis, as a cumulative eÅect of a change in accounting principle for its methane gas collection systems. This change in accounting for methane gas collection systems was prompted by a thorough evaluation of the Company's landÑll accounting policies in connection with the adoption of SFAS 143 and is consistent with the methodology used by other participants in the waste industry.\n\nThe following table summarizes the adjustments to net income and earnings per share for the year ended December 31, 2002 as if SFAS 143 and the Company's change in accounting principle relating to its methane gas collection systems were eÅective January 1, 2002:\n\n| | Year Ended December 31, 2002 | Year Ended December 31, 2002 |\n|-----------------------------------------------------------------------|--------------------------------|--------------------------------|\n| | Net Income | Diluted Earnings Per Share |\n| ReportedÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $239.6 | $1.44 |\n| SFAS 143: | | |\n| Reversal of closure and post-closure expense previously reported ÏÏÏÏ | 16.2 | .10 |\n| Reversal of landÑll purchase price amortization previously reportedÏÏ | .8 | Ì |\n| Accretion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (6.5) | (.04) |\n| LandÑll amortizationÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (10.9) | (.07) |\n| Total adjustments for SFAS 143ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ��ÏÏÏÏÏÏÏÏÏ | (.4) | (.01) |\n| Methane Gas Collection Systems: | | |\n| Reversal of depreciation previously reported ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .3 | Ì |\n| Depletion expense ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.3) | (.01) |\n| Total adjustment for methane gas collection systems ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | (2.0) | (.01) |\n| Adjusted ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $237.2 | $1.42 |", - "page_start": 64, - "page_end": 64, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS (All tables in millions, except per share data) Ì (Continued)", - "page_start": 76, - "page_end": 76, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED BALANCE SHEETS\n\n(in millions, except share data)", - "page_start": 60, - "page_end": 60, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## CONSOLIDATED STATEMENTS OF INCOME\n\n(in millions, except earnings per share data)", - "page_start": 61, - "page_end": 61, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n| Description | Historical Practice | Current Practice (EÅective January 1, 2003) |\n|-----------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------|\n| Not applicable. | The landÑll asset is amortized as airspace is consumed over the life of a speciÑc capping event for Ñnal capping or the life of a landÑll for closure and post-closure. | LandÑll Asset Amortization |\n| Not applicable. | Expense recognized as a component of operating expenses at credit- adjusted, risk-free rate using the | Accretion |\n\nThe Company has future obligations for Ñnal capping, closure and post-closure costs with respect to the landÑlls it owns or operates as set forth in applicable landÑll permits. Final capping, closure and post-closure costs include estimated costs to be incurred for Ñnal capping and closure of landÑlls and estimated costs for providing required post-closure monitoring and maintenance of landÑlls. The permit requirements are based on the Subtitle C and Subtitle D regulations of the Resource Conservation and Recovery Act (RCRA), as implemented and applied on a state-by-state basis. Obligations associated with monitoring and controlling methane gas migration and emissions are set forth in applicable landÑll permits and these requirements are based upon the provisions of the Clean Air Act of 1970, as amended. Final capping typically includes installing Öexible membrane and geosynthetic clay liners, drainage and compact soil layers, and topsoil, and is constructed over an area of the landÑll where total airspace capacity has been consumed and waste disposal operations have ceased. These Ñnal capping activities occur throughout the operating life of a landÑll. Other closure activities and post-closure activities occur after the entire landÑll ceases to accept waste and closes. These activities involve methane gas control, leachate management and groundwater monitoring, surface water monitoring and control, and other operational and maintenance activities that occur after the site ceases to accept waste. The post-closure period generally runs for up to 30 years after Ñnal site closure for municipal solid waste landÑlls and a shorter period for construction and demolition landÑlls and inert landÑlls.\n\nEstimates of future expenditures for Ñnal capping, closure and post-closure are developed annually by engineers. These estimates are reviewed by management at least annually and are used by the Company's operating and accounting personnel to adjust the rates used to capitalize and amortize these costs. These estimates involve projections of costs that will be incurred during the remaining life of the landÑll for Ñnal capping activities, after the landÑll ceases operations and during the legally required post-closure monitoring period. Additionally, the Company currently retains post-closure responsibility for several closed landÑlls.", - "page_start": 77, - "page_end": 77, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\n## 12. COMMITMENTS AND CONTINGENCIES\n\n## Legal Proceedings\n\nThe Company is a party to various general legal proceedings which have arisen in the ordinary course of business. While the results of these matters cannot be predicted with certainty, the Company believes that losses, if any, resulting from the ultimate resolution of these matters will not have a material adverse eÅect on the Company's consolidated Ñnancial position, results of operations or cash Öows. However, unfavorable resolution could aÅect the consolidated Ñnancial position, results of operations or cash Öows for the quarterly periods in which they are resolved.\n\n## Lease Commitments\n\nDuring December 1999, the Company entered into a $100.0 million operating lease facility established to Ñnance the acquisition of operating equipment (primarily revenue-producing vehicles). In July 2002, the Company exercised its right to purchase the equipment underlying this facility by paying $72.6 million. In addition, the Company and its subsidiaries lease real property, equipment and software under various other operating leases with terms from one to twenty-Ñve years. Rent expense during the years ended December 31, 2004, 2003 and 2002 was approximately $11.4 million, $11.4 million and $20.0 million, respectively.\n\nFuture minimum lease obligations under non-cancelable real property, equipment and software leases with initial terms in excess of one year at December 31, 2004 are as follows:\n\n| | Years Ending December 31, |\n|------------------------------------------------------------------------|-----------------------------|\n| 2005 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $ 4.1 |\n| 2006 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.1 |\n| 2007 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.8 |\n| 2008 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.6 |\n| 2009 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.3 |\n| Thereafter ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 5.6 |\n| | $18.5 |\n\n## Unconditional Purchase Commitments\n\nFuture minimum payments under unconditional purchase commitments at December 31, 2004 are as follows:\n\n| | Years Ending December 31, |\n|------------------------------------------------------------------------|-----------------------------|\n| 2005 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | $27.6 |\n| 2006 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 9.9 |\n| 2007 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 2.0 |\n| 2008 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.4 |\n| 2009 ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 1.4 |\n| Thereafter ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 11.8 |\n| | $54.1 |", - "page_start": 90, - "page_end": 90, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "What was one of the seminal moment of 2004 for MGM MIRAGE ?", - "target_page": 12, - "target_passage": "The announcement of the merger between MGM MIRAGE and Mandalay Resort Group was one of the seminal moments of 2004", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## POINTS IN TIME\n\n19\n\n93\n\n\n\n## DEFINING MOMENTS OF MGM MIRAGE\n\n96 19\n\n\n\nTHE NEW YORK-NEW YORK SKYLINE BECOMES\n\nA TOWERING PRESENCE IN THE PORTFOLIO. We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, the largest hotel-casino in the world, opened to great fanfare. 'The City of Entertainment' redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "MGM MIRAGE 2004 ANNUAL REPORT\n\n## defining momentum\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## TO OUR SHAREHOLDERS\n\nBELLAGIO underwent a significant expansion during 2004 resulting in the opening of the Spa Tower and several important new amenities at this AAA Five Diamond property. Bellagio remains Las Vegas' first and only hotel-casino to receive this prestigious recognition. These new additions add dimension and depth to the world-famous experience awaiting guests at Bellagio.\n\nMGM GRAND LAS VEGAS completed a transformation, begun in 2003, of its food and beverage and entertainment offerings. MGM Grand is one of the must-see attractions of Las Vegas, with Cirque du Soleil's newest production, KA ' TM , and several of the Strip's finest restaurants and hottest nightspots. 18 .0 %\n\nTI 's transformation was no less extensive, as the property's management team conceived and implemented a program to enliven the property with new restaurants and nightlife.\n\nTHE MIRAGE was the site of a revolution in Las Vegas' history as the venerable buffet was given new life as a top dining establishment, Cravings. Others may follow this lead, but The Mirage was the first property to breathe new life into what remained of the last bastion of 'old' Las Vegas.\n\n## EXPANDING WITH EXCELLENCE\n\nThese investments in your company's future paid dividends even before the year was out. We established a new record for net revenues posting $4.2 billion, a 10% increase over 2003.\n\nYour company's resorts produced record EBITDA of $1.46 billion, an increase of 23% over 2003, while operating income was $951 million, an increase of 36%, with record results at Bellagio, MGM Grand Las Vegas and Beau Rivage.\n\n## Defining Momentum in the Community\n\nI've spent 27 years in this profession and the incredible generosity of our employees never ceases to amaze me. Shortly after the merger with Mirage Resorts in 2000, we established the Voice Foundation. This allows employees to express themselves in the communities we serve by providing them a mechanism to raise monies for worthy causes. It's their money and they decide where it goes. Your company provides the marketing and administrative support. .6% .5 %\n\nIn each year since we established the program, employees have given record amounts to support a\n\n\n\n## 2004 Revenue Mix\n\n\n\n\n\n\n\n\n\nCasino\n\nRooms\n\nFood & Beverage\n\nEntertainment, Retail,\n\n& Other\n\nSKYLOFTS MGM Grand A private sanctuary of sleek, elegant two-story accommodations, offering discerning guests the quintessential loft environment - harmonizing design, décor, ambiance and unparalleled vistas.\n\nBELLAGIO SPA Unique design elements, combined with an international array of innovative treatments and specially trained therapists, provide the ultimate indulgent experience.\n\nTEATRO MGM Grand A new genre of Las Vegas nightlife where European club influences permeate. DJs spin jazz/ house throughout the evening, giving way to an energetic after-hours vibe with live catwalk entertainment.\n\n\n\nKÀ The most spectacular production ever, by a troupe renowned for its pageantry. Cirque du Soleil's KÀ debuted at a new theatre at MGM Grand in the fourth quarter of 2004.\n\n\n\nWhat exactly is a defining moment? Try a multi-billion dollar project centered in the heart of Las Vegas.\n\n\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## FINANCIAL OVERVIEW\n\n## ACHIEVING MOMENTOUS RESULTS\n\nJAMES J. MURREN President, CFO & Treasurer\n\n\n\n\n\n\n\n\n\nGAMAL AZIZ President, MGM Grand\n\n\n\nGLENN BONNER Senior VP & CIO, MGM MIRAGE Information Systems\n\nGEORGE R. BOYER III President, MGM Grand Detroit\n\nJOSEPH BRUNINI President, MGM Grand Resorts National Marketing\n\nJEFF DAHL President, Beau Rivage\n\no some, momentum is intangible - a product of fortune, a power that cannot be harnessed, and typically a short-lived sensation. Others wonder how they lost their momentum. At MGM MIRAGE, we are constantly thinking of better ways to maximize it. We believe momentum is a product of effort and excellence, a force which can be observed and measured, and something that can be a lasting and defining quality of a great company. Our 2004 results are a clear reminder of the power of moving forward. Our financial policies have long been designed to create and maintain momentum. By investing in our best assets and thinking of new ways to add value to our shareholders, we are able to redefine our Company's place in history every year - and 2004 was a defining time even by our exacting standards. T\n\nSo how did we get here? Last year, we discussed the importance of focus, and the laser-like precision with which we operated our resorts in 2004 affirms the power of our single-minded dedication to excellence. The hard work of our 40,000 employees resulted in a record year in almost every regard. Net revenues increased 10% over 2003 to a record $4.2 billion, with 12% REVPAR growth at our Las Vegas resorts; property-level EBITDA was an all-time record, nearly $1.5 billion, and 23% higher than the prior year. We exceeded the expectations of every market observer, and significantly beat our forecasts. And 2004 will not be a zenith year for your company - rather, we expect to continue our excellent operating performance, re-invest the resulting cash flow to stimulate future growth and move forward to new defining moments.\n\nHow do we re-define a company that is already at the top of its industry? First, we continue to execute on our vision for our existing resorts - to continually evolve and increase the 'Wow!' factor for our guests. This strategy requires investment, and we will ensure that our resorts are not only world-class, but best-in-class. Examples include the beautiful Spa Tower at Bellagio and KÀ , the latest spectacular creation in collaboration with Cirque du Soleil.\n\n", - "page_start": 23, - "page_end": 23, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Defining Momentum for Our Industry\n\nThe gaming industry in America is maturing, and international expansion, while exciting in select markets, remains challenging. As a result, your company has pursued a growth strategy that calls for maximizing the assets we currently own and seeking prudent development opportunities and strategic acquisitions.\n\nUpon completion of our merger with Mandalay, MGM MIRAGE will be the world's leading gaming and leisure company. The combination will result in a wellcapitalized company uniquely situated to invest in its current portfolio in addition to creating new projects in the United States and around the world.\n\nWe believe this is an outstanding transaction for the shareholders of both companies. With this acquisition, we will own, operate and have investments\n\nin 28 properties throughout Nevada, Mississippi, Illinois, Michigan, and New Jersey.\n\nThe combined company will have an asset portfolio which includes some of the most widely recognized brand names in the world. These properties cater to a broad customer base, ranging from value-oriented to the ultrahigh end. Each resort provides a unique customer experience through its specific personality and combination of amenities.\n\nFIX BELLAGIO Classic American fare using the freshest fish, meat, and poultry cooked to order on a wood-burning grill. Costa Rican Padouk wood inspires a warm environment in a unique, vibrant design.\n\n\n\nWe also will have at Mandalay Bay the fifth largest convention center in the United States, providing the company with a great resource to further develop the business travel and convention market.\n\n\n\nBut the bricks and mortar tell only part of the story of this transaction. At the heart of Mandalay is its people. Mandalay employees at all levels are energetic and talented and will be a tremendous asset to us. Together, we will become a family in excess of 70,000 people committed to delivering the best possible experiences for our guests. The transaction also will create unparalleled opportunities for our entire family of employees.\n\nIn short, this groundbreaking transaction creates unstoppable momentum for all stakeholders in the MGM MIRAGE family.\n\n## Defining Momentum in our Properties\n\nIn 2004, your company invested over $690 million of capital in the creation of new restaurants, clubs, shows and nightspots as well as the development of strategic enhancements to existing amenities. These investments generated exceptional returns in a time when competition for the entertainment dollar has never been higher.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Notes to Consolidated Financial Statements\n\n## NOTE 1 - ORGANIZATION\n\nMGM MIRAGE (the 'Company'), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island ('TI'), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line - Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort - as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the 'Golden Nugget Subsidiaries'). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## TO OUR SHAREHOLDERS\n\n## MGM MIRAGE DEFINES MOMENTUM\n\n## 'Your company has undergone several defining moments throughout its history.'\n\nrom its roots some 35 years ago with the opening of the International Hotel, we have played a leading role in continuously redefining the Las Vegas experience. F\n\nWe announced two significant initiatives in 2004 that, taken together, give your company unrivaled momentum to set industry standards for creativity, performance and responsibility for decades to come.\n\n## Defining Momentum for Las Vegas\n\nOur merger agreement with Mandalay Resort Group and our plans to develop Project CityCenter on the Las Vegas Strip are among the most significant announcements in Las Vegas history. As this fabled city begins its second hundred years, MGM MIRAGE is positioned like no other company to take advantage of unsurpassed growth opportunities in the most dynamic gaming and entertainment market in the world.\n\nProject CityCenter will uniquely re-position Las Vegas like no other project before it. Far more than simply another casino-hotel, Project CityCenter encompasses a\n\nBELLAGIO SPA TOWER The quintessential luxury hotel is now even more opulent. This expansion includes 928 rooms and suites, 80,000 square feet of convention space, retail outlets, and restaurants.\n\n\n\nmyriad of elements that will propel Las Vegas into a new generation of urban sophistication.\n\nWhile additional details of this extraordinary development will come in the months ahead, I am pleased to tell you that we have secured the services of the internationally acclaimed architect Cesar Pelli to design our anchor resort at the heart of Project CityCenter.\n\nCesar Pelli & Associates has worked with corporate, government and private clients to design major public spaces, museums, airports, research centers, performing arts centers, academic buildings, hotels, office and residential towers and mixed-use projects.\n\nThe work of Cesar Pelli is not constrained by a personal style or a signature that would limit his architecture; instead, it celebrates the unique characteristics of each project. Using this approach, he has designed several exceptional buildings in the United States and abroad.\n\nWe are very excited about our partnership with Mr. Pelli and his colleagues and believe they will deliver for MGM MIRAGE and the residents of Southern Nevada a building of iconic stature around the world.\n\nSHIBUYA MGM GRAND Designed by superstar team Yabu Pushelberg, Shibuya features stellar sushi and the widest sake selection this side of the Pacific, all served in a sleek, airy ambiance.\n\n\n\nCRAVINGS THE MIRAGE The zenith of all-you-can-eat. Designed by Adam Tihany, Cravings boasts 11 cooking stations, a street of unique restaurants, and an array of temptations in what's unquestionably the ultimate buffet dining experience.J. TERRENCE LANNI Chairman & Chief Executive Officer\n\n\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "wide array of community needs. From homeless shelters to after-school programs, MGM MIRAGE employees have generously donated more than $8 million since 2001.\n\nYour company also sets aside a portion of its profits each year to be given to important programs intended to build stronger communities. Since 2001, your company has given more than $18 million to support such programs.\n\n## Defining Momentum in Our Family\n\nOur momentum is driven from within by acknowledging the contributions of each and every one of our employees, business partners and customers. Our commitment to diversity is recognition of the fact that in today's everchanging marketplace, we must reflect that which we see in the world around us.\n\nThis commitment should be seen as a commonsense business decision. That said, we are proud of the recognition our Diversity program has received, including accolades from prestigious media such as Fortune and DiversityInc. magazines.\n\nSince formalizing our program only four years ago, we've made enormous strides. There is still progress to be made and your company has the momentum to remain at the forefront on diversity initiatives, providing yet another advantage for sustaining performance in the long term.\n\nSENSI BELLAGIO An eclectic menu features diverse cuisines in an earthy arena replete with waterfalls and chrome. A bold wine list complements Chef Martin Heierling's sumptuous work.\n\n\n\nJEAN-PHILIPPE PATISSERIE BELLAGIO A mesmerizing fountain of cascading liquid chocolate showcases a splendid selection of chocolates, cakes, crêpes, salads and sandwiches.\n\nISLA TI Designed by Jeffrey Beers, Isla brightens all the senses. Chef Richard Sandoval gives an innovative and modern interpretation of traditional Mexican cuisine.\n\n\n\n(from left to right) KENNETH ROSEVEAR President, MGM MIRAGE Development; JOHN T. REDMOND President & CEO, MGM Grand Resorts, LLC; J. TERRENCE LANNI Chairman & CEO, MGM MIRAGE; ROBERT H. BALDWIN President & CEO, Mirage Resorts, Incorporated & President, Project CityCenter; GARY N. JACOBS Executive Vice President, General Counsel & Secretary, MGM MIRAGE; JAMES J. MURREN President, CFO & Treasurer, MGM MIRAGE\n\n## Defining Momentum in the Future\n\nYour company achieved many business goals in 2004 and set in motion plans for future growth. These initiatives will provide unmatched returns. We have also created unrivaled opportunities for our employees and will continue our rich history of strengthening the communities in which we do business.\n\n\n\nAs exciting as 2004 was, our momentum will carry us to even greater achievements in 2005 and beyond.\n\nJ. TERRENCE LANNI Chairman of the Board & Chief Executive Officer March 31, 2005\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## SETTING THE FUTURE IN MOTION\n\n\n\nMGM GRAND MACAU Our joint venture has secured a prime location to develop and construct an exciting addition to this dynamic gaming destination.\n\n\n\nhile the international opportunities for growth remain to be fully defined, in 2004 MGM MIRAGE entered into a joint venture agreement with Pansy Ho Chiu-king to develop, build and operate a major hotel-casino resort in Macau S.A.R. No other international market has shown its ability to sustain improved growth even as the government takes important steps to modernize its regulatory structure. We have methodically moved through the regulatory process and look forward to initiating construction in 2005 and opening in 2007. W\n\nWe continue to monitor and pursue opportunities as they arise in the United Kingdom. The bill modernizing British gaming law has moved steadily through the legislative process throughout the year. Several key issues are yet to be resolved, but we remain hopeful that Great Britain will become one of the world's leading jurisdictions with significant growth opportunities for decades to come.\n\nWe are also excited about the emergence of possible new jurisdictions in the Far East. We plan to pursue additional development opportunities as they become available, as we believe that the Far East holds considerable promise as a growing gaming market.\n\nDomestically, we are selectively expanding our presence as well, moving into markets and business lines where our superior brands and assets can provide the best returns. In Las Vegas we will maximize the use of our vast land holdings, beginning with The Residences at MGM Grand. This unique venture is a breakthrough combination of a hotel and condominiums - the first of its kind in Las Vegas. In Atlantic City, we own an exceptional site for future development. The already successful Borgata is prepared to grow bigger and better. Expansion plans include more casino space, a new hotel tower, more restaurants, retail outlets and an expanded spa.\n\n\n\nTHE RESIDENCES AT MGM GRAND Our joint venture with Turnberry Associates to build luxury condo/hotels ignited a flurry of development in Las Vegas.\n\n", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Management's Discussion and Analysis of Financial Condition and Results of Operations\n\nSlot revenues increased substantially in both 2003 and 2004. Improvements were the result of strong customer visitation, enhanced marketing programs, the impact of our Players Club rewards program, and the implementation of cashless gaming technology in 2003. Slot win percentages were consistent among all three periods.\n\nNon-casino revenue increased in 2004 primarily due to the enhanced amenities at our resorts. In addition, we were able to increase the pricing for our rooms and other non-gaming amenities. Our hotel results began to improve notably in the latter half of 2003, particularly at our Las Vegas Strip resorts. For the year ended December 31, 2004 REVPAR at our Las Vegas Strip resorts was $141 compared to $126 in 2003, an increase of 12%. Company-wide REVPAR was $121, an increase of 10% over 2003. This increase was largely rate driven, as occupancy increased from 91% to 92% and ADR increased from $121 to $132. In 2003, company-wide REVPAR increased 6% from $104 to $110, with most of the gains coming in the second half of the year.\n\n## Operating Results - Details of Certain Charges\n\nPre-opening and start-up expenses consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|--------------------------------------------------------------------------------|---------|----------|----------|\n| Bellagio expansion . . . . . . . . . . . . . . . . . . . . . . . . . | $ 3,805 | $ - | $ - |\n| K�� . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 3,655 | - | - |\n| Borgata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | - | 19,326 | 7,757 |\n| New York-New York ( Zumanity, Nine Fine Irishmen) | - | 4,310 | - |\n| Players Club . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | - | 3,051 | 5,117 |\n| Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 2,816 | 2,579 | 1,267 |\n| | $10,276 | $ 29,266 | $ 14,141 |\n\nPre-opening and start-up expenses related to Borgata represent our share of the operating results of Borgata prior to its July 2003 opening.\n\n## Restructuring costs (credit) consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|-------------------------------------------------------------------------------|---------|---------|------------|\n| Contract termination costs . . . . . . . . . . . . . . . . . . . . | $ 3,693 | $ 4,049 | $ 3,257 |\n| Reversal of certain September 11 charges . . . . . . . . | - | - | (10,421) |\n| Siegfried & Roy show closure - The Mirage . . . . . . . | - | 1,623 | - |\n| Reversal of 2000 contract termination costs . . . . . . | - | - | (9,857) |\n| Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 1,932 | 925 | - |\n| | $ 5,625 | $ 6,597 | $ (17,021) |\n\nIn 2004, restructuring costs include $3 million for contract termination costs related to the Aqua restaurant at Bellagio and $2 million of workforce reduction costs at MGM Grand Detroit as a result of our efforts to minimize the impact of a gaming tax increase in Michigan.\n\nIn 2003, our primary restructuring activities included closing two marketing offices and terminating the related leases, terminating a lease agreement with a restaurant tenant at MGM Grand Las Vegas, and closing the Siegfried & Roy show, which resulted in a charge for employee severance costs.", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": " What are the most significant piece of undeveloped land remaining on the Las Vegas Strip ?", - "target_page": 21, - "target_passage": "W RESIDENTIAL In lofts, brown stones and high-rise buildings, residential options abound to populate the new city and ener gize the surrounding areas. e have been working for some time on con ceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nRESIDENTIAL In lofts, brownstones and high-rise buildings, residential options abound to populate the new city and energize the surrounding areas.\n\nENTERTAINMENT From street performers to Broadway shows, our entertainment will evoke the best of New York or London.\n\n\n\ne have been working for some time on conceiving the best use of the 66 acres between Monte Carlo and Bellagio, the most significant piece of undeveloped land remaining on the Las Vegas Strip. We certainly could have come up with a spectacular casino-hotel. But, the truth is, Las Vegas is ready for so much more. W\n\nAs the city eclipses two million residents on its way to passing three million by the end of the decade, and with land prices on the Strip soaring, it has become clear that there is a much better and higher use for this location. As Las Vegas marks its Centennial, Project CityCenter stands as a defining moment for development in this fabled city.\n\nProject CityCenter represents a new era of the urban complex, one that encompasses tourism, entertainment, gaming, retail and residential elements. Only MGM MIRAGE has the momentum - financially, intellectually and professionally - to effectively develop such a project.\n\nThe signature building within Project CityCenter is the 4,000-room hotel-casino. The internationally acclaimed architect Cesar Pelli has been commissioned to design this iconic structure. Pelli's initial concept drawing defines a new generation of urban landscape for the Las Vegas Strip, one which includes gaming at its economic center but not as an emotional centerpiece.\n\nProject CityCenter will provide the momentum for the next era of amazing growth for your company and Las Vegas.\n\nTHE SITE Located in the heart of the Las Vegas Strip, Project CityCenter will dwarf every development that preceded it. Its 66 acres will include a 4,000-room hotel-casino and three boutique hotels.\n\n\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "hotel, retail and residential companies, companies previously serving only major urban hubs. And CityCenter will ensure the greatest possible return on our investment on this Las Vegas Strip land.\n\nAs always, we are working on many growth opportunities to increase our momentum and become a company with a global scale. We are excited about the expansion projects underway at Borgata, the rapid sales pace at The Residences at MGM Grand Las Vegas, and the development of a hotel-casino in Macau. And we are exploring additional development opportunities in the Far East and the United Kingdom. All of these endeavors will be handled with the clear intent of expanding prudently and ensuring financial stability, as our capital allocation focus in 2005 will be to reduce debt and continue to invest in our resorts.\n\n## Defining Value\n\nIt has become a custom to include our financial core values in this letter to our owners. We believe that management's most important role is to most effectively manage assets and allocate capital. We hire the best casino resort operators in the world, and they provide us the fuel we need, operating cash flow, to propel us forward. That cash flow generates real value for shareholders in several ways.\n\n\n\nWILLIAM SMITH President, MGM MIRAGE Design Group\n\n\n\nRICHARD A. STURM President, MGM MIRAGE Sports & Entertainment\n\nFRANK VISCONTI President, MGM MIRAGE Retail\n\nRENEE WEST President, Primadonna Resorts\n\nFORREST WOODWARD President, Boardwalk\n\nFirst, we can re-invest in our resorts, as we have done over the past several years and will continue to do so in 2005 and beyond. These investments create the impetus for increased guest spending, and the relationship is not linear. We are capturing an increased share of guests and an increased share of each guest's spending budget. Since 2000, we have invested over $2.0 billion in capital in our resorts and our unconsolidated affiliates, which helped drive EBITDA from $1.1 billion to $1.5 billion in 2004, with significant cash flow-producing assets just coming on line in late 2004. Second, we can return capital to the shareholders. In 2004, we repurchased eight million shares of common stock for $349 million bringing the total since May 2000 to 30 million shares for $1.0 billion. Third, we can reduce debt, and maintain a low cost of borrowing for the future. In 2004, we repaid almost $100 million in net debt, bringing total debt reduction since May 2000 to $1.1 billion.\n\nOur financial strength allowed us to issue over $1.5 billion in fixed rate debt in 2004 at historically low interest rates, as well as securing a $7 billion credit facility to fund the Mandalay acquisition, the largest ever for a gaming company. And the recent redemptions of certain of our Senior Notes means our assets are no longer securing our remaining senior debt, including the new credit facility.\n\n\n\n\n\n\n\n## Always in Motion\n\nWe would love to look back at 2004 forever, given that it was our company's best year ever. But our work is only beginning. New history is still to be made; records are waiting to be broken; and we must vigilantly maintain our momentum. As stewards of your company, our goals are to continue to perform at peak levels and manage our growth initiatives to ensure maximum value for our shareholders. I hope to report on new defining moments in next year's Annual Report.\n\nJAMES J. MURREN President, Chief Financial Officer & Treasurer\n\n\n\n\n\nS T O C K P R I C E H I S T O R Y ( 2 0 0 2 - 2 0 0 4 )", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "Our growth strategy calls for prudent and strategic development of our real estate assets to maximize shareholder value.\n\nATLANTIC CITY LAND/BORGATA EXPANSION Our prime real estate in Atlantic City, in a location we defined as Renaissance Pointe, holds spectacular promise to expand MGM MIRAGE's market presence on the East Coast.\n\n\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## POINTS IN TIME\n\n19\n\n93\n\n\n\n## DEFINING MOMENTS OF MGM MIRAGE\n\n96 19\n\n\n\nTHE NEW YORK-NEW YORK SKYLINE BECOMES\n\nA TOWERING PRESENCE IN THE PORTFOLIO. We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, the largest hotel-casino in the world, opened to great fanfare. 'The City of Entertainment' redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "The ability to construct the permanent casino facility is currently subject to resolution of the Lac Vieux litigation. The 6th Circuit Court of Appeals has issued an injunction prohibiting the City and the developers from commencing construction pending further action of the 6th Circuit Court. Therefore, we do not know when we will be able to commence construction of, or complete, the permanent facility.", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## TO OUR SHAREHOLDERS\n\n## MGM MIRAGE DEFINES MOMENTUM\n\n## 'Your company has undergone several defining moments throughout its history.'\n\nrom its roots some 35 years ago with the opening of the International Hotel, we have played a leading role in continuously redefining the Las Vegas experience. F\n\nWe announced two significant initiatives in 2004 that, taken together, give your company unrivaled momentum to set industry standards for creativity, performance and responsibility for decades to come.\n\n## Defining Momentum for Las Vegas\n\nOur merger agreement with Mandalay Resort Group and our plans to develop Project CityCenter on the Las Vegas Strip are among the most significant announcements in Las Vegas history. As this fabled city begins its second hundred years, MGM MIRAGE is positioned like no other company to take advantage of unsurpassed growth opportunities in the most dynamic gaming and entertainment market in the world.\n\nProject CityCenter will uniquely re-position Las Vegas like no other project before it. Far more than simply another casino-hotel, Project CityCenter encompasses a\n\nBELLAGIO SPA TOWER The quintessential luxury hotel is now even more opulent. This expansion includes 928 rooms and suites, 80,000 square feet of convention space, retail outlets, and restaurants.\n\n\n\nmyriad of elements that will propel Las Vegas into a new generation of urban sophistication.\n\nWhile additional details of this extraordinary development will come in the months ahead, I am pleased to tell you that we have secured the services of the internationally acclaimed architect Cesar Pelli to design our anchor resort at the heart of Project CityCenter.\n\nCesar Pelli & Associates has worked with corporate, government and private clients to design major public spaces, museums, airports, research centers, performing arts centers, academic buildings, hotels, office and residential towers and mixed-use projects.\n\nThe work of Cesar Pelli is not constrained by a personal style or a signature that would limit his architecture; instead, it celebrates the unique characteristics of each project. Using this approach, he has designed several exceptional buildings in the United States and abroad.\n\nWe are very excited about our partnership with Mr. Pelli and his colleagues and believe they will deliver for MGM MIRAGE and the residents of Southern Nevada a building of iconic stature around the world.\n\nSHIBUYA MGM GRAND Designed by superstar team Yabu Pushelberg, Shibuya features stellar sushi and the widest sake selection this side of the Pacific, all served in a sleek, airy ambiance.\n\n\n\nCRAVINGS THE MIRAGE The zenith of all-you-can-eat. Designed by Adam Tihany, Cravings boasts 11 cooking stations, a street of unique restaurants, and an array of temptations in what's unquestionably the ultimate buffet dining experience.J. TERRENCE LANNI Chairman & Chief Executive Officer\n\n\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "previously laid off or terminated employees, management determined in 2002 that a portion of the remaining accrual was no longer necessary. This resulted in a restructuring credit of $10 million in 2002.\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|-------------------------------------------------------------------------|---------|------------|----------|\n| Gain on sale of North Las Vegas land . . . . . . . . . . . $ | - | $ (36,776) | $ - |\n| Siegfried & Roy theatre write-down - The Mirage . . . | - | 1,408 | - |\n| Storm damage - Beau Rivage . . . . . . . . . . . . . . . . . | - | - | 7,824 |\n| Write-off of Detroit development costs . . . . . . . . . . . | - | - | 4,754 |\n| Impairment of assets to be disposed of . . . . . . . . . . | 473 | 5,764 | 2,134 |\n| Demolition costs . . . . . . . . . . . . . . . . . . . . . . . . . . . | 7,057 | 6,614 | - |\n| Other net losses on asset sales or disposals . . . . . . . | 1,135 | 4,049 | - |\n| | $ 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, resulting in the $37 million gain reflected above. Prior to 2003, we classified gains and losses on routine assets sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. We believe the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in periods prior to 2003. Until 2003, demolition costs were typically capitalized as part of new construction. We began expensing demolition costs on major construction projects as incurred on January 1, 2003, and are accounting for this change in policy prospectively. Demolition costs were not material in periods prior to 2003. Demolition costs in 2004 and 2003 related primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments of assets to be disposed of in 2003 consisted primarily of assets related to the former EFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, we wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million).\n\n## Non-operating Results\n\nThe following table summarizes information related to interest on our long-term debt:", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "BELLAGIO ADDS A JEWEL TO THE FAMILY CROWN. The Mirage Resorts merger provided outstanding resorts, people and land, and has propelled our earnings and provided an unparalleled platform for future growth.\n\n\n\n\n\n## SOON, A SPECTACULAR NEW CITY WILL RISE.\n\nProject CityCenter - an ambitious multi-dimensional urban plan - will contribute to the remarkable transformation of Las Vegas as an emerging city of global significance.\n\n20\n\n00\n\n04 20\n\n\n\n## BORGATA CHANGES THE FACE OF ATLANTIC CITY.\n\nBorgata is launched in Atlantic City with our joint-venture partner Boyd Gaming. Borgata has been a tremendous success, raising the bar for casino entertainment in that market.\n\n\n\n20\n\n03\n\nMANDALAY RESORT GROUP AND MGM MIRAGE ANNOUNCE MERGER. Mandalay Resort Group will add iconic resorts and great people to our family. We will own 832 acres in the heart of Las Vegas, the fastest growing city in the United States.\n\n09 20", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Notes to Consolidated Financial Statements\n\n## NOTE 1 - ORGANIZATION\n\nMGM MIRAGE (the 'Company'), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island ('TI'), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line - Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort - as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the 'Golden Nugget Subsidiaries'). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Management's Discussion and Analysis of Financial Condition and Results of Operations\n\n## RESULTS OF OPERATIONS\n\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts and 50% investments in two other casino resorts, including:\n\nLas Vegas, Nevada:\n\nOther:\n\nBellagio, MGM Grand Las Vegas, The Mirage, TI, New YorkNew York, Boardwalk, and Monte Carlo (50% owned).\n\nThe Primm Valley Resorts (Buffalo Bill's, Primm Valley Resort and Whiskey Pete's) in Primm, Nevada; Beau Rivage in Biloxi, Mississippi; MGM Grand Detroit; Borgata (50% owned) in Atlantic City, New Jersey.\n\nWe operate in one segment, the operation of casino resorts, which includes offering gaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over half of our net revenues are derived from gaming activities, a lower percentage than many of our competitors, as our operating philosophy is to provide a complete resort experience for our guests, including non-gaming amenities which command premium prices based on their quality.\n\nWe generate a majority of our net revenues and operating income from our Las Vegas Strip resorts. In 2004, over 75% of our net revenues and operating income was generated by wholly-owned Las Vegas Strip resorts. We believe that we own the premier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to continually reinvest in these resorts to maintain that competitive advantage. Our concentration on the Las Vegas Strip exposes us to certain risks outside of our control, such as competition from other Las Vegas Strip resorts as well as new or expanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005, and the impact from potential expansion of gaming in California. This concentration also exposes us to risks related to tourism and the general economy, including national and global economic conditions and terrorist attacks or other global events.\n\n## Key Performance Indicators\n\nAs a resort-based company, our operating results are highly dependent on the volume of customers at our resorts, which in turn impacts the price we can charge for our hotel rooms and other amenities. We also generate a significant portion of our operating income from the high-end gaming segment, which can cause variability in our results. Key performance indicators related to revenue are:\n\n - · Gaming revenue indicators - table games drop and slot handle (volume indicators); 'win' or 'hold' percentage, which is not fully controllable by us. Our normal table games win percentage is in the range of 18% to 22% of table games drop and our normal slot win percentage is in the range of 6% to 7% of slot handle;\n - · Hotel revenue indicators - hotel occupancy (volume indicator); average daily rate ('ADR', price indicator); revenue per available room ('REVPAR'), a summary measure of hotel results, combining ADR and occupancy rate.\n\nMost of our revenue is essentially cash-based, through customers wagering with cash or paying for non-gaming services with cash or credit cards. Our resorts, like many in the industry, generate significant operating cash flow. Our industry is capital intensive and we rely heavily on the ability of our resorts to generate operating cash flow to repay debt financing, fund maintenance capital expenditures and provide excess cash for future development.\n\nOur results of operations do not tend to be seasonal in nature, though a variety of factors can affect the results of any interim period, including the timing of major Las Vegas conventions, the amount and timing of marketing and special events for our high-end customers, and the level of play during major holidays, including New Year and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_MGM_2004.pdf", - "query": "Which events negatively impacted leisure travel and MCM Mirage high-end gaming business in late 2002 and early 2003 ?", - "target_page": 32, - "target_passage": "The war with Iraq and the outbreak of SARS in Asia, both of which negatively impacted leisure travel and our high-end gaming business in late 2002 and early 2003", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "On a consolidated basis, the most important factors and trends contributing to our operating performance over the last three years have been:\n\n - · The war with Iraq and the outbreak of SARS in Asia, both of which negatively impacted leisure travel and our high-end gaming business in late 2002 and early 2003;\n - · The new labor contract covering our Las Vegas Strip employees since mid-2002, which calls for significant annual wage and benefits increases through 2007;\n - · The current economic recovery in the United States, which began to impact our operations in the latter half of 2003 and continued to positively affect our results in 2004.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Management's Discussion and Analysis of Financial Condition and Results of Operations\n\nSlot revenues increased substantially in both 2003 and 2004. Improvements were the result of strong customer visitation, enhanced marketing programs, the impact of our Players Club rewards program, and the implementation of cashless gaming technology in 2003. Slot win percentages were consistent among all three periods.\n\nNon-casino revenue increased in 2004 primarily due to the enhanced amenities at our resorts. In addition, we were able to increase the pricing for our rooms and other non-gaming amenities. Our hotel results began to improve notably in the latter half of 2003, particularly at our Las Vegas Strip resorts. For the year ended December 31, 2004 REVPAR at our Las Vegas Strip resorts was $141 compared to $126 in 2003, an increase of 12%. Company-wide REVPAR was $121, an increase of 10% over 2003. This increase was largely rate driven, as occupancy increased from 91% to 92% and ADR increased from $121 to $132. In 2003, company-wide REVPAR increased 6% from $104 to $110, with most of the gains coming in the second half of the year.\n\n## Operating Results - Details of Certain Charges\n\nPre-opening and start-up expenses consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|--------------------------------------------------------------------------------|---------|----------|----------|\n| Bellagio expansion . . . . . . . . . . . . . . . . . . . . . . . . . | $ 3,805 | $ - | $ - |\n| KÀ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 3,655 | - | - |\n| Borgata . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | - | 19,326 | 7,757 |\n| New York-New York ( Zumanity, Nine Fine Irishmen) | - | 4,310 | - |\n| Players Club . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | - | 3,051 | 5,117 |\n| Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 2,816 | 2,579 | 1,267 |\n| | $10,276 | $ 29,266 | $ 14,141 |\n\nPre-opening and start-up expenses related to Borgata represent our share of the operating results of Borgata prior to its July 2003 opening.\n\n## Restructuring costs (credit) consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|-------------------------------------------------------------------------------|---------|---------|------------|\n| Contract termination costs . . . . . . . . . . . . . . . . . . . . | $ 3,693 | $ 4,049 | $ 3,257 |\n| Reversal of certain September 11 charges . . . . . . . . | - | - | (10,421) |\n| Siegfried & Roy show closure - The Mirage . . . . . . . | - | 1,623 | - |\n| Reversal of 2000 contract termination costs . . . . . . | - | - | (9,857) |\n| Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 1,932 | 925 | - |\n| | $ 5,625 | $ 6,597 | $ (17,021) |\n\nIn 2004, restructuring costs include $3 million for contract termination costs related to the Aqua restaurant at Bellagio and $2 million of workforce reduction costs at MGM Grand Detroit as a result of our efforts to minimize the impact of a gaming tax increase in Michigan.\n\nIn 2003, our primary restructuring activities included closing two marketing offices and terminating the related leases, terminating a lease agreement with a restaurant tenant at MGM Grand Las Vegas, and closing the Siegfried & Roy show, which resulted in a charge for employee severance costs.", - "page_start": 33, - "page_end": 33, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| Year Ended December 31 (In thousands, except per share amounts) | 2004 | 2003 | 2002 |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------|-------------------|---------------------|\n| Revenues | | | |\n| Casino . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | $ 2,223,965 | $ 2,037,514 | 2,012,840 |\n| Rooms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 911,259 | 833,272 | 796,861 |\n| Food and beverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 841,147 | 757,278 | 706,153 |\n| Entertainment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 270,799 | 255,995 | 251,488 |\n| Retail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 184,438 | 180,935 | 170,537 |\n| Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . | 240,880 | 210,772 | 215,600 |", - "page_start": 52, - "page_end": 52, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "| Year Ended December 31 | 2004 | % Change | 2003 | % Change | 2002 |\n|-------------------------------------------------------|-------------|------------|-------------|------------|-------------|\n| Casino revenues, net: | | | | | |\n| Table games . . . . . . . . . . | $ 943,343 | 9% | $ 866,096 | (3%) | $ 893,836 |\n| Slots . . . . . . . . . . . . . . . . | 1,218,589 | 9% | 1,115,029 | 5% | 1,064,491 |\n| Other . . . . . . . . . . . . . . . . | 62,033 | 10% | 56,389 | 3% | 54,513 |\n| Casino revenues, net . . | 2,223,965 | 9% | 2,037,514 | 1% | 2,012,840 |\n| Non-casino revenue: | | | | | |\n| Rooms . . . . . . . . . . . . . . | 911,259 | 9% | 833,272 | 5% | 796,861 |\n| Food and beverage . . . . . | 841,147 | 11% | 757,278 | 7% | 706,153 |\n| Entertainment, retail and other . . . . . . . . . . | 696,117 | 7% | 647,702 | 2% | 637,625 |\n| Non-casino revenues . . . . | 2,448,523 | 9% | 2,238,252 | 5% | 2,140,639 |\n| | 4,672,488 | 9% | 4,275,766 | 3% | 4,153,479 |\n| Less: Promotional allowances . | (434,384) | 5% | (413,023) | 4% | (396,551) |\n| | $ 4,238,104 | 10% | $ 3,862,743 | 3% | $ 3,756,928 |", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "previously laid off or terminated employees, management determined in 2002 that a portion of the remaining accrual was no longer necessary. This resulted in a restructuring credit of $10 million in 2002.\n\nProperty transactions, net consisted of the following:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|-------------------------------------------------------------------------|---------|------------|----------|\n| Gain on sale of North Las Vegas land . . . . . . . . . . . $ | - | $ (36,776) | $ - |\n| Siegfried & Roy theatre write-down - The Mirage . . . | - | 1,408 | - |\n| Storm damage - Beau Rivage . . . . . . . . . . . . . . . . . | - | - | 7,824 |\n| Write-off of Detroit development costs . . . . . . . . . . . | - | - | 4,754 |\n| Impairment of assets to be disposed of . . . . . . . . . . | 473 | 5,764 | 2,134 |\n| Demolition costs . . . . . . . . . . . . . . . . . . . . . . . . . . . | 7,057 | 6,614 | - |\n| Other net losses on asset sales or disposals . . . . . . . | 1,135 | 4,049 | - |\n| | $ 8,665 | $ (18,941) | $ 14,712 |\n\nIn 2004, there were no material unusual property transactions. In 2003, we sold 315 acres of land in North Las Vegas, Nevada near Shadow Creek for approximately $55 million, resulting in the $37 million gain reflected above. Prior to 2003, we classified gains and losses on routine assets sales or disposals as a non-operating item at some resorts and as an operating item at other resorts. We believe the preferable presentation of these items is as an element of operating income. Prior period statements have not been reclassified as such transactions were not material in periods prior to 2003. Until 2003, demolition costs were typically capitalized as part of new construction. We began expensing demolition costs on major construction projects as incurred on January 1, 2003, and are accounting for this change in policy prospectively. Demolition costs were not material in periods prior to 2003. Demolition costs in 2004 and 2003 related primarily to preparation for the Bellagio standard room remodel, Bellagio expansion and new theatre at MGM Grand Las Vegas. Impairments of assets to be disposed of in 2003 consisted primarily of assets related to the former EFX! show and restaurants closed during 2003 at MGM Grand Las Vegas.\n\nIn 2002, Tropical Storm Isidore caused property damage at Beau Rivage totaling $8 million, including clean-up costs. The amount of the write-down for damaged assets was determined based on the net book value of the assets and engineering estimates. In connection with the revised development agreement in Detroit, we wrote off $5 million, which was the net book value of previously incurred development costs associated with the riverfront permanent casino site ($9 million), offset by previously accrued obligations no longer required under the revised development agreement ($4 million).\n\n## Non-operating Results\n\nThe following table summarizes information related to interest on our long-term debt:", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## POINTS IN TIME\n\n19\n\n93\n\n\n\n## DEFINING MOMENTS OF MGM MIRAGE\n\n96 19\n\n\n\nTHE NEW YORK-NEW YORK SKYLINE BECOMES\n\nA TOWERING PRESENCE IN THE PORTFOLIO. We acquired Primadonna Resorts to gain full ownership of the spectacular New York-New York as well as three hotel-casinos on the Nevada state line and two championship golf courses.\n\nIT ALL BEGINS WITH MGM GRAND. MGM Grand, the largest hotel-casino in the world, opened to great fanfare. 'The City of Entertainment' redefined the urban resort and provided the foundation for our company's momentous growth.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Management's Discussion and Analysis of Financial Condition and Results of Operations\n\n## RESULTS OF OPERATIONS\n\nAt December 31, 2004, our operations consisted of 11 wholly-owned casino resorts and 50% investments in two other casino resorts, including:\n\nLas Vegas, Nevada:\n\nOther:\n\nBellagio, MGM Grand Las Vegas, The Mirage, TI, New YorkNew York, Boardwalk, and Monte Carlo (50% owned).\n\nThe Primm Valley Resorts (Buffalo Bill's, Primm Valley Resort and Whiskey Pete's) in Primm, Nevada; Beau Rivage in Biloxi, Mississippi; MGM Grand Detroit; Borgata (50% owned) in Atlantic City, New Jersey.\n\nWe operate in one segment, the operation of casino resorts, which includes offering gaming, hotel, dining, entertainment, retail and other resort amenities. Slightly over half of our net revenues are derived from gaming activities, a lower percentage than many of our competitors, as our operating philosophy is to provide a complete resort experience for our guests, including non-gaming amenities which command premium prices based on their quality.\n\nWe generate a majority of our net revenues and operating income from our Las Vegas Strip resorts. In 2004, over 75% of our net revenues and operating income was generated by wholly-owned Las Vegas Strip resorts. We believe that we own the premier casino resorts on the Las Vegas Strip, and a main focus of our strategy is to continually reinvest in these resorts to maintain that competitive advantage. Our concentration on the Las Vegas Strip exposes us to certain risks outside of our control, such as competition from other Las Vegas Strip resorts as well as new or expanded resorts in Las Vegas, including Wynn Las Vegas expected to open in 2005, and the impact from potential expansion of gaming in California. This concentration also exposes us to risks related to tourism and the general economy, including national and global economic conditions and terrorist attacks or other global events.\n\n## Key Performance Indicators\n\nAs a resort-based company, our operating results are highly dependent on the volume of customers at our resorts, which in turn impacts the price we can charge for our hotel rooms and other amenities. We also generate a significant portion of our operating income from the high-end gaming segment, which can cause variability in our results. Key performance indicators related to revenue are:\n\n - · Gaming revenue indicators - table games drop and slot handle (volume indicators); 'win' or 'hold' percentage, which is not fully controllable by us. Our normal table games win percentage is in the range of 18% to 22% of table games drop and our normal slot win percentage is in the range of 6% to 7% of slot handle;\n - · Hotel revenue indicators - hotel occupancy (volume indicator); average daily rate ('ADR', price indicator); revenue per available room ('REVPAR'), a summary measure of hotel results, combining ADR and occupancy rate.\n\nMost of our revenue is essentially cash-based, through customers wagering with cash or paying for non-gaming services with cash or credit cards. Our resorts, like many in the industry, generate significant operating cash flow. Our industry is capital intensive and we rely heavily on the ability of our resorts to generate operating cash flow to repay debt financing, fund maintenance capital expenditures and provide excess cash for future development.\n\nOur results of operations do not tend to be seasonal in nature, though a variety of factors can affect the results of any interim period, including the timing of major Las Vegas conventions, the amount and timing of marketing and special events for our high-end customers, and the level of play during major holidays, including New Year and Chinese New Year.", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "- · The ongoing capital investments in upscale amenities at our resorts, which we believe is allowing us to market more effectively to visitors, capture a greater share of these visitors' increased travel budgets, and generate premium pricing for our resorts' rooms and other amenities.\n\nAs a result of the above trends, our net revenues increased 10% in 2004, while increasing only 3% in 2003. Net revenues at MGM Grand Las Vegas increased 14% in 2004, due to the addition of several new restaurants, bars and other amenities, and in spite of fewer rooms in service due to room remodel activity. Net revenues at New York-New York increased 26% as the resort continues to benefit from Zumanity and Nine Fine Irishmen, both of which opened in summer 2003. Net revenues at The Mirage decreased 2% as the resort was without the Siegfried & Roy show and the buffet was closed for a portion of the year while Cravings was constructed.\n\nOur operating income in 2004 increased 36%, due primarily to the strong revenue trends and a full year of Borgata's results. The increase in income from unconsolidated affiliates is responsible for approximately one-third of the increase in operating income, while improvements at our operating resorts, particularly Bellagio, MGM Grand Las Vegas and New York-New York, make up the rest of the increase. Operating income at MGM Grand Detroit was essentially flat year-overyear, despite an increase in the gaming tax rate from 18% to 24% effective September 2004. Several other factors largely offset: Higher corporate expense due to increased development costs; lower bad debt expense due to improved collections; lower preopening expenses due to Borgata preopening expenses in 2003; and higher property transactions, net due to a $37 million gain on sale of land in 2003.\n\nIn 2003, our operating income decreased by 6%. While revenues grew especially in the second half of 2003, expense growth, particularly in payroll, outpaced revenues.\n\n## Operating Results - Detailed Revenue Information\n\n## The following table presents details of our net revenues:\n\n## (In thousands)\n\nTable games revenues increased as a result of the improvements in the U.S. economy and the general economy worldwide, as well as increased attendance at targeted marketing events, including the New Years period. Total table games volume for the year was up 9%, with particular strength in baccarat volume, up 18%. These are the most significant increases in table games volumes since 2000. Table games revenues decreased in 2003, as a slightly lower hold percentage and the impact of the Iraq war and SARS outbreak in early 2003 were not fully offset by strong volume levels over the latter half of 2003. Table games win percentages were within our normal range for all periods presented.", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Defining Momentum for Our Industry\n\nThe gaming industry in America is maturing, and international expansion, while exciting in select markets, remains challenging. As a result, your company has pursued a growth strategy that calls for maximizing the assets we currently own and seeking prudent development opportunities and strategic acquisitions.\n\nUpon completion of our merger with Mandalay, MGM MIRAGE will be the world's leading gaming and leisure company. The combination will result in a wellcapitalized company uniquely situated to invest in its current portfolio in addition to creating new projects in the United States and around the world.\n\nWe believe this is an outstanding transaction for the shareholders of both companies. With this acquisition, we will own, operate and have investments\n\nin 28 properties throughout Nevada, Mississippi, Illinois, Michigan, and New Jersey.\n\nThe combined company will have an asset portfolio which includes some of the most widely recognized brand names in the world. These properties cater to a broad customer base, ranging from value-oriented to the ultrahigh end. Each resort provides a unique customer experience through its specific personality and combination of amenities.\n\nFIX BELLAGIO Classic American fare using the freshest fish, meat, and poultry cooked to order on a wood-burning grill. Costa Rican Padouk wood inspires a warm environment in a unique, vibrant design.\n\n\n\nWe also will have at Mandalay Bay the fifth largest convention center in the United States, providing the company with a great resource to further develop the business travel and convention market.\n\n\n\nBut the bricks and mortar tell only part of the story of this transaction. At the heart of Mandalay is its people. Mandalay employees at all levels are energetic and talented and will be a tremendous asset to us. Together, we will become a family in excess of 70,000 people committed to delivering the best possible experiences for our guests. The transaction also will create unparalleled opportunities for our entire family of employees.\n\nIn short, this groundbreaking transaction creates unstoppable momentum for all stakeholders in the MGM MIRAGE family.\n\n## Defining Momentum in our Properties\n\nIn 2004, your company invested over $690 million of capital in the creation of new restaurants, clubs, shows and nightspots as well as the development of strategic enhancements to existing amenities. These investments generated exceptional returns in a time when competition for the entertainment dollar has never been higher.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## Notes to Consolidated Financial Statements\n\n## NOTE 1 - ORGANIZATION\n\nMGM MIRAGE (the 'Company'), formerly MGM Grand, Inc., is a Delaware corporation, incorporated on January 29, 1986. As of December 31, 2004 approximately 58% of the outstanding shares of the Company's common stock were owned by Tracinda Corporation, a Nevada corporation wholly owned by Kirk Kerkorian. MGM MIRAGE acts largely as a holding company and, through wholly-owned subsidiaries, owns and/or operates casino resorts.\n\nThe Company owns and operates the following casino resorts on the Las Vegas Strip in Las Vegas, Nevada: Bellagio, MGM Grand Las Vegas, The Mirage, Treasure Island ('TI'), New York-New York and the Boardwalk Hotel and Casino. The Company owns a 50% interest in the joint venture that owns and operates the Monte Carlo Resort & Casino, also located on the Las Vegas Strip.\n\nThe Company owns three resorts in Primm, Nevada at the California/Nevada state line - Whiskey Pete's, Buffalo Bill's and the Primm Valley Resort - as well as two championship golf courses located near the resorts. The Company also owns Shadow Creek, an exclusive world-class golf course located approximately ten miles north of its Las Vegas Strip resorts.\n\nThe Company, through its wholly owned subsidiary, MGM Grand Detroit, Inc., and its local partners formed MGM Grand Detroit, LLC, to develop a hotel, casino and entertainment complex in Detroit, Michigan. MGM Grand Detroit, LLC operates a casino in an interim facility in downtown Detroit. See Note 10 for discussion of the revised development agreement with the City of Detroit and plans for a permanent casino resort.\n\nThe Company owns and operates Beau Rivage, a beachfront resort located in Biloxi, Mississippi. The Company also owns a 50% interest in a limited liability company that owns Borgata, a casino resort at Renaissance Pointe, located in the Marina area\n\nof Atlantic City, New Jersey. Boyd Gaming Corporation owns the other 50% of Borgata and also operates the resort. Borgata opened in July 2003. The Company owns approximately 95 developable acres adjacent to Borgata, a portion of which consists of common roads, landscaping and master plan improvements which the Company designed and developed as required under the agreement with Boyd.\n\nUntil July 2004, the Company owned and operated MGM Grand Australia and until January 2004, the Company owned and operated the Golden Nugget Las Vegas in downtown Las Vegas and the Golden Nugget Laughlin in Laughlin, Nevada (the 'Golden Nugget Subsidiaries'). Until June 2003, the Company operated PLAYMGMMIRAGE.com, the Company's online gaming website based in the Isle of Man. See Note 3 for further information regarding these discontinued operations. In the second quarter of 2002, the Company received proceeds of $11 million upon termination of management agreements covering four casinos in the Republic of South Africa. Prior to the termination, the Company managed three permanent casinos and one interim casino and received management fees from its partner, Tsogo Sun Gaming & Entertainment. The termination fee was recorded as part of other revenues in the accompanying consolidated statements of income.\n\nThe Company is actively seeking future development opportunities in the United Kingdom. In May 2003, the Company acquired a 25% interest in Metro Casinos Limited, a United Kingdom gaming company which operates a casino in Bristol. See Note 10 for discussion of other potential developments in the United Kingdom.\n\nIn June 2004, the Company entered into a joint venture agreement to develop, build and operate a hotel-casino resort in Macau S.A.R. The agreement is subject to, among other things, the approval of the government of Macau S.A.R., and other regulatory approvals, as well as the entry into a subconcession agreement with the holder of one of the existing concessions.", - "page_start": 55, - "page_end": 55, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What possess all naval aviators ?", - "target_page": 5, - "target_passage": "All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## AERODYNAMICS FOR NAVAL AVIATORS\n\nBY\n\nH. H. HURT, JR. UNIVERSITY OF SOUTHERN CALIFORNIA\n\n\n\nDISTRIBUTION STATEMENT A. Approved for public release; distribution is unlimited. DESTRUCTION NOTICE - For unclassified, limited documents, destroy by any method that will prevent disclosure of contents or reconstruction of the document.\n\nPUBLISHED BY DIRECTION OF COMMANDER, NAVAL AIR SYSTEMS COMMAND", - "page_start": 0, - "page_end": 0, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\nThe performance of an aircraft is. the most important feature which defines its suitability for specific missions. The principal items of airplane performance deserve detailed consideration in order to better understand and appreciate the capabilities of each airplane. Knowledge of the various items of airplane performance will provide the Naval Aviator with a more complete appreciation of the\n\noperating limitations and insight to obtain the design performance of his aircraft. The performance section of the flight handbook provides the specific information regarding the capabilities and limitations of each airplane. Every Naval Aviator must rely upon these handbook data as the guide to safe and effecrive operation of his aircraft.", - "page_start": 112, - "page_end": 112, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## PREFACE\n\nThe purpose of this textbook is to present the elements of applied aerodynamics and aeronautical engineering which relate directly to the problems of flying operations. All Naval Aviators possess a natural interest in the basic aerodynamic factors which affect the performance of all aircraft. Due .to the increasing complexity of modern aircraft, this natural interest must be applied to develop a sound understanding of basic engineering principles and an appreciation of some of the more advanced problems of aerodynamics and engineering. The safety and effectiveness of flying operations will depend greatly on the understanding and appreciation of how and why an airplane flies. The principles of aerodynamics will provide the foundations for developing exacting and precise flying techniques and operational procedures.\n\nThe content of this textbook has been arranged to provide as complete as possible a reference for all phases of flying in Naval Aviation. Hence, the text material is applicable to the problems of flight training, transition training, and general flying operations. The manner of presentation throughout the text has been designed to provide the elements of both theory and application and will allow either directed or unassisted study. As a result, the text material'will be applicable to supplement formal class Iectures and briefings and provide reading material as a background for training and flying operations.\n\nMuch of the specialized mathematical detail of aerodynamics has been omitted wherever it was considered unnecessary in the field of flying operations. Also, many of the basic assumptions and limitations of certain parts of aerodynamic theory have been omitted for the sake of simplicity and clarity of presentation. In order to contend with these specific shortcomings, the Naval Aviator should rely on the assistance of certain specially qualified individuals within Naval Aviation. For example, graduate aeronautical engineers, graduates of the Test Pilot Training School at the Naval Air Test Center, graduates of the Naval Aviation Safety Officers Course, and technical representatives of the manufacturers are qualified to assist in interpreting and applying the more difficult parts of aerodynamics and aeronautical engineering. To be sure, the specialized qualifications of these individuals should be utilized wherever possible.", - "page_start": 4, - "page_end": 4, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## NAVWEPS 00-801-80 PREFACE\n\nThe majority of aircraft accidents are due to some type of error of the pilot. This fact has been true in the past and, unfortunately, most probably will be true in the future. Each Naval Aviator should strive to arm himself with knowledge, training, and exacting, professional attitudes and techniques. The fundamentals of aerodynamics as presented in this text will provide the knowledge and background for safe and effective flying operations. The flight handbooks for the aircraft will provide the particular techniques, procedures, and operating data which are necessary for each aircraft. Diligent study and continuous training are necessary to develop the professional skills and techniques for successful flying operations.\n\nThe author takes this opportunity to express appreciation to those who have assisted in the preparation of the manuscript. In particular, thanks are due to Mr. J. E. Fairchild for his assistance with the portions dealing with helicopter aerodynamics and roll coupling phenomena. Also, thanks are due to Mr. J. F. Detwiler and Mr. E. Dimitruk for their review of the text material.\n\nHUGH HARRISON HURT, Jr.\n\nAugust 1959 University of Southern California Los Angelesj Cnlif.", - "page_start": 5, - "page_end": 5, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\n## Chapter 1 BASIC AERODYNAMKS\n\nIn order to understand the characteristics of his aircraft and develop precision flying techniques, the Naval Aviator must be familiar with the fundamentals of aerodynamics. There are certain physical laws which describe the behavior of airflow and define the various aerodynamic forces and moments acting on a surface. These principles of aerodynamics provide the foundations for good, precise flying techniques.\n\n## WING AND AIRFOIL FORCES\n\n## PROPERTIES OF THE ATMOSPHERE\n\nThe aerodynamic forces and moments acting on a surface are due in great part to the properties of the air mass in which the surface is operating.~ The composition, of the earth's atmosphere by volume is approximately 78 percent. nitrogen, 21 percent oxygen, and 1", - "page_start": 18, - "page_end": 18, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\n## Chapter 6\n\n## APPLICATION OF AERODYNAMICS TO SPECIFBC PROW OF FLYING\n\nWhile the previous chapters have presented the detailed parts of the general field of aerodynamics, there remain various problems of flying which require the application of principles from many parts of aerodynamics. The application of aerodynamics to these various problems of flying will assist the Naval Aviator in understanding these problems and developing good flying techniques.\n\n## PRIMARY CONTROL OF AIRSPEED AND ALTITUDE\n\nFor the conditions of steady flight, the airplane must be in equilibrium. Equilibrium will be achieved when there is no unbalance of force'or moment acting on the airplane. If it is assumed that the airplane is trimmed so that no unbalance of pitching, yawing, or rolling moments exists, the principal concern is for", - "page_start": 366, - "page_end": 366, - "source_file": "00-80T-80.pdf" - }, - { - "text": "- 7. A pilot, as defined in paragraph 22(1) of Schedule 3A to the Merchant Shipping Act 1995( c ), where they have travelled to the United Kingdom in the course of their work or have been repatriated to the United Kingdom.\n - 8. An inspector, or a surveyor of ships, appointed under section 256 of the Merchant Shipping Act 1995, or by a government of a relevant British possession as defined in section 313(1) of that Act, where they have travelled to the United Kingdom in the course of their work.\n - 9. -(1) A member of aircraft crew where they have travelled to the United Kingdom in the course of their work or are otherwise required to travel to the United Kingdom for work purposes.\n - (2) For the purposes of this paragraph-\n - (a) 'member of aircraft crew' means a person who-\n - (i) acts as a pilot, flight navigator, flight engineer or flight radiotelephony operator of the aircraft,\n - (ii) is carried on the flight deck and is appointed by the operator of the aircraft to give or to supervise the training, experience, practice and periodical tests required for the flight crew under article 114(2) of the Air Navigation Order 2016 or any under Annex III or Annex VI of the Air Operations Regulation, or\n - (iii) is carried on the flight for the purpose of performing duties to be assigned by the operator or the pilot in command of the aircraft in the interests of the safety of passengers or of the aircraft;\n - (b) travel for work purposes includes, in particular-", - "page_start": 36, - "page_end": 36, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## NAVWEPS 00-8DT-80 BASIC AERODYN,AMlCS\n\n\n\nt-\n\nFigure 1.10. Airfoil ~erminoh\n\n", - "page_start": 38, - "page_end": 38, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## NAVWEPS 00-801-80 HIGH SPEED AERODYNAMICS\n\nChapter 3 HIGH SPEED AERODYNAMICS\n\n\n\nDevelopments in aircraft and powerplants have produced high performance airplanes with capabilities for very high speed flight. The study of aerodynamics at these very high flight speeds has many significant differences from the study of classical low speed aerodynamics. Therefore, it is quite necessary that the Naval Aviator be familiar with the nature of high speed airflow and the characteristics of high performance airplane configurations.\n\n## GENERAL CONCEPTS AND SUPERSONIC FLOW PATTERNS\n\n## NATURE OF COMPRESSIBILITY\n\nAt low flight speeds the study of aerodynamics is greatly simplified by the fact that air may experience relatively small changes in pressure with only negligible changes in density. This airflow is termed incompressible since the air may undergo changes", - "page_start": 218, - "page_end": 218, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## PLIGHT AT HIGH LIFT CONDITIONS\n\nIt is frequently stated that the career Naval Aviator spends more than half his life 'below a thousand feet and a hundred knots.' Regardless of the implications of such a statement, the thought does cunnute the relationship of minimum flying speeds and carrier aviation. Only in Naval Aviation is there such importance assigned to precision control of the aircraft at high lift conditions. Safe operation in carrier aviation demands precision control of the airplane at high lift conditions.\n\nThe aerodynamic lift characteristics of an airplane are portrayed by the curve of lift coefficient versus angle of attack. Such a curve is illustrated in figure 1.15 for a specific airplane in the clean and flap down configurations. A given aerodynamic configuration experiences increases in lift coefficient with increases in angle of attack until the maximum lift coefficient is obtained. A further increase in angIe of attack produces stall and the lift coefficient then decreases. Since the maximum lift coefficient corresponds to the minimum speed available in flight, it is an important point of reference. The stall speed of the aircraft in level flight is related by the equation:\n\nV7.=17.2 J-c w .ln2s\n\nwhere\n\nV.-stall speed, knots TAS W=gross weight, lbs. c Lnoz= airplane maximum lift coefficient csaltitude density ratio S= wing area, sq. ft.\n\nThis equation illustrates the effect on stall speed of weight and wing area (or wing loading, W/S), maximum lift coefficient, and altitude. If the stall speed is desired in EAS, the density ratio will be that for sea level (u= 1.000).\n\nEFFECT OF WEIGHT. Modern configurations of airplanes are characterized by a large percent. of the maximum gross weight being\n\nfuel. Hence, the gross weight and stall speed of the airplane can vary considerably throughout the flight. The effect of only weight on stall speed can be expressed by a modified form of the stall speed equation where density ratio, c r,,,.,, and wing area are held constant.\n\nV \\_i\\_z-K J v.,K\n\nwhere V*,=stall speed corresponding to some gross weight, WI V@a= stall speed corresponding to a dif-\n\nferent gross weight, WP\n\nAs an illustration of this equation, assume that a particular airplane has a stall speed of 100 knots at a gross weight of 10,000 lbs. The stall speeds of this Sam: airplane at other gross weights would be:\n\n| ll,W | 100x 4, '&~=lO, |\n|--------|---------------------|\n| 12,ooO | 110 |\n| 14,4al | 120 |\n| 9mJ | 95 |\n| 8,100 | 90 |\n\nFigure 1.15 illustrates the effect of weight on stall speed on a percentage basis and will be valid for any airplane. Many specific conditions of flight are accomplished at certain fixed angles of attack and lift coefficients. The effect of weight on a percentage basis on the speeds for any specific lift coefficient and angle of attack is identical. Note that at small variations of weight, a rule of thumb may express the effect of weight on stall speed'a 2 percent change in weight causes a I percent change in stall speed.'\n\nEFFECT OF MANEUVERING FLIGHT. Turning flight and maneuvers produce an effect on stall speed which is similar to the effect of weight. Inspection of the chart on figure 1.16 shows the forces acting on an airplane in a steady turn. Any steady turn requires that the vertical component of Iift be equal to", - "page_start": 52, - "page_end": 52, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the static pressure of the aire at standard sea level ?", - "target_page": 20, - "target_passage": "At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## NAVWEe3 OO-BOT-80 BASIC AERODYNAMICS\n\npercent water vapor, argon, carbon dioxide, etc. For the majority of all aerodynamic considerations air is considered as a uniform mixture of these gases. The usual quantities used to define the properties of an air mass are as follows:\n\nSTATIC PRESSURE. The absolute static pressure of the air is a property of primary importance. The static pressure of the air at any altitude results from the mass of air supported above that level. At standard sea level conditions the static pressure of the air is 2,116 psf (or 14.7 psi, 29.92 in. Hg, etc.) and at 40,000 feet altitude this static pressure decreases to approximately 19 percent of the sea level value. The shorthand notation for the ambient static pressure is 'p' and the standard sea level static pressure is given the subscript 'a' for zero altitude, pa. A more usual reference in aerodynamics and performance is the proportion of the ambient sta~tic pressure and the standard sea level static pressure. This static pressure ratio is assigned the shorthand notation of 8 (delta).\n\nAltitude pressure ratio\n\nAmbient static pressure =Standard sea level static pressure 6 = PIP0\n\nMany items of gas turbine engine performance are directly related to some parameter involving the altitude pressure ratio.\n\nTEMPERATURE. The absolute temperacure of the air is another important property. The ordinary temperature measurement by the Centigrade scale has a/datum at the freezing point of water but absolute zero temperature is obtained at a temperature of -273' Centigrade. Thus, the standard sea level tcmperature of 15' C. is an absolute temperature of 288'. This scale of absolute temperature using the Centigrade increments is the Kelvin scale, e.g., o K. The shorthand notation for the ambient air temperature is 'T' and the standard sea level air temperature of 288' K. is signified by Ta. The more usual reference is,\n\nthe proportion of the ambient air temperature and the standard sea level air temperature. This temperature ratio is assigned the shorthand notation of 0 (theta).\n\nTemperature ratio\n\n## Ambient air temperature\n\n=Standard sea level air temperature @=TITtl ,+273 288\n\nMany items of compressibility effects and jet engine performance involve consideration of the temperature ratio.\n\nDENSITY. The density of the air is a property of greatest importance in the study of aerodynamics. The density of air is simply the mass of air per~cubic foot of volume and is a direct measure of the quantity of matter in each cubic foot of air. Air at standard sea lcvcl conditions weighs 0.0765 pounds per cubic foot and has a density of 0.002378 slugs per cubic foot. At an altitude of 40,000 feet the air density is approximately 25 percent of the sea level value.\n\nThe shorthand notation used for air density is p (rho) and the standard sea level air density is then pO. In many parts of aerodynamics it is very convenient to consider the proportion of the ambient air density and standard sea level air density. This density ratio is assigned the shorthand notation of c (sigma).\n\ndensity ratio= ambient air density standard sea level air density a = PIP0\n\nA general gas law defines the relationship of pressure temperature, and density when there is no change of state or heat transfer. Simply stated this would be 'density varies directly with pressure, inversely with temperature.' Using the properties previously defined,\n\ndensity ratio= Pressure rat'o. temperature rat10", - "page_start": 19, - "page_end": 19, - "source_file": "00-80T-80.pdf" - }, - { - "text": "If the potential energy is represented by the static pressure, p, the sum of the potential and kinetic energy is the total pressure of the airstream.\n\nH=p+% P V' where H=total pressure, psf (sometimes referred to as 'head ' pressure) p=static pressure, psf. p=density, siugs per cu. ft. V= velocity, ft./set.\n\nThis equation is the Bernoulli equation for 'incompressible flow. It is important to appreciate that the term >$pV2 has the units of pressure, psf. This term is one of the most important in all aerodynamics and appears so frequently t&it is given the name 'dynamic pressure' and the shorthand notation '4'.\n\nq= dynamic pressure, psf = jgpv2\n\nWith this definition it could be said that the sum of static and dynamic pressure in the flow tube remains constant.\n\nFigure 1.3 illustrates the variation of static, dynamic, and total pressure of air flowing through a closed tube. Note that the total pressure is con,stant throughout the length and any change in dynamic pressure produces the same magnitude change in static pressure.\n\nThe dynamic pressure of a free airstream is the one 'common denominator of all aerodynamic forces and moments. Dynamic pressure represents the kinetic energy of the free airstream and is a factor relating the capability for producing changes in static pressure on a surface. As defined, the dynamic, pressure varies directly as the density and the square of the velocity. Typical values of dynamic pressure, 4, are shown in table l-1 for various true airspeeds in the standard atmosphere. Notice that the dynamic pressure at some fixed velocity varies directly with the density ratio at any altitude. Also, appreciate the fact that at an altitude of 40,oM) feet (where the density ratio, b, is 0.2462) it is necessary to have a true air velocity twice that at sea level in order to product the same dynamic pressure.\n\nTABLE l-l. Effect of Speed and Altitvde on Dwzmnic Prerrure\n\n| True air | - |\n|-------------------|-------|\n| speed (fr./scc.) | ,I I |\n| m= | c |\n| | \\_- |\n| 169 | |\n| 338 | |\n| 507 | |\n| 616 | |\n| 845 | |\n| I, 013 | |\n\nAIRSPEED MEASUREMENT. If a symmetrically shaped object were placed in a moving airstream, the flow pattern typical of figure 1.4 would result. The airstream at the very nose of the object would stagnate and the relative flow velocity at this point would be zero. The airflow ahead of the object possesses some certain dynamic pressure and ambient static pressure. At the very nose of the object the local velocity will drop to zero and the airstream dynamic pressure will be converted into an increase in static pressure at the stagnation point. In other words, there will exist a static pressure at the stagnation point which is equal to the airstream total pressure-ambient static pressure plus dynamic pressure.\n\nAround the surface of the object the airflow will divide and the local velocity will increase from zero at the stagnation point to some maximum on the sides of the object. If friction and viscosity effects are neglected, the", - "page_start": 26, - "page_end": 26, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## ICAO STANDARD ATMOSPHERE\n\n*GEOPOTENTIAL OF THE TROPOPAUSE\n\nFigure 1.7. Standard Altitude Table", - "page_start": 22, - "page_end": 22, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## PITOT-STATIC SYSTEM\n\n## PITOT WITH SEPARATE STATIC SOURCE\n\nPRESSURE INDICATED BY GAUGE IS DIFFERENCE BETWEEN TOTAL AND STATIC PRESSURE, H-p= q\n\n\n\nFigure. 1.5. Airspeed Measurement\n\ninstrument and errors due to position or location of the installation. The instrument error must be small by design of the equipment and is usually negligible in equjpment which is properly maintained and cared for. The position error of the installation must be small in the range of airspeeds involving critical performance conditions. Position errors are most usually confine,d to the static source in that the actual static pressure sensed at the static port may be different from the free airstream static pressure. When the .,aircraft is operated through a large range' of angles of attack, the static pressure distribution varies 'quite greatly and it becomes quite difficult to'minimize the static source error. In most instances a compensating group of static sources may be combined to reduce the position error. In order to appreciate the magnitude of this problem, at flight speed near 100 knots a\n\n0.05 psi position error is an airspeed error of 10 knots. A typical variation of airspeed system position error is illustrated in figure 1.6.\n\n(3) The equivalent airspeed (PAS) is the result of correcting the (CAS) for compressibility effects. At high flight speeds the stagnation pressure recovered in the pitot tube is not representative of the airstream dynamic pressure due to a magnification by compressibility. Compressibility of the airflow produces a stagnation pressure in the pitot which is greater than if the flow were incompressible. As a result, the airspeed indication is given an erroneous magnihcation. The standard airspeed indicator is calibrated to read correct when at standard sea level conditions and thus has a compressibility correction appropriate for these conditions. However, when the aircraft is operating above standard sea level altitude,", - "page_start": 28, - "page_end": 28, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\nAIRSTREAM AHEAD HAS AMBIENT STATIC PRESSURE AND DYNAMIC PRESSURE\n\nSTAGNATION PRESSURE IS AIRSTREAM TOTAL PRESSURE P+q\n\nFtgure 1.4. Flow Pattern on a Symmetrical Object\n\nsurface anflow continues to the aft stagnation point where the local velocity is again zero. The important point of this example of aerodynamic flow is existence of the stagnation point. The change in airflow static pressure which takes place at the stagnation point IS equal to the free stream dynamic pressure, q.\n\nThe measurement of free stream dynamic pressure is fundamental to the indication of airspeed. In fact, airspeed indicators are simply pressure gauges which measure dynamic pressure related to various airspeeds. Typical airspeed measuring systems are illustrated in figure 1.5. The pitot head has no internal flow velocity and the pressure in the pitot tube is equal to the total pressure of the airstream. The purpose of the static-ports is to sense the true static pressure of the free airstream. The total pressure and static pressure lines are attached to a differential pressure gauge and the net pressure indicated is the dynamic\n\npressure, q. The pressure gauge is then calibrated to indicate flight speed in the standard sea level air mass. For example, a dynamic pressure of 305 psf would be realized at a sea level flight ,speed of 300 knots.\n\nActually there can be many conditions of flight where the airspeed indicator does not truly reflect the actual velocity through the air mass. The corrections that must be applied are many and lisred in sequence below:\n\n- (1) The indicated airspeed (IAS) is the actual instrument indication for some given flight condition. Factors such as an altitude other than standard sea level, errors of the instrument and errors due to the installation, compressibility, etc. may create great variance between this instrument indication and the actual flight speed.\n- (2) The calibrated airspeed (CM) is the result of correcting IAS for errors of the", - "page_start": 27, - "page_end": 27, - "source_file": "00-80T-80.pdf" - }, - { - "text": "the inherent compensation is inadequate and additional correction must be applied. The subtractive corrections that must be applied to CA$ depend on pressure altitude and CAS and are shown on figure 1.6 for the subsonic flight range. The equivalent airspeed (EAS) is the flight speed in the standard sea level air mass which would produce the same free stream dynamic pressure as the actual flight condition.\n\n(4) The true airspeed (TAS) results when the &4X is corrected for density altitude. Since the airspeed indicator is calibrated for the dynamic pressures corresponding to airspeeds at standard sea level conditions, variations in air density must be accounted for. To relate EAS and TAX requires consideration that the EAS coupled with stand.ard sea level density produces the same dynamic pressure as the TAX Soupled with the ^^\\_.\\_^ 1 .:.. 2---:... ,.f *L., bl:A.* rnrJ;r;m.. dCLUd, 'all UcIIJIcy 'I L11L ''6°C C'IIUACI'L'. From this reasoning, it can be shown that:\n\n(TAS)2p=(EAS)2 po d -or, TAS=EAS 62 P TAS= EAS 2\n\n4\n\nwhere TAX= true airspeed EAS=equivalent airspeed p=actual air density PO= standard sea level air density n=altitude density ratio, p/pa\n\nThe result shows that the TAX is a function of EAS and density altitude. Figure 1.6 shows a chart of density altitude as a function of pressure altitude and temperature. Each particular density altitude fixes the proportion between TAX and EAS. The use of a navigation computer requires setting appropriate values of pressure altitude and temperature on the scales which then fixes rhe proportion between the scales of TAS and EAS (or TAS and CAS when compressibiliry corrections are applicable).\n\nThus, the airspeed indicator system measures dynamic pressure and will relate true flight velocity when instrument, position, compressibility, and density corrections are applied. These corrections are quite necessary for accurate determination of true airspeed and accurate navigation.\n\nBernoulli's principle and the concepts of static, dynamic, and total pressure are the basis of aerodynamic fundamentals. The pressure distribution caused by the variation of local stack and dynamic pressures on a surface is the source of the major aerodynamic forces and moment.\n\n## DEVELOPMENT OF AERODYNAMIC FORCES\n\nThe typical airflow patterns exemplify the relationship of static pressure and velocity defined by Bernoulli. Any object placed in an airstream will have the a& to impact or stagnate at some point near the leading edge. The pressure at this point of stagnation will be an absolute static pressure equal to the total pressure of the airstream. In other words, the static pressure at the stagnation point will be greater than the atmospheric pressure by the amount of the dynamic pressure of the airstream. As the flow divides and proceeds around. the object, the increases in local velocity produce decreases in static pressure. This procedure of flow is best illustrated by the flow patterns and pressure distributions of figure 1.7.\n\nSTREAMLINE PATTERN AND PRESSURE DISTRIBUTION. The flow pattern of the cylinder of figure 1.7 is characterized by the streamlines which denote the local flow direction. Velocity distribution is noted by the streamline pattern since the streamlines effect a boundary of flow, and the airflow between the streamlines is similar to flow in a closed tube. When the streamlines contract and are close together, high local velocities exist; when the streamlines expand and are far apart, low local velocities exist. At the", - "page_start": 31, - "page_end": 31, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## NAVWEPS 00401-80 BASIC AERODYNAMICS\n\nthe pressure forces created on an aerodynamic surface can be studied in a simple form which at first neglects the effect of friction and viscosity of the airflow. The most appropriate means of visualizing the effect of airflow and the resulting aerodynamic pressures is to study the fluid flow within a closed tube.\n\nSuppose a stream of air is flowing through the tube shown in figure 1.2. The airflow at station 1 in the tube has a certain velocity, static pressure, and density. As the airstream approaches the constriction at station 2 certain changes must take place. Since the airflow is enclosed within the tube, the mass flow at any point along the tube must be the same and the velocity, pressure, or density must change to accommodate this continuity of flow.\n\nBERNOULLI'S EQUATION. A distinguishing feature of submnic airflow is that changes in pressure and velocity take place with sniall and negligible changes in density. For this reason the study of subsonic airflow can be simplified by neglecting the variation of density in the flow and assuming the flow to be incomprmiblc. Of course, at high flow speeds whjch approach the speed of sound, the flow must be considered as compressible and 'compressibility effects' taken into account. However, if the flow through the tube of figure 1.2 is considered subsonic, the density of the airstream is essentially constant at all stations along the length.\n\nIf the density of the flow remains constant, static pressure and velocity are the variable quantities. As the flow approaches the constriction of station 2 the velocity must increase to maintain the same mass flow. As the velocity increases the static pressure will decrease and the decrease in static pressure which accompanies the increase in velocity can be verified in two ways:\n\n(I) Newton's laws of motion state the requirement of an unbalanced force to produce an acceleration (velocity change). If the airstream experiences an increase in velocity approaching the constriction, there must\n\n.'\n\nbe an unbalance of force to provide the acceleration. Since there is only air within the tube, the unbalance of force is provided by the static pressure at station 1 being greater than the static pressure at the constriction, station 2.\n\n(2) The total energy of the air stream in the tube is unchanged. However, the airstream energy may be in two forms. The airstream may have a potential energy which is related by the static pressure and a kimtic energy by virtue of mass and motion. As the total energy is unchanged, an increase in velocity (kinetic energy) will be accompanied by a decrease in static pressure (potential energy). This situation is analagous to a ball rolling along-a smooth surface. As the ball rolls downhill, the potential energy due to position is exchanged for kinetic energy of motion. If .frictionwere negligibie, the change of potential energy would equal the change in ki,netic energy. This- is also the case for the airflow within the tube.\n\nThe relationship of static pressure and velocity is maintained throughout the length of the tube. As the flow moves past the constriction toward station 3, the velocity decreases and the static pressure increases.\n\nThe Bernoulli equation for incompressible flow is most readily explained ,by accounting for the energy of the~airflow within the tube. As the airstream has no energy added or subtracted at any point, the sum of the potential +id kinetic energy must be constant. The kinetic energy of an object is found by:\n\n'KE. =%MV=\n\nwhere K;E. = kinetic energy, ft.-lbs.\n\nM = mass, slugs", - "page_start": 23, - "page_end": 23, - "source_file": "00-80T-80.pdf" - }, - { - "text": "This relationship has great application in aerodynamics and is quite fundamental and necessary in certain parts of airplane performance.\n\nVISCOSITY. The viscosity of the air is important in scale and friction effects. The coefficient of absolute viscosity is the proportion between the shearing stress and velocity gradient for a fluid flow. The viscosity of gases is unusual in that the viscosity is generally a function of temperature alone and an increase in temperature increases the viscosity. The coefficient of absolute viscosity is assigned the shorthand notation I, (mu). Since many parts of aerodynamics involve consideration of viscosity and density, a more usual form of viscosity measure is the proportion of the coefficient of absolute viscosity and density. This combination is termed the 'kinematic viscosity' and is noted by Y (nu).\n\nkinematic viscosity\n\ncoefficient of absolute viscosity\n\ncc density\n\nv=PlP\n\nThe kinematic viscosity of air at standard sea level conditions is 0.0001576 square feet per second. At an altitude of 40,000 feet the kinematic viscosity is increased to 0.0005059 square foot per second.\n\nIn order to provide a common denominator for comparison of various aircraft, a standard atmosphere has been adopted. The standard atmosphere actually represents the mean or average properties of the atmosphere. Figure 1.1 illustrates the variation of the most important properties of the air throughout the standard atmosphere. Notice that the lapse rate is constant in the troposphere and the stratosphere begins with the isothermal region.\n\nSince all aircraft performance is compared and,evaluated in the environment of the standard atmosphere, all of the aircraft instrumentation is calibrated for the standard atmosphere.\n\nThus, certain corrections must apply to the instrumentation as well as the aircraft performance if the operating conditions do not fit the standard atmosphere. In order to properly account for the nonstandard atmosphere certain terms must be defined. Pressure .&itudc is the altitude in the standard atmosphere corresponditrg to a particular pressure. The aircraft altimeter is essentially a sensitive barometer calibrated to indicate altitude in the staotlard atmosphere. If the altimeter is set for 29.92 in. Hg the altitude indicated is the pressure altitude-the altitude in the standard atmosphere corresponding to the sensed pressure. Of course, this indicated pressure altitude may not be the actual height above sea level due to variations in remperature, lapse rate; atniospheric pressure, and possible errors in the sensed pressure.\n\nThe more appropriate term for correlating aerodynamic performance in the nonstandard atmosphere is density &it&-the altitude in the standard atmosphere corresponding to a particular value of air density. The computation of density altitude must certainly involve consideration of pressure (pressure altitude) and temperature. Figure 1.6 illustrates the manner in which pressure altitude and temperature combine to produce a certain density altitude. This chart is quite standard in use and is usually included in the performance section of the flight handbook. Many subject areas of aerodynamics and aircraft performance will emphasize density altitude and temperature as the most important factors requiring consideration.\n\n## BERNOULLI'S PRINCIPLE AND SUBSONIC AIRFLOW\n\nAll of the external aerodynamic forces on a surface are the result of air pressure or air friction. Friction effects are generally confined to a thin layer of air in the immediate vicinity of the surface and friction forces are not the predominating aerodynamic forces. Therefore,", - "page_start": 21, - "page_end": 21, - "source_file": "00-80T-80.pdf" - }, - { - "text": "existing on the surface. Of course, the velocity distribution, and resulting pressure distribution, is determmed by the.shape or profile of the surface and the angle of a'track. Thus, any aerodynamic force can be represented as the product df three major factors:\n\nthe surface area of the objects the dynamic pressure of the airstream the coefficient or index of force determined\n\nby the relative pressure distribution This relationship is expressed by the following equation :\n\nF= C,qS where F = aerodynamic force, lbs. C,=coeflicient of aerodynamic force ,iay;mic pressure, psf S=surface area, sq. ft.\n\nIn order to fully appreciate the importance of the aerodynamic force coe&cient, C,, the , above equation is rearranged to alternate forms :\n\nIn this form, the aerodynamic force coefficient Js appreciared as the aerodynamic force per surface area and dynamic pressure. In other words, the force coefficient is a dimensionless ratio between the average aerodynamic pressure (aerodynamic force.per 'area) and the airstream dynamic pressure. All the aerodynamic forces of lift and drag are studied on this basisthe common denominator in each case being surface area and dynamic pressure. By such a definition, a 'lift coefficient' would .be the ratio between lift pressure and dynamic pressure; a 'drag coefficient' would be the ratio between drag pressure and.:d.ynamic pressure. The use of the coefficient form of an aerodynamic force is necessary since the force coellicient is:\n\n(1) An index 04 the aerodynamic force independent of area, density, and velocity.\n\nIt is derived from the relative pressure and velocity distribution.\n\n - (2) Influenced only by the shape of the surface and angle of attack since these factors determine the pressure distribution.\n - (3) An index which allows evaluation of the effects of compressibility and viscosity. Since the effects of area, density, and velocity are obviated by the coefficient form, compressibility and viscosity effects can be separated for study.\n\nTHE BASIC LIFT EQUATION. Lift has been dehned as the net force developed perpendicular to the relative wind. The aerodynamic force of lift on an airplane results from the generation of a pressure distribution on the wing. This lift force is described by the following equation:\n\nL=C&\n\nwhere\n\nL=lift, lbs. C, = lift coefficient. q= dy;:mic pressure, psf +p S= wing surface area, sq. ft.\n\nThe lift coefhcient used in this equation is the ratio of the lift pressure and dynamic pressure and is a function of the shape of the wing and angle of attack. If the lift coefficient of a conventional airplane wing planfoi-m were plotted versus angle of attack, the result would be typical of the graph of figure 1.11. Since the effects of speed, density, area, weight, altitude, etc., are eliminated by the coefficient form, an indication of the true lift capability is obtained. Each angle of attack produces a particular lift coefficient since the angle of attack is the controlling factor in the pressure distribution. Lift coeflicient increases with angle of attack up to the maximum lift coefficient, c L,,,~., and, as angle of attack is increased beyond the maximum lift angle, the airflow is unable to adhere to the upper surface. The airflow then separates from the upper surface and stall occurs.\n\nJNTERPRETATION OF THE LIFT EQUATION. Several important relationships are", - "page_start": 40, - "page_end": 40, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## DENSITY ALTITUDE CHART +g&\n\nFigure 1.6. Airspeed Corrections (sheet 2 of 2)\n\n", - "page_start": 30, - "page_end": 30, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "00-80T-80.pdf", - "query": "What is the phenomenon associated with the production of lift by an airfoil ?", - "target_page": 34, - "target_passage": "An important phenomenon associated with the production of lift by an airfoil is the “circulation” parted to the airstream. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## NAVWEPS 00-801-80 BASIC AERODYNAMICS\n\nrotation will be quite a 'curve ball artist' the golfer that cannot control the lateral motion of the club face striking the golf ball will impart an uncontrollable spin and have trouble with a 'hook' or 'slice.'\n\nWhile a rotating cylinder can produce a net lift from the circulatory flow, the method is relatively inefficient and only serves to point out the relationship between lift and circula-, tion. An airfoil is capable of producing lift with relatively high efficiency and the process is illustrated in figure 1.8. If a symmetrical airfoil is placed at zero angle of attack to the airstream, the streamline pattern and pressure distribution give evidence of zero lift. HOWever, if the airfoil is given a positive angle of attack, changes occur in the streamline pattern and pressure distribution similar to changes caused by the addition of circulation to the cylinder. The positive angle of attack causes increased velocity on the upper surface with an increase in upper surface suction while the decreased velocity on the lower surface causes a decrease in lower surface suction. Also, upwash is generated ahead of the airfoil, the forward stagnation point moves under the leading edge, and a downwash is evident aft of the airfoil. The pressure distribution 0' the airfoil now provides a net force perpendicular to the airstream-lift.\n\nThe generation of lift by an airfoil is dependent upon the airfoil being able to create circulation in the airstream and develop the lifting, pressure distribution on the surface. In all cases, the generated lift will be the net force caused by the distribution of pressure over the upper and lower surfaces of the airfoil. At low angles of attack, suction pressures usually will exist on both upper and lower surfaces. but the upper surface suction must be greater for positive lift. At high angles of attack near that for maximum lift, a positive pressure will exist on the lower surface but this will account for approximately one-third the net lift.\n\nThe effect of free stream density and velocity is a necessary consideration when studying the development of the various aerodynamic forces. Suppose that a particular shape of airfoil is fixed at a particular angle to the airstream. The relative velocity and pressure distribution will be determined by the shape of the airfoil and the angle to the airstream. The effect of varying the airfoil size, air density and airspeed is shown in figure 1.9. If the same airfoil shape is placed at the same angle to an airstream with twice as great a dynamic pressure the magnitude of the pressure distribution will be twice as great but the r&rive shape of the pressure distribution will be the same. With twice as great a pressure existing over the surface, all aerodynamic forces and moments will ~double. If a half-size airfoil ib placed at the same angle to the original airstream, the magnitude of the pressure distribution is the same as the origina! airfoi! and again the relative shape of the pressure distribution is identical. The same pressure acting on the half-size surface would reduce all aerodynamic forces to one-half that of the original. This similarity of flow patterns means that the stagnation point occurs at the same place, the peak suction pressure occurs at the same place, and the actual magnitude of the aerodynamic forces and moments depends upon the airstream dynamic pressure and the surface area. This concept is extremely important when attempting to separate and analyze the most important factors affecting the development of aerodynamic forces.", - "page_start": 37, - "page_end": 37, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## (DATA FROM NACA REPORT NO. 824)\n\nFigure 1.12. Lift Characteristics of lypicol Airfoil Sections\n\n", - "page_start": 45, - "page_end": 45, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Next, consider the cambered airfoil of figure 1.21 at zero lift. To produce zero lift, the upper and lower surface lifts must be equal. One difference noted from the symmetrical airfoil is that the upper and lower surface lifts are not opposite one another. While no net lift exists on the airfoil, the couple produced by the upper and lower surface lifts creates a nose down moment. As the angle of attack is increased, the upper surface lift increases while the lower surface lift decreases. While a change in lift has taken place, no change in moment takes place about the point where the lift change occurs. Since the moment about the aerodynamic center is the product of a force (lift at the c.P.) and a lever arm (distance from c.9. to a.~.), an increase in lift moves the center of pressure toward the aerodynamic center.\n\nIt should be noted that the symmetrical airfoil at zero lift has no pitching moment about the aerodynamic center because the upper and", - "page_start": 64, - "page_end": 64, - "source_file": "00-80T-80.pdf" - }, - { - "text": "and high power, the dynamic pressure in the shaded area can be much greater than the free stream and this causes considerably greater lift than at zero thrust. At high power conditions the induced flow also causes an effect similar to boundary layer control and increases the maximum lift angle of attack. The typical four-engine propeller driven airplane may have 60 to 80 percent of the wing area affected by the induced flow and power effects on stall speeds may be considerable. Also, the lift of the airplane at a given angle of attack and airspeed will be greatly affected. Suppose the airplane shown is in the process of landing flare from a power-on approach. If there is a sharp, sudden reduction of power, the airplane may drop suddenly because of the reduced lift.\n\nThe typical jet aircraft does not experience the induced flow velocities encountered in propeller driven airplanes, thus the only significant factor is the vertical component of thrust. Since this vertical component contributes to supporting the airplane, less aerodynamic lift is required to hold the airplane in flight. If the thrust is small and the thrust inclination is slight at maximum lift angle, only negligible changes in stall speed will result. On the other hand, if the thrust is very great and is given a large inclination at maximum lift angle, the effect on stall speed can be very large. One important relationship remains-since there is very little induced flow from the jet, the angle of attack at stall is essentially the same power-on or power-off.\n\n## DEVELOPMENT OF AERODYNAMIC PITCHING MOMENTS\n\nThe distribution of pressure over a surface is the ,source of the aerodynamic moments as well as the aerodynamic forces. A typical example of this fact is the pressure distribution acting on the cambered airfoil of figure 1.21. The upper surface has pressures distributed which produce the upper surface lift; the lower surface has pressures distributed which produce the lower surface lift. Of course, the\n\n## NAVWEPS 00-801~0 BASIC AERODYNAMICS\n\nnet lift produced by the airfoil is difference between the lifts on the upper and lower surfaces. The point along the chord where the distributed lift is effectively concentrated is termed the 'center of pressure, c.p.' The center of pressure is essentially the 'center of gravity' of the distributed lift pressure and the location of the c.p. is a function of camber and section lift coe&cient\n\nAnother aerodynamic reference point is the 'aerodynamic center, d.e.' The aerodynamic center is defmed as the point along the chord where all changes in lift effectively take place. To visualize the existence of such a point, notice the change in pressure distribution with angle of attack for the symmetrical airfoil of figure 1.21. When at zero lift, the upper and lower surface lifts are equal and located at the same point. With an increase in angle of attack, the upper surface lift increases while the lower surface lift decreases. The change ,of lift has taken place with no change in the center of pressure-a characteristic of symmetrical airfoils.", - "page_start": 64, - "page_end": 64, - "source_file": "00-80T-80.pdf" - }, - { - "text": "## NAVWEPS 00-8OT-80 BASIC AERODYNAMICS\n\nvortex filaments which consist of the tip or trailing vortices coupled with the bound or line vortex. The tip vortices are coupled with the bound vortex when circulation is induced with lift. The effect of this vortex system is to create certain vertical velocity components in the vicinity of the wing. The illustration of these vertical velocities shows that ahead of the wing the bound vortex induces an upwash. Behind the wing, the coupled action of the bound vortex and the tip vortices induces a downwash. With the action of tip and bound vortices coupled, a final vertical velocity (220) is imparted to the airstream by the wing producing lift. This result is an inevitable consequence of a finite wing producing lift. The wing Producing lift applies the equal and opposite force to the airstream and deflects it downward. One of the important factors in this system is that a downward velocity is created at the aerodynamic center (w) which is one half the final downward velocity imparted to the airstream (2~).\n\nThe effect of the vertical velocities in the vicinity of the wing is best appreciated when they are added vectorially to the airstream velocity. The remote free stream well ahead of the wing is unaffected and its direction is opposite the flight path of the airplane. 'Aft of the wing, the vertical velocity (2~) adds to the airstream velocity to produce the downwash angle e (epsilon). At the aerodynamic center of the wing, the vertical,velocity (w) adds to the airstream velocity to produce a downward deflection of the airstream one-half that of the downwash angle. In other words, the wing producing lift by the deflection of an airstream incurs a downward slant co the wind in the immediate vicinity of the wing. Hence, the JeCtionJ of the wing operate in an average relative wind which is inclined downward one-half the final dowraw& angle. This is one important feature which distinguishes the aerodynamic properties of a wing from the aerodynamic properties of an airfoil section.\n\nThe induced velocities existing at the aerodynamic center of a finite wing create an aver-\n\nage relative wind which is different from the remote free stream wind. Since the aerodynamic forces created by the airfoil sections of a wing depend upon the immediate airstream in which they operate, consideration must be given to the effect of the inclined average relative wind.\n\nTo create a certain lift coefficient with the airfoil section, a certain angle must exist between the airfoil chord line and the avcragc relative wind. This angle of attack is a,,, the section angle of attack. However, as this lift is developed on the wing, downwash is incurred and the average relative wind is inclined. Thus, the wing must be given some angle attack greater than the required section angle of attack to account for the inclination of the average relative wind. Since the wing must be given this additional angle of attack because of the induced flow, the angle between the average reiative wind arid tlie remote fiCC stream is termed the induced angle of attack, ai. From this influence, the wing angle of attack is the sum of the section and induced angles of attack.\n\na=ul)+a;\n\nwhere\n\na= wing angle of attack OLD= section angle of attack OI;= induced angle of attack\n\n## INDUCED DRAG", - "page_start": 83, - "page_end": 83, - "source_file": "00-80T-80.pdf" - }, - { - "text": "distribution produces an inclined lift with drag due to lift which is in addition to the wave drag at zero lift. Part (g) of figure 3.8 shows the wave pattern for a circular arc airfoil. After the airflow traverses the oblique shock wave at the leading edge, the airflow undergoes a gradual but continual expansion until the trailing edge shock wave is encountered. Part (h) of figure 3.8 illustrates the wave pattern on a conventional blunt nose airfoil in supersonic flow. When the nose is blunt the wave must detach and become a normal shock wave immediately ahead of the leading edge. Of course, this wave form produces an area of subsonic airflow at the leading edge with very high pressure and density behind the detached wave.\n\nThe drawings of figure 3.8 illustrate the typical patterns of supersonic flow and point out these facts concerning aerodynamic surfaces in two dimensional supersonic flow:\n\n - (1) All changes in velocity, pressure, density and flow direction will take place quite suddenly through the various. wave forms. The shape of the object and the required flow ,direction change dictate the type and strength of the wave formed.\n - (2) As always, lift results from the distribution of pressure on a surface and is the net force perpendicular to the free stream direction. Any component of the lift in a direction parallel to the windstream will be drag due to lift.\n - (3) In supersonic flight, the zero lift drag of an airfoil of some finite thickness will include a 'wave drag.' The thickness of the airfoil will have an extremely powerful effect on this wave drag since the wave drag varies as the square of the thickness ratioif the thickness is reduced 50 percent, the wave drag is reduced 73 percent. The leading edges of supersonic shapes must be sharp or the wave formed at the leading edge will be a strong detached shock wave.\n - (4) Once the flow on the airfoil is supersonic, the aerodynamic center of the surface\n\nwill be located approximately at the SO percent chord position. As this contrasts with the subsonic location for the aerodynamic center of the 23 percent chord position, significant changes in aerodynamic trim and stability may be encountered in transonic flight.\n\n## CONFIGURATION EFFECTS\n\n## TRANSONIC AND SUPERSONIC PLIGHT\n\nAny object in subsonic flight which has some finite thickness or is producing lift will have local velocities on the surface which are greater than the free stream velocity. Hence, compressibility effects can be expected to occur at flight speeds less than the speed of sound. The transonic regime of flight provides the opportunity for mixed subsonic and supersonic flow and. accounts for the first 1 significant effects of compressibility.", - "page_start": 232, - "page_end": 232, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Figure 7.8. Generation of Lift (sheet 2 of 2)\n\n", - "page_start": 35, - "page_end": 35, - "source_file": "00-80T-80.pdf" - }, - { - "text": "lower surface lifts act along the same vertical line. An increase in.lift on the symmetrical airfoil produces no change in this situation and the center of pressure remains fixed at the aerodynamic center.\n\nThe location of the aerodynamic center of an airfoil is not affected by camber, thickness, and angle of attack. In fact, two-dimensional incompressible airfoil theory will predict the aerodynamic center at the 25 percent chord point for any airfoil regardless of camber, thickness, and angle of attack. Actual airfoils, which are subject to real fluid flow, may not have the lift due to angle of .attack concentrated at the exact 25 percent chord point. However, the actual location of the aerodynamic center for various sections is rarely forward of 23 percent or aft of 27 percent chord point.\n\nThe moment about the aerodynamic center has its source in the relative pressure distribution and requires application of the coefficient form of expression for proper evaluation. The moment about the aerodynamic center is expressed by the following equation :\n\nwhere\n\nA&, = moment about the aerodynamic center, a.c., ft.-lbs.\n\nCMa.c,=coefbcient of moment about the a.c.\n\nq= dynamic pressure, psf\n\nS=wing area, sq ft.\n\nc=chord, ft.\n\nThe moment coefficient used in this equation is the dimensionless ratio of the moment pressure to dynamic pressure moment and is a function\n\nc ML3.C. %.c. = p-\n\nof. the shape of the airfoil mean camber line. Figure 1.22 shows the moment coefficient,\n\nC%C. versus lift coefficient for several repre-. sentative sections. The sign convention applied to moment coefficients is that the nose-up moment is positive.\n\nThe NACA Ooog airfoil is a symmettical section of 9 percent maximum thickness. Since the mean line of this airfoil has no camber, the coefhcient of moment about the aerodynamic center is zero, i.e., the c.p. is at the ac. The departure from zero cno.+ occurs only as the airfoil approaches maximum lift and the stall produces a moment change in the negative (nose-down) direction. The NACA 4412 and 63,-412 sections have noticeable positive camber which cause relatively large moments about the aerodynamic center. Notice that for each sectionshowninfrgure 1.22, the c,,,.... isconstant for all lift coefficients less than cl,-.\n\nThe NACA 23012 airfoil is a very efficient conventional section which has been used on many airplanes. One of the features of the ~section is a relatively high c& with only a small c,,,,,,; The pitching moment coefficients 1 for this section are shown on figure 1.22 along with the effect of various type flaps added to the basic section. Large amounts of camber applied well aft on the chord cause large negative moment coefficients. This fact is illustrated by the large negative moment coeflicients produced by the 30' deflection of a 25 percent chord flap.\n\nme kc. is a quantity determined by the shape of the mean-camber line. Symmetrical airfoils have zero c,,,,. and the c.p. remains at the a.~. in unstalled flight. The airfoil with positive camber will have a negative c,,,~,~, which means the c.p. is behind the a.~. Since the c5.c. is constant in unstalled flight a certain relationship between lift coefficient and center of pressure can be evolved. An example of this relationship is shown in figure 1.22 for the NACA 63i-412 airfoil by a plot of c.p. versus c,. Note that at low lift coefficients the center of pressure is well aft-even past the trailing edge-and an increase in C~ moves the c.p, forward toward the a.~. The c.9. approaches the", - "page_start": 66, - "page_end": 66, - "source_file": "00-80T-80.pdf" - }, - { - "text": "\n\nCYLINDER\n\nWITHOUT\n\nCIRCULATION\n\n\n\n## NAVWEPS 00-8OT-80 BASIC AERODYNAMICS\n\n\n\nCYLINDER\n\nWITH\n\nCIRCULATION\n\nMAGNUS EFFECT BY ROTATING CYLINDER\n\n\n\nAIRFOIL LIFTFigure 1.8. Generation of Lift (sheet 1 of 2)\n\n", - "page_start": 34, - "page_end": 34, - "source_file": "00-80T-80.pdf" - }, - { - "text": "a=ul)+a;\n\nwhere\n\na= wing angle of attack OLD= section angle of attack OI;= induced angle of attack\n\n## INDUCED DRAG\n\nAnother important influence of the induced flow is the orientation of the actual lift on a wing. Figure 1.30 illustrates the fact that the lift produced by the wing sections is perpendicular to the average relative wind. Since the average relative wind is inclined downward, the section lift is inclined aft, by the same amount-the induced angle of attack, ai. The lift and drag of a wing must continue to be referred perpendicular and parallel to the remote free stream ahead of the wing. In this respect, the lift on the wing has a component of force parallel to the remote free stream. This component of lift in the drag direction is the undesirable-but unavoidable-conse-", - "page_start": 83, - "page_end": 83, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What are the recyclable waste ?", - "target_page": 3, - "target_passage": "All types of paper and cardboard, Metal packaging, even the smallest ones, Plastic bottles and flasks, All other packaging", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## INSTRUCTIONS\n\n## in the Pays de Lauzun district\n\n\n\n## ORGANIC WASTE\n\n//50% green materials : all fruit and vegetable peelings, leftover meat, egg shells, tea and coffee…\n\n//50% brown materials : dead leaves, twigs, kitchen rolls, shavings, possibly paper, newspaper and cardboard …\n\n## ALL GLASS BOTTLES\n\n## Bocaux et bouteilles\n\n//Sans les couvercles !\n\n\n\n\n\n\n\n## RECYCLING CENTRE\n\n\n\n## HOUSEHOLD GARBAGE\n\nMasks, nappies, Broken dishes, toothbrush, Disposable wipes, Vacuum bags...\n\n\n\nBLACK BIN OR BLACK COLUMN\n\n\n\nCOMPOSTER\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "Also, we currently provide recycling services in certain markets primarily to comply with local laws or obligations under our franchise agreements. These services include the curbside collection of residential recyclable waste and the provision of a variety of recycling services to commercial and industrial customers.", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "\n\n\n\n\n\nnordstrom.com/companyreview | Connect with us:\n\n\n\n\n\n\n\n#NORDSTROM\n\n\n\n\n\n\n\n\n\n\n\nThis annual report is printed on FSC ® certified paper. The recycled content of our paper is 30% post-consumer waste. ©2015 Nordstrom, Inc. All rights reserved. Printed in the USA. 374047840 PLEASE RECYCLE.\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n", - "page_start": 95, - "page_end": 95, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "## HOW DOES IT WORK?\n\n## When to put my garbage container outside?\n\nThe evening before the waste collection day.\n\n## Who is responsible for the maintenance of the containers?\n\nYou will have to keep them in a clean working state (periodical washing).\n\n## Container stolen: What to do?\n\nIn case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n## Out container = full container\n\nPut your rubbish container out only when full.\n\nAttention ! Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n## HOW TO GET A COMPOST KIT?\n\nBuy your own compost kit and get\n\ntips for good composting practice.\n\nOnly during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department).\n\n30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops ** .\n\nRegistration and information with the service.\n\n| Compost kit | Plastic | Wood |\n|---------------|-----------|--------|\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n- * Only payment by cheque made payable to the\n- 'Tresor Public' are accepted\n- ** Specific condition of acquisition apply accor-\n- ding to your municipality of residence\n\n\n\n\n\n| Town | Black container | Yellow container |\n|------------------------|------------------------|------------------------|\n| TUESDAY white weeks | THURSDAY green weeks | AGNAC |\n| MONDAY green weeks | WEDNESDAY white weeks | ALLEMANS-DU-DROPT |\n| TUESDAY white weeks | THURSDAY green weeks | ARMILLAC |\n| WEDNESDAY green weeks | FRIDAY white weeks | BOURGOUGNAGUE |\n| MONDAY green weeks | WEDNESDAY white weeks | CAMBES |\n| MONDAY green weeks | THURSDAY white weeks | LACHAPELLE |\n| TUESDAY white weeks | WEDNESDAY green weeks | LAPERCHE |\n| TUESDAY white weeks | THURSDAY green weeks | LA-SAUVETAT-DU-DROPT |\n| MONDAY green weeks | FRIDAY white weeks | LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | LAVERGNE |\n| TUESDAY green weeks | THURSDAY white weeks | MIRAMONT-DE-GUYENNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | MONTIGNAC-DE-LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | MONTIGNAC-TOUPINERIE |\n| WEDNESDAY green weeks | WEDNESDAY white weeks | MOUSTIER |\n| MONDAY green weeks | THURSDAY white weeks | PEYRIÈRE |\n| MONDAY green weeks | WEDNESDAY white weeks | PUYSSERAMPION |\n| MONDAY white weeks | THURSDAY green weeks | ROUMAGNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SAINT-COLOMB-DE-LAUZUN |\n| MONDAY white weeks | FRIDAY green weeks | SAINT-PARDOUX-ISAAC |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SEGALAS |\n\n## MORE QUESTIONS ?\n\nWebsite:\n\nwww.ccpl47.fr\n\n/ Section En Pratique > Environnement > Gestion des déchets\n\nEnvironnement Service :\n\n12 rue du Renfort 47410 LAUZUN\n\n05 53 94 11 23 / secretariat.environnement@ccpl47.fr\n\nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website\n\n\n\nEverything you need to know about sorting\n\n\n\n\n\neepik\n\nr\n\ntock - F\n\nS\n\ndobe\n\nto : A\n\nédits pho\n\nr\n\nC", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n## What is compost?\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil - it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n## What materials ('feedstocks') are used to make compost?\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n## How do I know I'm getting safe, quality compost?\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n## What about weed seeds, plant diseases or pesticide residues?\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n\n\n\n\n\n\n## Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\n - l The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n - l Please keep yard debris free of :\n - x Garbage\n - x Plastic of any sort\n - - Plastic plant pots\n - - Plastic plant tabs\n - - Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n - x Rock, brick, or masonry\n - x Glass or metal\n - x Pet waste.\n - * Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## YOUR COLLECTION\n\n## CALENDAR 2024\n\n## Let's reduce our household garbage!\n\n\n\nIn the pays de Lauzun district,\n\nBETTER SORTING, LESS THROWING !\n\n\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## Resources\n\n## Compost Organizations\n\n## Washington Organic Recycling Council\n\nFind a compost producer in your area www.compostwashington.org\n\n## US Composting Council\n\nSeal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n## Restoring the Soil to Protect our Waterways\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n## Natural Lawn & Garden Care, Soils, and Home Composting\n\nCity of Seattle\n\nwww.seattle.gov/util/services/yard\n\nKing County\n\nwww.kingcounty.gov/soils\n\nWashington State University\n\nwww.puyallup.wsu.edu/soilmgmt/\n\n\n\n\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "\n\nRecycling yields approximately 0.1mg of rare Recycling yields approximately 0.1mg of rare earth product per expired card. earth product per expired card.\n\nRare earths are special metals, unobtainable Rare earths are special metals, unobtainable in Japan, which are essential to in Japan, which are essential to PCs and s and cellphones, electric vehicles and solar power cellphones, electric vehicles and solar power generators. Given that Japan is dependent on generators. Given that Japan is dependent on imports for nearly its entire supply, we believe imports for nearly its entire supply, we believe recycling rare earths is a worthwhile endeavor recycling rare earths is a worthwhile endeavor in terms of national energy policy. in terms of national energy policy.\n\nCard microcircuits that have become unusable Card microcircuits that have become unusable due to changes in card design are collected due to changes in card design are collected from cards with IC chips, which are separated from cards with IC chips, which are separated\n\nExpired credit cards with IC chips\n\nRecovery\n\nfrom cards without IC chips. Both types are from cards without IC chips. Both types are pulverized at the company pulverized at the company's Shimura Center s Shimura Center in Tokyo and sealed separately in recycling in Tokyo and sealed separately in recycling bags, under supervision of a company official. bags, under supervision of a company official. The bags are then sent off for processing by The bags are then sent off for processing by an outside company, which analyzes and an outside company, which analyzes and purifies the contents and then extracts the purifies the contents and then extracts the rare earths. rare earths.\n\n - * After intermediate processing, waste materials other than the rare earths and the cards with no IC chips are both sent off for final disposal, in conformity with established procedures.\n\nAnalysis and purification\n\nRare earth product\n\nBase metals, alloys, chemical products, etc. ( )\n\n## Sumitomo Mitsui Finance & Leasing: Promoting recycling and reuse\n\nAs part of its core leasing operations, As part of its core leasing operations, Sumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is helping reduce customers' environmental helping reduce customers' environmental\n\nRecycling and reuse of old equipment and machinery\n\n\n\nload through measures such as 'carbon load through measures such as 'carbon neutral leases' (with carbon credits allocated neutral leases' (with carbon credits allocated in proportion to emission volumes of leased in proportion to emission volumes of leased assets) and leasing of environment-friendly assets) and leasing of environment-friendly and energy-saving equipment. and energy-saving equipment.\n\nLikewise, by trading used machinery and Likewise, by trading used machinery and semiconductor- manufacturing equipment, semiconductor- manufacturing equipment, Sumitomo Mitsui Finance & Leasing is Sumitomo Mitsui Finance & Leasing is supporting more efficient capital investment supporting more efficient capital investment by its customers, while itself evolving into a by its customers, while itself evolving into a recycling-oriented, environment-friendly recycling-oriented, environment-friendly company. company.\n\n## Recycling of rare earths used in smart cards\n\nAt Sumitomo Mitsui Card, rare earths At Sumitomo Mitsui Card, rare earths extracted from IC chips from expired credit extracted from IC chips from expired credit cards are recycled. cards are recycled.", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\nSpecial thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n\n\nwww.compostwashington.org\n\n\n\nwww.soilsforsalmon.org\n\n\n\noriginal artwork provided by:\n\n\n\n## Tips to Remember:\n\n- · Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.\n- · When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.\n- · Ask your compost supplier which compost product is best for your intended use.\n- · Use compost at the recommended application rate.\n- · To maintain healthy soil, reapply compost or mulch every 1-2 years.\n- · Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.\n- · Compost can also reduce your lawn and garden's summer irrigation needs.\n- · Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "Transfer and Disposal Services. We own or operate 96 transfer stations. We deposit waste at these stations, as do other private haulers and municipal haulers, for compaction and transfer to trailers for transport to disposal sites or recycling facilities. As of December 31, 2004, we owned or operated 58 landÑlls, which had approximately 8,904 permitted acres and total available permitted and probable expansion disposal capacity of approximately 1.7 billion in-place cubic yards. The in-place capacity of our landÑlls is subject to change based on engineering factors, requirements of regulatory authorities and the ability to expand our sites successfully. Some of our landÑlls accept non-hazardous special waste, including utility ash, asbestos and contaminated soils. See \"\"Ì Properties.''\n\nMost of our existing landÑll sites have the potential for expanded disposal capacity beyond the currently permitted acreage. We monitor the availability of permitted disposal capacity at each of our landÑlls and evaluate whether to pursue expansion at a given landÑll based on estimated future waste volumes and prices, market needs, remaining capacity and likelihood of obtaining an expansion. To satisfy future disposal demand, we are currently seeking to expand permitted capacity at certain of our landÑlls, although no assurances can be made that all future expansions will be permitted as designed.\n\nOther Services. We have 35 materials recovery facilities and other recycling operations, which are generally required to fulÑll our obligations under long-term municipal contracts for residential collection services. These facilities sort recyclable paper, aluminum, glass and other materials. Most of these recyclable materials are internally collected by our residential collection operations. In some areas, we receive commercial and industrial solid waste that is sorted at our facilities into recyclable materials and nonrecyclable waste. The recyclable materials are salvaged, repackaged and sold to third parties and the nonrecyclable waste is disposed of at landÑlls or incinerators. Wherever possible, our strategy is to reduce our exposure to Öuctuations in recyclable commodity prices by utilizing third party recycling facilities, thereby minimizing our recycling investment.\n\nWe provide remediation and other heavy construction services primarily through our subsidiary located in Missouri.\n\nWe also have a Texas-based compost, mulch and soil business at which yard, mill and other waste is processed, packaged and sold as various products.\n\n## Sales and Marketing\n\nWe seek to provide quality services that will enable our company to maintain high levels of customer satisfaction. We derive our business from a broad customer base which we believe will enable our company to experience stable growth. We focus our marketing eÅorts on continuing and expanding business with existing customers, as well as attracting new customers.\n\nWe employ approximately 500 sales and marketing employees. Our sales and marketing strategy is to provide high-quality, comprehensive solid waste collection, recycling, transfer and disposal services to our customers at competitive prices. We target potential customers of all sizes, from small quantity generators to large \"\"Fortune 500'' companies and municipalities.\n\nMost of our marketing activity is local in nature. However, in 2000 we initiated a national accounts program in response to our customers' needs.\n\nWe generally do not change the tradenames of the local businesses we acquire, and therefore we do not operate nationally under any one mark or tradename. Rather, we rely on the goodwill associated with the acquired companies' local tradenames as used in each geographic market in which we operate.\n\n## Customers", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RSG_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What is the day of the black container in Lachapelle ?", - "target_page": 4, - "target_passage": "LACHAPELLE MONDAY green weeks", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## YOUR COLLECTION\n\n## CALENDAR 2024\n\n## Let's reduce our household garbage!\n\n\n\nIn the pays de Lauzun district,\n\nBETTER SORTING, LESS THROWING !\n\n\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## HOW DOES IT WORK?\n\n## When to put my garbage container outside?\n\nThe evening before the waste collection day.\n\n## Who is responsible for the maintenance of the containers?\n\nYou will have to keep them in a clean working state (periodical washing).\n\n## Container stolen: What to do?\n\nIn case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n## Out container = full container\n\nPut your rubbish container out only when full.\n\nAttention ! Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n## HOW TO GET A COMPOST KIT?\n\nBuy your own compost kit and get\n\ntips for good composting practice.\n\nOnly during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department).\n\n30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops ** .\n\nRegistration and information with the service.\n\n| Compost kit | Plastic | Wood |\n|---------------|-----------|--------|\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n- * Only payment by cheque made payable to the\n- 'Tresor Public' are accepted\n- ** Specific condition of acquisition apply accor-\n- ding to your municipality of residence\n\n\n\n\n\n| Town | Black container | Yellow container |\n|------------------------|------------------------|------------------------|\n| TUESDAY white weeks | THURSDAY green weeks | AGNAC |\n| MONDAY green weeks | WEDNESDAY white weeks | ALLEMANS-DU-DROPT |\n| TUESDAY white weeks | THURSDAY green weeks | ARMILLAC |\n| WEDNESDAY green weeks | FRIDAY white weeks | BOURGOUGNAGUE |\n| MONDAY green weeks | WEDNESDAY white weeks | CAMBES |\n| MONDAY green weeks | THURSDAY white weeks | LACHAPELLE |\n| TUESDAY white weeks | WEDNESDAY green weeks | LAPERCHE |\n| TUESDAY white weeks | THURSDAY green weeks | LA-SAUVETAT-DU-DROPT |\n| MONDAY green weeks | FRIDAY white weeks | LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | LAVERGNE |\n| TUESDAY green weeks | THURSDAY white weeks | MIRAMONT-DE-GUYENNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | MONTIGNAC-DE-LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | MONTIGNAC-TOUPINERIE |\n| WEDNESDAY green weeks | WEDNESDAY white weeks | MOUSTIER |\n| MONDAY green weeks | THURSDAY white weeks | PEYRIÈRE |\n| MONDAY green weeks | WEDNESDAY white weeks | PUYSSERAMPION |\n| MONDAY white weeks | THURSDAY green weeks | ROUMAGNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SAINT-COLOMB-DE-LAUZUN |\n| MONDAY white weeks | FRIDAY green weeks | SAINT-PARDOUX-ISAAC |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SEGALAS |\n\n## MORE QUESTIONS ?\n\nWebsite:\n\nwww.ccpl47.fr\n\n/ Section En Pratique > Environnement > Gestion des déchets\n\nEnvironnement Service :\n\n12 rue du Renfort 47410 LAUZUN\n\n05 53 94 11 23 / secretariat.environnement@ccpl47.fr\n\nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website\n\n\n\nEverything you need to know about sorting\n\n\n\n\n\neepik\n\nr\n\ntock - F\n\nS\n\ndobe\n\nto : A\n\nédits pho\n\nr\n\nC", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## INSTRUCTIONS\n\n## in the Pays de Lauzun district\n\n\n\n## ORGANIC WASTE\n\n//50% green materials : all fruit and vegetable peelings, leftover meat, egg shells, tea and coffee…\n\n//50% brown materials : dead leaves, twigs, kitchen rolls, shavings, possibly paper, newspaper and cardboard …\n\n## ALL GLASS BOTTLES\n\n## Bocaux et bouteilles\n\n//Sans les couvercles !\n\n\n\n\n\n\n\n## RECYCLING CENTRE\n\n\n\n## HOUSEHOLD GARBAGE\n\nMasks, nappies, Broken dishes, toothbrush, Disposable wipes, Vacuum bags...\n\n\n\nBLACK BIN OR BLACK COLUMN\n\n\n\nCOMPOSTER\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "\n\n| | JANUARY |\n|-----|-----------|\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M T | |\n| W | |\n\n| M |\n|-----|\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n\nFULL CONTAINER OR HALF FILLED CONTAINER IT'S THE SAME PRICE!\n\nI PUT MY RUBBISH CONTAINER OUT ONLY WHEN FULL\n\nOUT BLACK CONTAINER\n\n=\n\nCONTAINER COUNTED\n\n| T |\n|-----|\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| W |\n| T |\n| F |\n| S |\n| S |\n| M |\n| T |\n| T |\n\n| | AUGUST |\n|----|----------|\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n\n| | SEPTEMBER |\n|----|-------------|\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| M | |\n\n| APRIL | APRIL |\n|---------|---------|\n| M | |\n| W T | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M T | |\n| W | |\n| T | |\n| F S | |\n| S | |\n| M | |\n| T | |\n\n| | OCTOBER |\n|----|-----------|\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n| F | |\n| S | |\n| S | |\n| M | |\n| T | |\n| W | |\n| T | |\n\n## 2024", - "page_start": 1, - "page_end": 1, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## ASSIGNMENT\n\n - 1. Identify the verb in the following sentence:\n\nThe grey elephant drinks water from the largest lake in Africa.\n\n - 2. Identify the collective noun in the following sentence:\n\nThe board of directors voted in favour of the decision.\n\n - 3. Correct the punctuation in the following sentence:\n\nAnthea will you please buy bread milk and eggs when you go to the shop.\n\n - 4. Choose the correct word:\n\nCharles was accepted/excepted into the engineering studies course at Oxbridge Academy.\n\n - 5. Choose the correct word:\n\nIts/It's time to go home now.\n\n - 6. Choose the correct word:\n\nThey were late for work, because there/their train was delayed.\n\n - 7. Choose the correct word:\n\nYou're/Your going to write your exam next week.", - "page_start": 54, - "page_end": 54, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## Higgs portal dark matter in the minimal gauged U (1) B -L model\n\nNobuchika Okada ∗\n\nDepartment of Physics and Astronomy,\n\nUniversity of Alabama, Tuscaloosa, AL 35487, USA\n\nOsamu Seto †\n\nDepartment of Architecture and Building Engineering, Hokkai-Gakuen University, Sapporo 062-8605, Japan\n\n## Abstract\n\nWe propose a scenario of the right-handed neutrino dark matter in the context of the minimal gauged U (1) B -L model by introducing an additional parity which ensures the stability of dark matter particle. The annihilation of this right-handed neutrino takes place dominantly through the s -channel Higgs boson exchange, so that this model can be called Higgs portal dark matter model. We show that the thermal relic abundance of the right-handed neutrino dark matter with help of Higgs resonance can match the observed dark matter abundance. In addition we estimate the cross section with nucleon and show that the next generation direct dark matter search experiments can explore this model.\n\nPACS numbers:", - "page_start": 0, - "page_end": 0, - "source_file": "1002.2525.pdf" - }, - { - "text": "- /SM590000 The date and time that the last snapshot was created", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "## PREFIX pizza: \n\nWe are almost ready to query the actual ontology. For our first query let's find all the Pizzas purchased by a Customer. The SPARQL code for this is:", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| flaubert \\_base \\_uncased | 0.34 0.31 | 0.23 0.12 | 0.25 0.23 | 0.27 0.22 | 0.67 | 0.36 | 0.08 | 0.52 | 0.31 |\n| flaubert \\_large \\_cased | 0.27 | 0.11 | 0.25 | 0.25 | 0.68 0.65 | 0.40 0.30 | 0.09 | 0.43 | 0.29 |\n| e5-mistral-7b-instruct | 0.68 | | | | | | 0.01 | 0.33 | 0.29 |\n| | | 0.95 | 0.64 | 0.50 | 0.76 | 0.82 | 0.64 | 0.79 | 0.31 |\n| multilingual-e5-base multilingual-e5-large | 0.65 0.66 | 0.95 0.95 | 0.65 0.66 | 0.43 0.40 | 0.75 0.76 | 0.75 0.76 | 0.56 0.59 | 0.78 0.81 | 0.31 0.31 |\n| multilingual-e5-small | 0.63 | 0.94 | 0.60 | 0.39 | 0.75 | 0.73 | | 0.78 | 0.32 |\n| udever-bloom-1b1 | 0.47 | 0.52 | 0.55 | 0.35 | 0.74 | | 0.52 | | |\n| udever-bloom-560m | 0.36 | 0.32 | 0.30 | 0.29 | 0.71 | 0.43 | 0.28 | 0.62 | 0.29 0.24 |\n| laser2 | 0.52 | 0.95 | 0.58 | 0.30 | 0.82 | 0.39 | 0.11 0.13 | 0.51 0.67 | 0.31 |\n| bge-m3-custom-fr | 0.66 | 0.94 | 0.67 | 0.40 | 0.77 | 0.44 0.79 | 0.59 | 0.80 | 0.30 |\n| sentence \\_croissant \\_alpha \\_v0.2 | 0.66 | 0.92 | 0.66 | 0.44 | 0.80 | 0.77 | 0.61 | 0.74 | 0.30 |\n| sentence \\_croissant \\_alpha \\_v0.3 | 0.67 | | | | | | | | |\n| | | 0.92 | 0.66 | 0.46 | 0.79 | 0.78 | 0.65 | 0.77 | 0.31 |\n| mistral-embed | 0.68 | 0.92 | 0.69 | 0.46 | 0.78 | 0.80 | 0.68 | 0.80 | 0.31 |\n| LaBSE | 0.59 | 0.96 | 0.65 | 0.39 | 0.74 | 0.61 | 0.33 | 0.74 | 0.30 |\n| all-MiniLM-L12-v2 | 0.51 | 0.48 | 0.52 | 0.34 | 0.72 | 0.68 | 0.43 | 0.67 | 0.27 |\n| all-MiniLM-L6-v2 | 0.50 | 0.40 | 0.52 | 0.35 | 0.71 | 0.65 | 0.38 | 0.68 | 0.28 |\n| distiluse-base-multilingual-cased-v2 | 0.60 | 0.94 | 0.64 | 0.39 | 0.72 | 0.69 | 0.40 | 0.75 | 0.28 |\n| multi-qa-MiniLM-L6-cos-v1 | 0.49 | 0.38 | 0.51 | 0.33 | 0.72 | 0.64 | 0.39 | 0.67 | 0.28 |", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv4.pdf" - }, - { - "text": "- /SM590000 CreationDate\n - /SM590000 ModDate\n - /SM590000 Trapped", - "page_start": 191, - "page_end": 191, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf", - "query": "What to do if my container is stolen ?", - "target_page": 4, - "target_passage": "Container stolen: What to do? In case of theft, your container will be replaced on presentation of a theft report effected at your local police station.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## HOW DOES IT WORK?\n\n## When to put my garbage container outside?\n\nThe evening before the waste collection day.\n\n## Who is responsible for the maintenance of the containers?\n\nYou will have to keep them in a clean working state (periodical washing).\n\n## Container stolen: What to do?\n\nIn case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n## Out container = full container\n\nPut your rubbish container out only when full.\n\nAttention ! Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n## HOW TO GET A COMPOST KIT?\n\nBuy your own compost kit and get\n\ntips for good composting practice.\n\nOnly during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department).\n\n30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops ** .\n\nRegistration and information with the service.\n\n| Compost kit | Plastic | Wood |\n|---------------|-----------|--------|\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n- * Only payment by cheque made payable to the\n- 'Tresor Public' are accepted\n- ** Specific condition of acquisition apply accor-\n- ding to your municipality of residence\n\n\n\n\n\n| Town | Black container | Yellow container |\n|------------------------|------------------------|------------------------|\n| TUESDAY white weeks | THURSDAY green weeks | AGNAC |\n| MONDAY green weeks | WEDNESDAY white weeks | ALLEMANS-DU-DROPT |\n| TUESDAY white weeks | THURSDAY green weeks | ARMILLAC |\n| WEDNESDAY green weeks | FRIDAY white weeks | BOURGOUGNAGUE |\n| MONDAY green weeks | WEDNESDAY white weeks | CAMBES |\n| MONDAY green weeks | THURSDAY white weeks | LACHAPELLE |\n| TUESDAY white weeks | WEDNESDAY green weeks | LAPERCHE |\n| TUESDAY white weeks | THURSDAY green weeks | LA-SAUVETAT-DU-DROPT |\n| MONDAY green weeks | FRIDAY white weeks | LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | LAVERGNE |\n| TUESDAY green weeks | THURSDAY white weeks | MIRAMONT-DE-GUYENNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | MONTIGNAC-DE-LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | MONTIGNAC-TOUPINERIE |\n| WEDNESDAY green weeks | WEDNESDAY white weeks | MOUSTIER |\n| MONDAY green weeks | THURSDAY white weeks | PEYRIÈRE |\n| MONDAY green weeks | WEDNESDAY white weeks | PUYSSERAMPION |\n| MONDAY white weeks | THURSDAY green weeks | ROUMAGNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SAINT-COLOMB-DE-LAUZUN |\n| MONDAY white weeks | FRIDAY green weeks | SAINT-PARDOUX-ISAAC |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SEGALAS |\n\n## MORE QUESTIONS ?\n\nWebsite:\n\nwww.ccpl47.fr\n\n/ Section En Pratique > Environnement > Gestion des déchets\n\nEnvironnement Service :\n\n12 rue du Renfort 47410 LAUZUN\n\n05 53 94 11 23 / secretariat.environnement@ccpl47.fr\n\nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website\n\n\n\nEverything you need to know about sorting\n\n\n\n\n\neepik\n\nr\n\ntock - F\n\nS\n\ndobe\n\nto : A\n\nédits pho\n\nr\n\nC", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## 12.7 Recovering from a provider loss\n\nIf both encryption key providers are enabled, and you lose one of them (by losing all copies of the encryption key kept on the USB flash drives or by losing all SKLM servers), you can recover from this situation by disabling the provider to which you lost the access. To disable the unavailable provider, you must have access to a valid master access key on the remaining provider.\n\nIf you have lost access to the encryption key server provider, issue the following command:\n\nchencryption -keyserver disable\n\nIf you have lost access to the USB flash drives provider, issue the following command:\n\nchencryption -usb disable\n\nIf you want to restore the configuration with both encryption key providers, follow the instructions that are described in 12.5, 'Configuring more providers' on page 647.\n\nNote: If you lose access to all encryption key providers that are defined in the system, no method is available to recover access to the data protected by the master access key.\n\n## 12.8 Using encryption\n\nThe design for encryption is based on the concept that a system is fully encrypted or not encrypted. Encryption implementation is intended to encourage solutions that contain only encrypted volumes or only unencrypted volumes. For example, after encryption is enabled on the system, all new objects (for example, pools) are by default created as encrypted.\n\nSome unsupported configurations are actively policed in code. For example, no support exists for creating unencrypted child pools from encrypted parent pools. However, exceptions exist:", - "page_start": 677, - "page_end": 677, - "source_file": "sg247938.pdf" - }, - { - "text": "## Managing Tivoli Storage Manager storage\n\nFor each automated library, Tivoli Storage Manager tracks in its volume inventory for the library whether a volume has scratch or private status:\n\n - /SM590000 A scratch volume is a labeled volume that is empty or contains no valid data, and it can be used to satisfy any request to mount a scratch volume. To support Content Manager OnDemand, you define scratch volumes to Tivoli Storage Manager. Tivoli Storage Manager uses scratch volumes as needed, and returns the volumes to scratch when they become empty (for example, when all data on the volume expires).\n - /SM590000 A private volume is a volume that is in use or owned by an application, and it might contain valid data. Volumes that you define to Tivoli Storage Manager are private volumes. A private volume is used to satisfy only a request to mount that volume by name. When Tivoli Storage Manager uses a scratch volume, it changes the volume's status to private. Tivoli Storage Manager tracks whether defined volumes were originally scratch volumes. Volumes that were originally scratch volumes return to scratch status when they become empty.\n\n## Secondary storage of storage volumes\n\nFor instructions that describe how to handle physical storage volumes and remove them from the library, see the documentation that is provided by the library manufacturer.\n\nFor instructions about documentation that you might need to complete when you remove storage volumes from a library and where to store them for safekeeping, see your organization's media storage guide.\n\n## Protecting data with data retention protection\n\nTo avoid the accidental erasure or overwriting of critical data, Content Manager OnDemand supports the Tivoli Storage Manager APIs that relate to data retention. Data retention protection prohibits the explicit deletion of documents until their specified retention criterion is met. Although documents can no longer be explicitly deleted, they can still expire.\n\n## Important notes :", - "page_start": 257, - "page_end": 257, - "source_file": "sg246915.pdf" - }, - { - "text": "- 3. After the enclosure is logically removed from the system (set to unmanaged state), the IBM Storwize V7000 reminds you about steps necessary for physical removal, such as power off, uncabling, dismantling from the rack, and secure handling (see Figure 5-93).\n\nFigure 5-93 Enclosure removed\n\n\n\nAs part of the enclosure removal process, consult your company security policies about how to handle sensitive data on removed storage devices before they leave the secure data center. Most companies require data to be encrypted or logically shredded.\n\n## 5.11.3 Restarting the GUI Service\n\nThe service that runs that GUI operates from the configuration node. Occasionally, you might need to restart this service if the GUI is not performing to your expectation (or you cannot connect). To do this, you log on to the service assistant and identify the configuration node, as shown in Figure 5-94.\n\nFigure 5-94 Identifying the configuration node on the service assistant\n\n", - "page_start": 210, - "page_end": 210, - "source_file": "sg247938.pdf" - }, - { - "text": "## 4.6.3 Viewing the local port mask\n\nTo view the local port mask for the system, use the lssystem command, as shown in Example 4-2.\n\nExample 4-2 Viewing the local port mask\n\n```\nIBM\\_Storwize:ITSO:superuser>lssystem id 000001003D600126 name ITSO location local partnership ... ... local\\_fc\\_port\\_mask 0000000000000000000000000000000000000000000000000000000000001111 partner\\_fc\\_port\\_mask 1111111111111111111111111111111111111111111111111111111111111111 ...\n```\n\n## 4.7 Other administrative procedures\n\nIn this section, we discuss other administrative procedures.\n\n## 4.7.1 Removing a control enclosure from a clustered system\n\nRemoving a control enclosure from a system causes a loss of access to drives in this control enclosure and any expansions enclosures connected to this control enclosure. If not planned and executed carefully and correctly, this procedure can cause disruption in access to storage or data loss. Make sure that you have current and verified data backups before removing a control enclosure from a system. Follow carefully the enclosure removal procedure that is provided at this IBM Knowledge Center web page.\n\n## 4.7.2 Shutting down the system\n\nYou can safely shut down an Storwize V7000 cluster by using the GUI or CLI.\n\nAfter you shut down the entire cluster, you need to power it on manually to start the system again. Make sure that someone is available with physical access to the IBM Spectrum Virtualize hardware who can start the system after it is shut down.\n\nNote: For systems with enabled encryption, ensure that the cluster can access at least one valid encryption key provider. Access to an encryption key provider (USB key or a key server) is required at start time to unlock encrypted data.\n\nAlso, never shut down your IBM Storwize V7000 system by powering off the PSUs, removing both PSUs, or removing both power cables from the enclosure. It can lead to data loss.\n\nBefore shutting down the cluster, make sure that all hosts that have volumes mapped from the system are prepared for the storage system shutdown. This can be achieved by several methods, as shown in the following examples:\n\n - /SM590000 Shutting down the host. This is the safest option.", - "page_start": 145, - "page_end": 145, - "source_file": "sg247938.pdf" - }, - { - "text": "| container\\_runtime\\_docker\\_storage\\_setup\\_device=/dev/mapper/DOCKER\\_DISK\\_1 container\\_runtime\\_docker\\_storage\\_type=overlay2 | container\\_runtime\\_docker\\_storage\\_setup\\_device=/dev/mapper/DOCKER\\_DISK\\_1 container\\_runtime\\_docker\\_storage\\_type=overlay2 |\n|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| ##-----------------------------------------------------------------------## | ##-----------------------------------------------------------------------## |\n| ## OpenShift Network Vars | ## OpenShift Network Vars |\n| # Defaults | # Defaults |\n| | # osm\\_cluster\\_network\\_cidr=10.128.0.0/14 # openshift\\_portal\\_net=172.30.0.0/16 os\\_sdn\\_network\\_plugin\\_name='redhat/openshift-ovs-multitenant' |\n| # Set SDN MTU (default is 1450) | # Set SDN MTU (default is 1450) |\n| # Configure the multi-tenant SDN plugin (default is 'redhat/openshift-ovs-subnet') | |\n| # openshift\\_node\\_sdn\\_mtu=1400 ##-----------------------------------------------------------------------## ## Metrics Server | # openshift\\_node\\_sdn\\_mtu=1400 ##-----------------------------------------------------------------------## ## Metrics Server |", - "page_start": 139, - "page_end": 139, - "source_file": "sg248459.pdf" - }, - { - "text": "- /SM590000 When are the documents retrieved and delivered?\n - /SM590000 Where are they delivered?", - "page_start": 341, - "page_end": 341, - "source_file": "sg246915.pdf" - }, - { - "text": "Figure 6-26 Actions on internal storage\n\n\n\nThe actions available depend on the status of the drive or drives selected. Some actions can be run only on a set of them, and some are possible only for individual drives.\n\n## Action: Fix error\n\nThis action is only available if the drive selected has an error event that is associated with it. Select Fix Error to start the Directed Maintenance Procedure (DMP) for the selected drive. For more information about DMPs, see Chapter 13, 'RAS, monitoring, and troubleshooting' on page 673.\n\n## Action: Take offline\n\nSelect Take Offline to take a drive offline. You must confirm the action, as shown in Figure 6-27.\n\nFigure 6-27 Taking a drive offline\n\n\n\nIf a spare drive is available and the drive is taken offline, the MDisk of which the failed drive is a member remains Online . The spare is automatically reassigned. If no spare drive is available and the drive is taken offline, the status of the array of which the failed drive is a member becomes Degraded . Therefore, the status of the storage pool to which the MDisk belongs becomes Degraded as well.\n\nThe system prevents you from taking the drive offline if one of the following conditions is true:\n\n - /SM590000 The first option was selected and no suitable spares are available.\n - /SM590000 Losing another drive in the array results in data loss.\n\nA drive that is taken offline is considered Failed , as shown in Figure 6-28 on page 211.", - "page_start": 231, - "page_end": 231, - "source_file": "sg247938.pdf" - }, - { - "text": "## Removing enclosure\n\nThe enclosure removal procedure includes its logical detachment from the system by using GUI and physical unmount from the rack. The IBM Storwize V7000 guides you through this process. Complete the following steps:\n\n - 1. In the System pane that is available from the Monitoring menu, select > of the enclosure you want to remove. The Enclosure Details pane opens. You can then click Enclosure Actions and select Remove , as shown in Figure 5-91.\n\nFigure 5-91 Selecting enclosure for removal\n\n\n\n - 2. The system asks if you want to remove the enclosure. All disk drives in the removed enclosure must be in the Unused state. Otherwise, the removal process fails (see Figure 5-92).\n\nFigure 5-92 Confirm the removal\n\n", - "page_start": 209, - "page_end": 209, - "source_file": "sg247938.pdf" - }, - { - "text": "- - Storage Pool", - "page_start": 532, - "page_end": 532, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed6_cc4.pdf", - "query": "How many people include the Dyspnea study ?", - "target_page": 1, - "target_passage": "This population-based study included 2,857 adults who were experiencing respiratory symptoms.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "The three objectives of our study were as follows: (1) to evaluate the impact of dyspnea in adults from the general population who had no prior diagnosis of respiratory disease but who reported having signi /uniFB01 cant respiratory symptoms in the past 6 months; (2) to identify associated risk factors for dyspnea and estimate their in /uniFB02 uence on the symptom; and (3) to explore the relationship between dyspnea and health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nthe study was obtained from the research ethics boards of the 17 participating study sites across Canada. Informed, written consent was provided by all study participants.\n\nBoth landlines and cellphones within a 90-minute radius of any of the 17 study sites were dialed randomly. A\n\n(P. H.), Dalhousie University, Halifax, NS; the Department of Medicine (I. M. and M. B.), University of Alberta, Edmonton, AB; the Department of Medicine (M. D. L.), Queen ' s University, Kingston; the Department of Medicine (C. J. L.), University of Western Ontario, London, ON; the Department of Medicine (T. A.), Memorial University, St. John ' s, NF; the Department of Medicine (N. E.), McGill University, Montreal, QC; the Department of Medicine (M. A.), University of Manitoba, Winnipeg, MN, Canada.\n\nDrs Bierbrier and Gerstein contributed equally to this manuscript.\n\nPart of this work has been presented at the American Thoracic Society Conference, May 17-22, 2024, San Diego, CA.\n\nCORRESPONDENCE TO: Shawn D. Aaron, MD; email: saaron@ohri.ca Copyright /C211 2024 The Author(s). Published by Elsevier Inc under license from the American College of Chest Physicians. This is an open access article under the CC BY license (http://creativecommons.org/ licenses/by/4.0/).\n\nDOI: https://doi.org/10.1016/j.chest.2024.07.183", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Take-home Points\n\nStudy Question: How profoundly are adults with undiagnosed respiratory symptoms affected by dyspnea?\n\nResults: In community-based adults with undiagnosed respiratory symptoms, those identi /uniFB01 ed with preserved ratio impaired spirometry experienced the greatest impact of dyspnea, followed by those with undiagnosed asthma or COPD. Greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nInterpretation: Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity.\n\nDyspnea refers to a subjective sensation of breathing discomfort. 1 In a study involving a community-based population aged > 70 years, the prevalence of dyspnea was found to be 32%. 2 Dyspnea can lead to limitations in daily activities, reduced exercise tolerance, and heightened mortality risks. 3\n\nDyspnea not only affects individuals with diagnosed respiratory conditions but also poses a signi /uniFB01 cant burden on those with undiagnosed conditions. In a systematic review by Müller et al, 4 the combined\n\n## Study Design and Methods\n\n## Recruitment of Undiagnosed Cases and Healthy\n\nControl Patients\n\nBetween June 2017 and January 2023, adults aged $ 18 years were recruited through a two-step process into the Undiagnosed COPD and Asthma Population (UCAP) study, a multicenter case /uniFB01 nding study. Approval for\n\nABBREVIATIONS: ASQ = Asthma Screening Questionnaire; BD = bronchodilator; CAT = COPD Assessment Test; PCA = principal component analysis; PRISm = preserved ratio impaired spirometry; SGRQ = St. George ' s Respiratory Questionnaire\n\nAFFILIATIONS: From The Ottawa Hospital Research Institute (J. B., E. G., K. L. V., G. G. A., S. M., and S. D. A.), University of Ottawa, Ottawa, ON; the Desautels Faculty of Management (G. A. W.), McGill University, Montreal, QC; the Department of Medicine (C. B.), The University of British Columbia, Vancouver, BC; the Centre de recherche (L.-P. B. and A. C.), Institut de cardiologie et de pneumologie de Québec, Université Laval, Quebec, QC; the Cumming School of Medicine (S. K. F.), University of Calgary, Calgary, AB; the Department of Medicine (E. P.), University of Saskatchewan, Regina, SK; the Firestone Institute for Respiratory Health (R. A. M.), McMaster University, Hamilton, ON; the Department of Medicine (C. L.), Université de Montreal, Montreal, QC; the Department of Medicine and the Li Ka Shing Knowledge Institute (S. G.), St. Michael ' s Hospital University of Toronto, Toronto, ON; the Department of Medicine\n\nprevalence of dyspnea in the adult general population across 11 studies was estimated to be 10%. Dyspnea can arise from a broad spectrum of underlying factors, including both respiratory and nonrespiratory conditions. Studies have revealed that dyspnea is not solely attributable to respiratory conditions but is also heavily in /uniFB02 uenced by cardiovascular deconditioning and by nonrespiratory factors, including psychosocial, social, and environmental determinants. 5,6\n\nDyspnea is a prevalent symptom with consequences that extend beyond its physiologic implications. A study in European patients with COPD explored the burden of dyspnea and identi /uniFB01 ed potential correlates. The study revealed that higher dyspnea impact correlated with lower health-related quality of life, increased work impairment, and a higher frequency of emergency department visits. 7", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## TABLE 2 ] (Continued)\n\nTable 4 presents the association of dyspnea with patient-speci /uniFB01 c risk factors. Dyspnea impact increased with younger age, being female, higher BMI, higher smoking and smoke exposure history, and total work", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Assessment of the Impact of Participants ' Dyspnea\n\nAlthough neither the CAT nor the SGRQ are dyspneaspeci /uniFB01 c tools, both are recommended by the Global Initiative for Chronic Obstructive Lung Disease to evaluate symptoms, including dyspnea, 20 and both yield a richer assessment of dyspnea than the modi /uniFB01 ed Medical Research Council breathlessness scale. 20 Fifteen questions were taken from the CAT and SGRQ questionnaires that referred to individuals ' experiences with dyspnea, and a composite measure of dyspnea impact using a weighted sum of the responses to the 15 questions was constructed. Questions were coded so that larger values indicate more impactful dyspnea. Weights used for question responses in calculating the dyspnea impact assessment measure were those of the /uniFB01 rst component of a principal component analysis (PCA) based on the covariance matrix of question responses. Questions with multiple responses and ordinal structure are individually more informative and thus were accorded higher weight than individual true-false questions. No additional PCA component was anticipated a priori to be material for our investigation, and an eigenvalue analysis of the PCA was conducted to verify this assumption.\n\nThe composite dyspnea impact measure was scaled so its minimum value was 0 if the response to each of the 15 questions was 0, and the maximum value was scaled to 100 if the individual responses for all 15 questions represented the most severe dyspnea response.\n\n[\n\n]", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "[\n\n]\n\n## Impact of Dyspnea on Adults With Respiratory Symptoms Without a De /uniFB01 ned Diagnosis\n\n\n\n\n\nJared Bierbrier, BSc; Emily Gerstein; George A. Whitmore, PhD; Katherine L. Vandemheen, MScN; Celine Bergeron, MD; Louis-Philippe Boulet, MD; Andreanne Cote, MD; Stephen K. Field, MD; Erika Penz, MD; R. Andrew McIvor, MD; Catherine Lemière, MD; Samir Gupta, MD; Paul Hernandez, MD; Irvin Mayers, MD; Mohit Bhutani, MD; M. Diane Lougheed, MD; Christopher J. Licskai, MD; Tanweer Azher, MD; Nicole Ezer, MD; Martha Ainslie, MD; Gonzalo G. Alvarez, MD; Sunita Mulpuru, MD; and Shawn D. Aaron, MD\n\nBACKGROUND: We investigated dyspnea; its associated risk factors; and its impact on health care utilization, quality of life, and work productivity in adults with undiagnosed respiratory symptoms.\n\nRESEARCH QUESTION: What is the impact of dyspnea in adults with undiagnosed respiratory symptoms?\n\nSTUDY DESIGN AND METHODS: This population-based study included 2,857 adults who were experiencing respiratory symptoms. These individuals had not been previously diagnosed with any lung conditions and were recruited from 17 Canadian centers using random digit dialing. Each participant underwent spirometry testing both before and after using a bronchodilator to determine if they met the diagnostic criteria for COPD, asthma, or preserved ratio impaired spirometry (PRISm), or if their spirometry results were normal. An agematched control group (n ¼ 231) was similarly recruited using random digit dialing. A dyspnea impact assessment score from 0 to 100 was produced using questions from the COPD Assessment Test and St. George ' s Respiratory questionnaire.\n\nRESULTS: Individuals with PRISm (n ¼ 172) reported more impactful dyspnea (mean score, 63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma (n ¼ 265; mean score, 56.6; 95% CI, 53.9-59.3) or undiagnosed COPD (n ¼ 330; mean score, 57.5; 95% CI, 55.1-59.9). All groups reported signi /uniFB01 cantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.8-15.7). Patient-speci /uniFB01 c risk factors including age, sex, BMI, smoking, and comorbidities explained 20.6% of the variation in dyspnea. An additional 12.4% of the variation was explained by disease classi /uniFB01 cation and another 1.7% by the severity of lung function impairment assessed with spirometry. After adjusting for age, sex, and BMI, greater dyspnea impact was associated with increased health care utilization, lower quality of life, and reduced work productivity.\n\nINTERPRETATION: Our /uniFB01 ndings showed that in community-based adults with undiagnosed respiratory symptoms, those identi /uniFB01 ed with PRISm experienced the greatest impact of dyspnea. Dyspnea imposes burdens on the health care system and is associated with impaired quality of life and work productivity. CHEST 2024; 166(6):1296-1308\n\nKEY WORDS: asthma; case /uniFB01 nding; COPD; dyspnea\n\nFOR EDITORIAL COMMENT, SEE PAGE 1259\n\n[\n\n]", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 4 ] Sequential Regression Analyses of Risk Factors Contributing to Variability in Dyspnea: Dyspnea Regressed on Patient-Speci /uniFB01 c Risk Factors (20.6% of Variability Explained)\n\n| Risk Factor | Regression Coef /uniFB01 cient | P Value |\n|--------------------------------|----------------------------------|-----------|\n| Age | /C0 0.0909 | .005 |\n| Female | 8.217 | < .001 |\n| BMI | 0.899 | < .001 |\n| Household income < CAD $30,000 | 1.420 | .40 |\n| Household income $ CAD $30,000 | /C0 2.149 | .07 |\n| Smoking history, pack-y | 0.144 | < .001 |\n| Smoking exposure | 5.123 | < .001 |\n| Occupational exposure | 0.00975 | < .001 |\n| Congestive heart failure | 10.119 | .004 |\n| Coronary artery disease | 4.813 | .001 |\n| Depression/anxiety | 6.892 | < .001 |\n| Diabetes mellitus | 1.627 | .22 |\n| Hypertension | 3.433 | < .001 |\n| Anemia | 1.738 | .15 |\n| Cancer | 0.952 | .49 |\n| GERD | 4.663 | < .001 |\n| Liver disease | 1.081 | .61 |\n| Renal disease | 2.073 | .32 |\n| Stroke | 8.463 | < .001 |\n\nBoldface indicates statitistical signi /uniFB01 cance. GERD ¼ gastroesophageal re /uniFB02 ux disease.\n\n1.011; P < .001 for general practitioner visits; OR, 1.015; P < .001 for emergency department visits; and OR, 1.023, P ¼ .005 for hospitalization for respiratory illness) (Table 8).\n\nAfter adjusting for age, sex, and BMI, dyspnea was associated with a reduced likelihood of current employment (OR, 0.993; P < .001), increased absenteeism (coef /uniFB01 cient, 0.066; P < .001), increased presenteeism (coef /uniFB01 cient, 0.349; P < .001), higher work\n\nTABLE 5 ] Dyspnea Regressed on Spirometry Disease Group\n\n| Disease Group | Regression Coef /uniFB01 cient | P Value |\n|---------------------|----------------------------------|-----------|\n| Control | /C0 31.2 | < .001 |\n| Normal spirometry a | NA | NA |\n| Asthma | 4.6 | .001 |\n| COPD | 3.8 | .003 |\n| PRISm | 5.5 | .001 |\n| Constant | 51.9 | NA |\n\nDyspnea regressed on spirometry disease group, after removing contributions from subject-speci /uniFB01 c factors in Table 4 (12.4% of variability explained). Boldface indicates statitistical signi /uniFB01 cance. NA ¼ not applicable; PRISm ¼ preserved ratio impaired spirometry. a Normal spirometry group is the reference category.\n\nproductivity loss (coef /uniFB01 cient, 0.383; P < .001), and greater activity impairment (coef /uniFB01 cient, 0.501; P < .001), as measured by the Work Productivity and Activity Impairment questionnaire 21 (Table 9).\n\n## Discussion\n\nOur study explored dyspnea in community-based adults with undiagnosed respiratory symptoms identi /uniFB01 ed via case /uniFB01 nding. Surprisingly, we found that the dyspnea experienced by those with PRISm had a greater impact on their activities and health status than those with newly diagnosed COPD or asthma.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "## Risk Factors Associated With Dyspnea\n\nPatient-related risk factors were considered /uniFB01 rst, and results of spirometry considered afterward. The spirometry risk factors chosen for the second stage analysis included the spirometry-based diagnosis of the patient (asthma, COPD, PRISm, or normal) and lung function results indicative of the severity of physiologic impairment. Severity was gauged by assessing three principal lung function measures: (1) post-BD FEV1 % predicted, (2) post-BD FEV1/FVC ratio, and (3) percentage reversal of FEV1 with BD.\n\n## Dyspnea Impact and Health Care Use, Quality of Life, and Work Productivity\n\nThe impact of dyspnea and its associations with health care use, quality of life, and work productivity were examined. Health care utilization was assessed through selfreported data. Quality of life was assessed using the 36Item Short Form Health Survey questionnaire, where higher scores indicate better health status. Work productivity was assessed using the Work Productivity and Activity Impairment questionnaire, where higher scores\n\n## Results\n\nFigure 1 illustrates the results of the case /uniFB01 nding approach, including the enrollment of the control group. Among 5,631 potentially eligible participants, 1,359\n\nindicate greater impairment in work productivity and daily activities.\n\n## Statistical Analysis\n\nBox plots were used to compare distribution patterns of dyspnea impact assessments among the disease groups. Pairwise comparison tests were conducted to evaluate mean dyspnea differences between groups. Multiple linear regression analysis was used to measure contributions to variability of dyspnea by selected patient-speci /uniFB01 c risk factors, spirometry disease classi /uniFB01 cation, and key lung function measures. The selected sets of risk factors were evaluated using successive regression analyses. Analysis of variance sums of squares from the successive regression analyses provided the cumulative percentage contributions to variability of dyspnea. Simple, multiple, and logistic regression analyses were used to study associations between dyspnea and health care utilization, quality of life, and work productivity outcomes. All statistical analyses were done using STATA 16 statistical software (StataCorp).\n\nparticipants (24%) did not meet the threshold of $ 6 points on the ASQ or $ 20 points on the COPDDiagnostic Questionnaire and were thus excluded, leaving 4,272 individuals deemed eligible for spirometry.\n\nFigure 1 -Study /uniFB02 ow diagram demonstrating the case /uniFB01 nding and control group recruitment and allocation. ASQ ¼ Asthma Screening Questionnaire; COPD-DQ ¼ COPD Diagnostic Questionnaire; CF ¼ cystic /uniFB01 brosis; MI ¼ myocardial infarction; PRISM ¼ preserved ratio impaired spirometry.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "Data are presented as mean (SD) for Q1, Q2, and Q3 (total), and Q3 to Q15 were presented to participants as yes or no questions, where percentages of parti cipants who answered yes are shown. Question weights (principal component analysis scoring coef /uniFB01 cients) used for calculating the dyspnea assessment are shown below individual questions. CAT ¼ COPD Assessment Test; PRISm ¼ preserved ratio impaired spirometry; Q ¼ question; SGRQ ¼ St. George ' s Respiratory Questionnaire.\n\nHowever, 1,415 either did not attend or were unable to complete adequate spirometry. Ultimately, 2,857 (67%) of those eligible underwent both pre- and post-BD spirometry.\n\nOf these 2,857 participants, 2,090 (73.2%) had normal spirometry, 265 (9.3%) had undiagnosed asthma, 330 (11.5%) had undiagnosed COPD, and 172 (6.0%) had PRISm based on post-BD spirometry. Of the 595 individuals with spirometric evidence of asthma or COPD, 253 were independently assessed by a pulmonologist. In 245 of these 253 cases (97%), the independent physician diagnosis agreed with the study diagnosis of asthma or COPD.\n\nIndividuals in the COPD group were generally older andmorelikelytobemalecomparedwithallother study groups (Table 1). All groups, including healthy control participants, had mean BMIs in the overweight orobeseranges.ThePRISmgroupwasheaviestwithan average BMI of 34.7, and 22% of PRISm patients met BMI criteria for morbid obesity. Compared with all other groups, those with COPD were the most likely to have active or previous tobacco use, with the highest average total pack-years of 32.7. The control group had the lowest number of people with active or previous tobacco use.\n\nTable 2 shows mean responses to the 15 dyspnea questions for each disease classi /uniFB01 cation and presents question weights (PCA scoring coef /uniFB01 cients) used for calculating the dyspnea impact assessment.\n\nIndividuals with PRISm reported the highest dyspnea impact, with a signi /uniFB01 cantly greater mean score (63.0; 95% CI, 59.5-66.4) than those with undiagnosed asthma or COPD (Table 3). Those with undiagnosed asthma or COPD had similar mean scores (56.6; 95% CI, 53.9-59.3 and 57.5; 95% CI, 55.1-59.9, respectively), followed by those with normal spirometry (51.8; 95% CI, 50.7-52.8). All four groups reported signi /uniFB01 cantly more impactful dyspnea than the control group (mean score, 13.8; 95% CI, 11.815.7). Table 3 shows between-group differences in mean dyspnea impact assessments for each pair of disease outcomes. Figure 2 compares box plots of the dyspnea impact assessment values across disease classi /uniFB01 cations.\n\n[\n\n]", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "After adjusting for age, sex, and BMI, dyspnea was negatively associated with all domains of quality of life, including physical functioning (coef /uniFB01 cient, /C0 0.655; P < .001), role limitations due to physical health (coef /uniFB01 cient, /C0 0.628; P < .001), general health (coef /uniFB01 cient, /C0 0.382; P < .001), and total score (coef /uniFB01 cient, /C0 0.473; P < .001) (Table 7).\n\nAfter adjusting for age, sex, and BMI, dyspnea was associated with an increased likelihood of annual visits to health care providers for respiratory complaints (OR,", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - }, - { - "text": "TABLE 3 ] Intergroup Comparisons of Dyspnea Impact\n\n| Pairwise Comparison | Mean Dyspnea Score (95% CI) | Mean Difference (95% CI) | P Value |\n|-----------------------|-------------------------------|----------------------------------|-----------|\n| Control | 13.8 (11.8-15.7) | /C0 38.0 ( /C0 41.1 to /C0 34.9) | < .001 |\n| Normal spirometry | 51.8 (50.7-52.8) | | |\n| Control | 13.8 (11.8-15.7) | /C0 43.7 ( /C0 47.6 to /C0 39.8) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Control | 13.8 (11.8-15.7) | /C0 42.8 ( /C0 46.9 to /C0 38.7) | < .001 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Control | 13.8 (11.8-15.7) | /C0 49.2 ( /C0 53.7 to /C0 44.6) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 5.7 (3.0 to 8.4) | < .001 |\n| COPD | 57.5 (55.1-59.9) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 4.8 (1.8, 7.8) | .002 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Normal spirometry | 51.8 (50.7-52.8) | 11.2 (7.5 to 14.8) | < .001 |\n| PRISm | 63.0 (59.5-66.4) | | |\n| PRISm | 63.0 (59.5-66.4) | 5.5 (1.1 to 9.8) | .014 |\n| COPD | 57.5 (55.1-59.9) | | |\n| PRISm | 63.0 (59.5-66.4) | 6.4 (1.9 to 10.9) | .005 |\n| Asthma | 56.6 (53.9-59.3) | | |\n| Asthma | 56.6 (53.9-59.3) | 0.9 ( /C0 2.8 to 4.7) | .63 |\n| COPD | 57.5 (55.1-59.9) | | |\n\nPRISm ¼ preserved ratio impaired spirometry.\n\nexposure in an array of risky occupations. These risk factors, taken as a whole, accounted for 21% of the variability in dyspnea.\n\nAfter adjustment for patient-speci /uniFB01 c risk factors in the /uniFB01 rst stage analysis, we adjusted for spirometry-de /uniFB01 ned disease (PRISm, asthma, COPD, or normal spirometry) in Table 5. Adjustment for disease\n\nFigure 2 -Box plot demonstrating dyspnea impact according to spirometry disease classi /uniFB01 cation. The center line marks the median. The boxes span the interquartile range (IQR). The outer fences are set at distances 1.5 /C2 IQR from the box. Outliers appear as plotted dots.\n\n\n\nclassi /uniFB01 cation accounted for 12% of the total variability of dyspnea.\n\nTable 6 presents the contribution of lung function measures of physiologic impairment after accounting for patient-related risk factors and disease classi /uniFB01 cation. For the PRISm disease group, a higher post-BD FEV1/FVC ratio and a lower post-BD FEV1 % predicted value were associated with greater dyspnea impact. For the COPD disease group, a lower post-BD FEV1/FVC ratio was associated with greater dyspnea impact. Reversibility of FEV1 was associated with higher dyspnea impact only in patients with asthma or COPD. Lung function measures of disease severity accounted for 2% of the variability in dyspnea.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed6_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Can I put my plants directly on my compost ?", - "target_page": 2, - "target_passage": "Don’t\tput\tplants\tinto\t100%\tcompost.\t\tMix\t\t\t\t\t\t\t\t\t compost\tthoroughly\tinto\texisting\tsoil\tbefore\t\t\t planting.", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n## Healthy Soil:\n\n - l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n - l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n - l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\nSoil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.\n\n## Washington State Encourages the Use of Compost, to Protect Our Water Quality\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org.\n\n\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n## What to Look for in Compost\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n - l with a dark, crumbly texture\n - l with a mild odor\n\n\n\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## Quality Testing at Composting Facilities\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the 'Seal of Testing Assurance' (STA) testing program. See 'Resources' on page 11 to learn more.\n\n## Remember:\n\nYour compost provider can help you pick the best compost mix for your needs.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n## What is compost?\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil - it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n## What materials ('feedstocks') are used to make compost?\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n## How do I know I'm getting safe, quality compost?\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n## What about weed seeds, plant diseases or pesticide residues?\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n\n\n\n\n\n\n## Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\n - l The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n - l Please keep yard debris free of :\n - x Garbage\n - x Plastic of any sort\n - - Plastic plant pots\n - - Plastic plant tabs\n - - Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n - x Rock, brick, or masonry\n - x Glass or metal\n - x Pet waste.\n - * Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\nSpecial thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n\n\nwww.compostwashington.org\n\n\n\nwww.soilsforsalmon.org\n\n\n\noriginal artwork provided by:\n\n\n\n## Tips to Remember:\n\n- · Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.\n- · When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.\n- · Ask your compost supplier which compost product is best for your intended use.\n- · Use compost at the recommended application rate.\n- · To maintain healthy soil, reapply compost or mulch every 1-2 years.\n- · Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.\n- · Compost can also reduce your lawn and garden's summer irrigation needs.\n- · Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process.\n\n\n\nTheir controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n\n\nCompost improves soil structure and plant growth by\n\n - · Replenishing soil organic matter, and storing nutrients in plant-available forms\n - · Supporting beneficial soil life\n - · Reducing erosion and water run-off\n - · Loosening clay soils for better root development (increasing soil pore space)\n - · Retaining moisture in sandy soils so plants need less watering.\n\n\n\n## Ask Your Compost Supplier\n\nWhether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:\n\n - · What ingredients go into your compost?\n - · What compost products or blends do you sell?\n - · Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)\n - · Which product is best for my intended use?\n - · What application rate do you recommend?\n - · How much do I need for my area? (Or see pages 4-6.)\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\nCompost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\nMulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\nPeat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\nFertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\nTopsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "\n\n\n\nCompost adds organic material and nutrients to the soil, increases water-holding capacity and biological activity, and improves plant growth and health.", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## 1. Grinding Organic Materials:\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n - · Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n - · Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## 2. Heating Up:\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n## 3. Finishing:\n\nTypically 'finished' compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n\n\n## Applications for Compost\n\n## Planting New Garden Beds or Lawns\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n## Mulch (surface applications on landscape beds)\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n## Top Dressing for Lawns\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n## Blended (Manufactured) Topsoils\n\nGood quality 'topsoil' products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n## When to Use Compost?\n\n - · Any time you're preparing soil for planting\n - · Mulching beds and gardens in spring, summer, or fall\n - · Top-dressing lawns in spring or fall.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## How Much Compost to Use\n\n - l Estimate the planting area (Math Hint: Square feet = length x width)\n - l Decide upon the appropriate application depth of the compost (page 4)\n - l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n - l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n\n## Question: I have a plot about this big, how much compost do I buy?\n\n| Plot Size | # of Sq Feet | 1/2' Deep - Mulching or Top-dressing | 2' Deep - Amending new lawns or gardens |\n|----------------|----------------|-----------------------------------------|---------------------------------------------|\n| 5' x 10' plot | 50 sq ft | 2.08 cu ft of compost | 8.33 cu ft of compost (0.31 cu yd) |\n| 10' x 10' plot | 100 sq ft | 4.17 cu ft of compost | 16.66 cu ft of compost (0.62 cu yd) |\n| 20 x 50' plot | 1000 sq ft | 41.7 cu ft of compost | 166.7 cu ft of compost (6.2 cu yd) |\n| 1 acre | 43,600 sq ft | 1,815 cu ft of compost (67 cu yd) | 7,257 cu ft of compost (268 cu yd) |\n\n## Question: If I buy this much compost, how many square feet will it cover?\n\n\n\n| Compost Quantity | 1/2' Deep - Mulching or Top-dressing | 2' Deep - Amending new lawns or gardens |\n|--------------------------------------------------|-----------------------------------------|-------------------------------------------------|\n| 1 cu ft bag of compost 2.2 cu ft bag of compost | 24 sq foot area | 6 sq foot area 9 sq foot area 13 sq foot area |\n| 1.5 cu ft bag of compost | 36 sq foot area | |\n| | 53 sq foot area | |\n| 2.5 cu ft bag of compost | 60 sq foot area | 15 sq foot area |\n| 1 cubic yard of compost | 648 sq foot area | 162 sq foot area |\n\nCompost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology,\n\n\n\ndemonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Resources\n\n## Compost Organizations\n\n## Washington Organic Recycling Council\n\nFind a compost producer in your area www.compostwashington.org\n\n## US Composting Council\n\nSeal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n## Restoring the Soil to Protect our Waterways\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n## Natural Lawn & Garden Care, Soils, and Home Composting\n\nCity of Seattle\n\nwww.seattle.gov/util/services/yard\n\nKing County\n\nwww.kingcounty.gov/soils\n\nWashington State University\n\nwww.puyallup.wsu.edu/soilmgmt/\n\n\n\n\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## HOW DOES IT WORK?\n\n## When to put my garbage container outside?\n\nThe evening before the waste collection day.\n\n## Who is responsible for the maintenance of the containers?\n\nYou will have to keep them in a clean working state (periodical washing).\n\n## Container stolen: What to do?\n\nIn case of theft, your container will be replaced on presentation of a theft report effected at your local police station.\n\n## Out container = full container\n\nPut your rubbish container out only when full.\n\nAttention ! Black garbage bags left on the ground will no longer be collected.\n\nPlease be respectful with the agents.\n\n## HOW TO GET A COMPOST KIT?\n\nBuy your own compost kit and get\n\ntips for good composting practice.\n\nOnly during opening hours every wednesday from 2 pm to 4 pm at the old recycling centre impasse Elie Teyssier-Miramont. (In case of unavailability, please contact the environment department).\n\n30 minute workshops/awarenessraising sessions are regularly organised (starting at 4pm). It is possible to leave with a composter during these workshops ** .\n\nRegistration and information with the service.\n\n| Compost kit | Plastic | Wood |\n|---------------|-----------|--------|\n| 300 L | 20 € | 30 € |\n| 400 L | 25 € | 35 € |\n\n- * Only payment by cheque made payable to the\n- 'Tresor Public' are accepted\n- ** Specific condition of acquisition apply accor-\n- ding to your municipality of residence\n\n\n\n\n\n| Town | Black container | Yellow container |\n|------------------------|------------------------|------------------------|\n| TUESDAY white weeks | THURSDAY green weeks | AGNAC |\n| MONDAY green weeks | WEDNESDAY white weeks | ALLEMANS-DU-DROPT |\n| TUESDAY white weeks | THURSDAY green weeks | ARMILLAC |\n| WEDNESDAY green weeks | FRIDAY white weeks | BOURGOUGNAGUE |\n| MONDAY green weeks | WEDNESDAY white weeks | CAMBES |\n| MONDAY green weeks | THURSDAY white weeks | LACHAPELLE |\n| TUESDAY white weeks | WEDNESDAY green weeks | LAPERCHE |\n| TUESDAY white weeks | THURSDAY green weeks | LA-SAUVETAT-DU-DROPT |\n| MONDAY green weeks | FRIDAY white weeks | LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | LAVERGNE |\n| TUESDAY green weeks | THURSDAY white weeks | MIRAMONT-DE-GUYENNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | MONTIGNAC-DE-LAUZUN |\n| TUESDAY white weeks | THURSDAY green weeks | MONTIGNAC-TOUPINERIE |\n| WEDNESDAY green weeks | WEDNESDAY white weeks | MOUSTIER |\n| MONDAY green weeks | THURSDAY white weeks | PEYRIÈRE |\n| MONDAY green weeks | WEDNESDAY white weeks | PUYSSERAMPION |\n| MONDAY white weeks | THURSDAY green weeks | ROUMAGNE |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SAINT-COLOMB-DE-LAUZUN |\n| MONDAY white weeks | FRIDAY green weeks | SAINT-PARDOUX-ISAAC |\n| WEDNESDAY white weeks | WEDNESDAY green weeks | SEGALAS |\n\n## MORE QUESTIONS ?\n\nWebsite:\n\nwww.ccpl47.fr\n\n/ Section En Pratique > Environnement > Gestion des déchets\n\nEnvironnement Service :\n\n12 rue du Renfort 47410 LAUZUN\n\n05 53 94 11 23 / secretariat.environnement@ccpl47.fr\n\nComposting : anim.biodechets@ccpl47.fr / 06 33 72 84 18\n\nRecycling centre access, registration or modification : iris@ccpl47.fr / 05 53 64 12 26\n\nOn the CCPL website\n\n\n\nEverything you need to know about sorting\n\n\n\n\n\neepik\n\nr\n\ntock - F\n\nS\n\ndobe\n\nto : A\n\nédits pho\n\nr\n\nC", - "page_start": 3, - "page_end": 3, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - }, - { - "text": "## INSTRUCTIONS\n\n## in the Pays de Lauzun district\n\n\n\n## ORGANIC WASTE\n\n//50% green materials : all fruit and vegetable peelings, leftover meat, egg shells, tea and coffee…\n\n//50% brown materials : dead leaves, twigs, kitchen rolls, shavings, possibly paper, newspaper and cardboard …\n\n## ALL GLASS BOTTLES\n\n## Bocaux et bouteilles\n\n//Sans les couvercles !\n\n\n\n\n\n\n\n## RECYCLING CENTRE\n\n\n\n## HOUSEHOLD GARBAGE\n\nMasks, nappies, Broken dishes, toothbrush, Disposable wipes, Vacuum bags...\n\n\n\nBLACK BIN OR BLACK COLUMN\n\n\n\nCOMPOSTER\n\n\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "BD-EN_calendrier-Lauzun-2024.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "What are fertilizers ?", - "target_page": 4, - "target_passage": " Fertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility. ", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n## Healthy Soil:\n\n - l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n - l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n - l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\nSoil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.\n\n## Washington State Encourages the Use of Compost, to Protect Our Water Quality\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org.\n\n\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n## What to Look for in Compost\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n - l with a dark, crumbly texture\n - l with a mild odor\n\n\n\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## Quality Testing at Composting Facilities\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the 'Seal of Testing Assurance' (STA) testing program. See 'Resources' on page 11 to learn more.\n\n## Remember:\n\nYour compost provider can help you pick the best compost mix for your needs.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "\n\n\n\nCompost adds organic material and nutrients to the soil, increases water-holding capacity and biological activity, and improves plant growth and health.", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n## What is compost?\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil - it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n## What materials ('feedstocks') are used to make compost?\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n## How do I know I'm getting safe, quality compost?\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n## What about weed seeds, plant diseases or pesticide residues?\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n\n\n\n\n\n\n## Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\n - l The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n - l Please keep yard debris free of :\n - x Garbage\n - x Plastic of any sort\n - - Plastic plant pots\n - - Plastic plant tabs\n - - Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n - x Rock, brick, or masonry\n - x Glass or metal\n - x Pet waste.\n - * Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process.\n\n\n\nTheir controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n\n\nCompost improves soil structure and plant growth by\n\n - · Replenishing soil organic matter, and storing nutrients in plant-available forms\n - · Supporting beneficial soil life\n - · Reducing erosion and water run-off\n - · Loosening clay soils for better root development (increasing soil pore space)\n - · Retaining moisture in sandy soils so plants need less watering.\n\n\n\n## Ask Your Compost Supplier\n\nWhether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:\n\n - · What ingredients go into your compost?\n - · What compost products or blends do you sell?\n - · Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)\n - · Which product is best for my intended use?\n - · What application rate do you recommend?\n - · How much do I need for my area? (Or see pages 4-6.)\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\nCompost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\nMulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\nPeat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\nFertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\nTopsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## 1. Grinding Organic Materials:\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n - · Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n - · Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## 2. Heating Up:\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n## 3. Finishing:\n\nTypically 'finished' compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n\n\n## Applications for Compost\n\n## Planting New Garden Beds or Lawns\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n## Mulch (surface applications on landscape beds)\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n## Top Dressing for Lawns\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n## Blended (Manufactured) Topsoils\n\nGood quality 'topsoil' products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n## When to Use Compost?\n\n - · Any time you're preparing soil for planting\n - · Mulching beds and gardens in spring, summer, or fall\n - · Top-dressing lawns in spring or fall.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Resources\n\n## Compost Organizations\n\n## Washington Organic Recycling Council\n\nFind a compost producer in your area www.compostwashington.org\n\n## US Composting Council\n\nSeal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n## Restoring the Soil to Protect our Waterways\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n## Natural Lawn & Garden Care, Soils, and Home Composting\n\nCity of Seattle\n\nwww.seattle.gov/util/services/yard\n\nKing County\n\nwww.kingcounty.gov/soils\n\nWashington State University\n\nwww.puyallup.wsu.edu/soilmgmt/\n\n\n\n\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\nSpecial thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n\n\nwww.compostwashington.org\n\n\n\nwww.soilsforsalmon.org\n\n\n\noriginal artwork provided by:\n\n\n\n## Tips to Remember:\n\n- · Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.\n- · When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.\n- · Ask your compost supplier which compost product is best for your intended use.\n- · Use compost at the recommended application rate.\n- · To maintain healthy soil, reapply compost or mulch every 1-2 years.\n- · Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.\n- · Compost can also reduce your lawn and garden's summer irrigation needs.\n- · Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## How Much Compost to Use\n\n - l Estimate the planting area (Math Hint: Square feet = length x width)\n - l Decide upon the appropriate application depth of the compost (page 4)\n - l Use the charts below to estimate your compost needs. (Abbreviations: ft = foot; yd = yard; sq = square; cu = cubic.)\n - l Conversions: 9 square feet = 1 square yard; 27 cubic feet = 1 cubic yard.\n\n## Question: I have a plot about this big, how much compost do I buy?\n\n| Plot Size | # of Sq Feet | 1/2' Deep - Mulching or Top-dressing | 2' Deep - Amending new lawns or gardens |\n|----------------|----------------|-----------------------------------------|---------------------------------------------|\n| 5' x 10' plot | 50 sq ft | 2.08 cu ft of compost | 8.33 cu ft of compost (0.31 cu yd) |\n| 10' x 10' plot | 100 sq ft | 4.17 cu ft of compost | 16.66 cu ft of compost (0.62 cu yd) |\n| 20 x 50' plot | 1000 sq ft | 41.7 cu ft of compost | 166.7 cu ft of compost (6.2 cu yd) |\n| 1 acre | 43,600 sq ft | 1,815 cu ft of compost (67 cu yd) | 7,257 cu ft of compost (268 cu yd) |\n\n## Question: If I buy this much compost, how many square feet will it cover?\n\n\n\n| Compost Quantity | 1/2' Deep - Mulching or Top-dressing | 2' Deep - Amending new lawns or gardens |\n|--------------------------------------------------|-----------------------------------------|-------------------------------------------------|\n| 1 cu ft bag of compost 2.2 cu ft bag of compost | 24 sq foot area | 6 sq foot area 9 sq foot area 13 sq foot area |\n| 1.5 cu ft bag of compost | 36 sq foot area | |\n| | 53 sq foot area | |\n| 2.5 cu ft bag of compost | 60 sq foot area | 15 sq foot area |\n| 1 cubic yard of compost | 648 sq foot area | 162 sq foot area |\n\nCompost Works! Soil blending trials conducted in 2008 by the Washington Organic Recycling Council, with funding from the Washington Department of Ecology,\n\n\n\ndemonstrated that compost improves soil structure (lowers bulk density), nutrient availability (increases cation exchange capacity), moisture holding capacity, and supplies both nutrients that plants need and organic matter that supports soil life. See the 2008 Soil Blending Trial report at\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Glossary of terms and abbreviations\n\nAD - Activity Data\n\nAWMS - Animal Waste Management System\n\nBOD - Biochemical Oxygen Demand\n\nC - Carbon\n\nC2F6 - Hexafluoroethane\n\nCF4 - Tetrafluoromethane\n\nCH4 - Methane\n\nCO - Carbon Monoxide\n\nCO2 - Carbon dioxide\n\nCOD - Chemical Oxygen Demand\n\ndm - dry matter\n\nGg - Gigagram\n\nha - hectare\n\nHFC - Hydrofluorocarbon\n\nhl - hectolitre\n\nk - kilo\n\nkg - kilogram\n\nkha - kilo hectare\n\nkt - kilotonne\n\nLTO - Landing/Take Off\n\nLUCF - Land-Use Change and Forestry\n\nLULUCF - Land Use, Land-Use Change and Forestry\n\nm 3 - cubic meter\n\nMCF - Methane Correction Factor\n\nMg - Megagram\n\nMha - Megahectare\n\nMSW - Municipal Solid Waste\n\nN - Nitrogen\n\nN2O - Nitrous Oxide\n\nNFP - National Focal Point\n\nNH3 - Ammonia\n\nNMVOC - Non-Methane Volatile Organic Compound\n\nNOX - Nitrogen Dioxide\n\nPFC - Perfluorocarbon\n\nRA - Reference Approach\n\nSE - Sectoral Expert\n\nSF6 - Sulphur Hexafluoride\n\nSO2 - Sulphur Dioxide\n\nSWDS - Solid Waste Disposal Site\n\nt - tonne\n\nTg - Teragram\n\nTJ - Terajoules\n\nXML - Extensible Markup Language\n\nyear t - inventory year", - "page_start": 43, - "page_end": 43, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "## 3. Emission factors\n\n - a. Ozone precursors and SO2 from oil refining Crude oil throughput\n\nNOx = 0.06\n\nCO = 0.09\n\nNMVOC = 0.62\n\nSO2 = 0.93\n\n - b. Ozone precursors and SO2 from oil refining Catalytic cracker throughput\n - c. NMVOC emissions from storage and handling Crude oil throughput\n\nNOx = 0.2\n\nCO = 42.6\n\nNMVOC = 0.6\n\nSO2 = 1.5\n\nSecondary seals = 0.2\n\nPrimary seals = 0.7\n\nFixed Roof = 4.9\n\n - d. SO2 from Sulphur Recovery Plants 139 kg/t\n - 4. CKD correction factor = 1.02\n - 5. Methane Correction Factor (MCF)\n - 6. Inventory time period (for Cropland remaining Cropland - Carbon stock change - Mineral soils) = 20 years\n\nManaged - 1.0\n\nUnmanaged - deep (>= 5m) - 0.8\n\nUnmanaged - shallow (< 5m) - 0.4\n\nMethane Correction Factor - 0.6", - "page_start": 49, - "page_end": 49, - "source_file": "maiis-user-manual.pdf" - } - ] - }, - { - "references": { - "source_file": "CompostGuide.pdf", - "query": "Explain to me what is peat moss ?", - "target_page": 4, - "target_passage": "Peat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Compost: A Natural Cycle\n\nComposting is a natural process in which microorganisms and macro-organisms break down organic material (leaves, twigs, grass, etc.) into a dark crumbly soil amendment. Modern compost facilities use the same natural biological composting process.\n\n\n\nTheir controlled-temperature process works faster, breaks down pesticide residues, and also kills weed seeds and plant diseases.\n\n\n\nCompost improves soil structure and plant growth by\n\n - · Replenishing soil organic matter, and storing nutrients in plant-available forms\n - · Supporting beneficial soil life\n - · Reducing erosion and water run-off\n - · Loosening clay soils for better root development (increasing soil pore space)\n - · Retaining moisture in sandy soils so plants need less watering.\n\n\n\n## Ask Your Compost Supplier\n\nWhether you're buying direct from the composting facility, or from a local vendor, here are some good questions to ask:\n\n - · What ingredients go into your compost?\n - · What compost products or blends do you sell?\n - · Are there quality control or testing results available for these products? (These may be on the manufacturer's website.)\n - · Which product is best for my intended use?\n - · What application rate do you recommend?\n - · How much do I need for my area? (Or see pages 4-6.)\n\n## Comparing Landscape Products\n\nA variety of soil and landscape products are sold. Here's a comparison:\n\nCompost is stable, decomposed organic matter, excellent for improving soil structure, fertility, moisture holding capacity, and plant growth.\n\nMulch is any material applied to the soil surface. Woody mulches (high in carbon, low in nitrogen) like wood chips, bark and woody composts are great for woody plants. Annual plants should be mulched with nutrient-balanced mulches like compost, grass clippings, or leaves.\n\nPeat Moss is partially decayed sphagnum moss from peat bogs. It provides soil porosity, but not the nutrients or biological diversity for healthy soil that compost provides.\n\nFertilizers are concentrated sources of plant nutrients, used in small amounts to supplement natural soil fertility.\n\nTopsoil that is sold is usually not native topsoil. Quality manufactured topsoils are a blend of native sandy sub-soils with composted organic matter to support soil life.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Compost Questions and Answers\n\n## What is compost?\n\nCompost is a natural humus-like soil amendment that results from the controlled aerobic (with oxygen) decomposition of organic materials. Compost is not soil - it should be mixed with soil. It is not fertilizer, although it contains many slowly released nutrients.\n\n## What materials ('feedstocks') are used to make compost?\n\nCompost facilities in Washington recycle a variety of organic materials, including yard debris, food scraps, manure, biosolids, forest residuals like sawdust and bark, construction wood, and agricultural residues. All of these materials can be used to produce high quality compost. Your supplier can tell you which materials they compost.\n\n## How do I know I'm getting safe, quality compost?\n\nFortunately, in Washington we have strict permitting and production standards for compost facilities, that include both time and temperature requirements and contaminant limits.\n\n## What about weed seeds, plant diseases or pesticide residues?\n\nThe controlled time, aeration, and temperature process required in Washington has been shown to kill weed seeds and plant diseases. That same process breaks down most pesticide residues. There are a few agricultural pesticides that are not easily broken down, and permitted Washington compost manufacturers carefully watch their feedstocks to keep those materials out of the composting process.\n\n\n\n\n\n\n\n## Compost Beginnings\n\nThe yard debris or food scraps* that you place into your home compost bin, take to a drop-off site, or set out for curbside collection could become the compost that you later use on your garden, lawn, and flowerbeds.\n\nIt is essential to place only quality organic material into the composting process. Here are some tips:\n\n - l The products you use or spray in your yard can end up in the compost process. Carefully read the labels of pesticide and herbicide products you use. (See page 9.)\n - l Please keep yard debris free of :\n - x Garbage\n - x Plastic of any sort\n - - Plastic plant pots\n - - Plastic plant tabs\n - - Plastic bags (if you want to bag your yard debris, use paper garden bags - available at most garden centers)\n - x Rock, brick, or masonry\n - x Glass or metal\n - x Pet waste.\n - * Many localities now collect food scraps and food-soiled paper along with yard debris for composting. Call your local collection service to find out what is collected in your area.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Building Rich and Healthy Soil With Compost\n\nTo grow healthy plants you need healthy soil.\n\n## Healthy Soil:\n\n - l Is teeming with life! Healthy soil is a miniature ecosystem. A teaspoon of healthy soil will have upwards of four billion tiny organisms which recycle nutrients, suppress disease, and discourage pests.\n - l Retains moisture but allows drainage. Healthy soil has structure that allows water to drain through, retains moisture, and promotes strong root growth.\n - l Is full of organic nutrients. Plants depend on the microorganisms found in healthy organic-rich soil to provide nutrients to their roots, and help them thrive.\n\nA healthy garden and landscape is naturally resistant to pests, drought, weeds, and diseases. Maintaining healthy soil may allow you to reduce use of chemical fertilizers and pesticides.\n\nSoil is a planting medium. Compost is a soil amendment. Do not place plants directly into 100% compost. Ask your supplier or see next page for mixes for different uses.\n\n## Washington State Encourages the Use of Compost, to Protect Our Water Quality\n\nThe Washington State Department of Ecology recommends that soils on construction sites be restored with compost before planting, and also encourages the use of compost for construction site erosion control, to reduce stormwater runoff and help keep our rivers, lakes, and Puget Sound clean. Learn more at www.SoilsforSalmon.org or www.BuildingSoil.org.\n\n\n\n## Selecting Quality Compost\n\nCompost is available in many product types and blends that may be used for different gardening applications. The type of feedstock, the composting process, and any supplementary additives determine the end product.\n\nMany facilities offer a variety of blends based on compost, such as garden mix, potting soil, planting mix, mulches, turf top-dressing and soil blends.\n\n## What to Look for in Compost\n\nFor most compost applications you will want a finished product that has matured and stabilized. Look for material\n\n - l with a dark, crumbly texture\n - l with a mild odor\n\n\n\nFor most compost applications you will not want compost that is extremely dry or wet, or extremely hot. (Note that it is okay for compost to be warm and to give off some steam and mild odor.)\n\n## Quality Testing at Composting Facilities\n\nFeel free to ask your compost provider if they have a quality control program, and ask for test results. Compost facilities in Washington are permitted by the Department of Ecology and must meet standards for both the composting process and contaminants, ensuring a quality product. Some facilities also participate in the 'Seal of Testing Assurance' (STA) testing program. See 'Resources' on page 11 to learn more.\n\n## Remember:\n\nYour compost provider can help you pick the best compost mix for your needs.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## The Composting Process\n\nEven though there are a variety of composting methods, most composting follows a similar process:\n\n## 1. Grinding Organic Materials:\n\nDepending on the facility, the feedstock (material) available, and the desired compost product, different combinations of materials are added together and ground into small pieces:\n\n - · Nitrogen-rich materials (such as grass, fresh plant cuttings, biosolids, and manures)\n - · Carbon-rich materials (such as dried leaves, woody materials, and straw).\n\n## 2. Heating Up:\n\nThe material is placed into piles where it begins to heat up from the biological activity of the compost microbes. Typically, compost temperatures are required to reach at least 131 degrees F in a specified time period in order to destroy weed seeds and pathogens. The compost is turned or aerated, allowing the composting microbes to breathe. After a period of time, the nitrogen-rich material is depleted, the biological process slows, and the hot compost begins to cool.\n\n## 3. Finishing:\n\nTypically 'finished' compost has undergone a series of steps to ensure maturity and stability. The cooling compost is aged, which allows the decomposition process to slow down and the finished compost to stabilize.\n\nThe end products you purchase may be entirely compost, or a combination of compost blended with uncomposted additives (such as peat, bark, minerals, or soil).\n\n\n\n## Applications for Compost\n\n## Planting New Garden Beds or Lawns\n\nSpread a 2-4 inch layer of compost and mix into the upper 6-12 inches of existing soil: use more in sandy soils, and less in heavy clay. Reapply ½-1 inch annually on garden beds.\n\n## Mulch (surface applications on landscape beds)\n\nSpread a 1-2 inch layer of coarse, woody compost. To allow proper airflow, it is best not to pile mulch around the stems of trees and shrubs. Pull mulch 1-2 inches away from stems.\n\n## Top Dressing for Lawns\n\nSpread a ¼ to ½ inch layer of fine screened compost, and rake it into the lawn. For best results, plug-aerate the lawn before top-dressing. Overseeding at the same time will thicken thin patches in lawns.\n\n## Blended (Manufactured) Topsoils\n\nGood quality 'topsoil' products usually include 10-40% compost by volume, mixed with a sandy loam soil that allows good drainage. These compost-soil blends help establish healthy lawns and gardens.\n\n## When to Use Compost?\n\n - · Any time you're preparing soil for planting\n - · Mulching beds and gardens in spring, summer, or fall\n - · Top-dressing lawns in spring or fall.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "CompostGuide.pdf" - }, - { - "text": "A project of the Washington Organic Recycling Council, with support from the Washington State Department of Ecology's Public Participation Grant program.\n\nThis product was partly funded through a grant from the Washington Department of Ecology. While these materials were reviewed for grant consistency, this does not necessarily constitute endorsement by the department.\n\nSpecial thanks: the original version of this brochure in 2003 was created by the Washington County, Oregon Solid Waste and Recycling Program in cooperation with the Washington Organic Recycling Council and the Composting Council of Oregon.\n\n\n\nwww.compostwashington.org\n\n\n\nwww.soilsforsalmon.org\n\n\n\noriginal artwork provided by:\n\n\n\n## Tips to Remember:\n\n- · Don't put plants into 100% compost. Mix compost thoroughly into existing soil before planting.\n- · When transplanting, it's better to amend the whole bed, not just planting holes, to promote root growth.\n- · Ask your compost supplier which compost product is best for your intended use.\n- · Use compost at the recommended application rate.\n- · To maintain healthy soil, reapply compost or mulch every 1-2 years.\n- · Many composts are rich in plant nutrients, so you may be able to reduce fertilizer use after applying compost.\n- · Compost can also reduce your lawn and garden's summer irrigation needs.\n- · Compost-amended soil and mulching slow run off, reduce erosion, and break down pollutants. When you use compost, you're helping to protect our precious streams, rivers, lakes, and marine waters.", - "page_start": 1, - "page_end": 1, - "source_file": "CompostGuide.pdf" - }, - { - "text": "\n\n\n\nCompost adds organic material and nutrients to the soil, increases water-holding capacity and biological activity, and improves plant growth and health.", - "page_start": 0, - "page_end": 0, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Resources\n\n## Compost Organizations\n\n## Washington Organic Recycling Council\n\nFind a compost producer in your area www.compostwashington.org\n\n## US Composting Council\n\nSeal of Testing Assurance (STA) program www.compostingcouncil.org/programs/sta/\n\n## Restoring the Soil to Protect our Waterways\n\nwww.soilsforsalmon.org\n\nCompost amendment and erosion control during construction: information for builders www.buildingsoil.org\n\n## Natural Lawn & Garden Care, Soils, and Home Composting\n\nCity of Seattle\n\nwww.seattle.gov/util/services/yard\n\nKing County\n\nwww.kingcounty.gov/soils\n\nWashington State University\n\nwww.puyallup.wsu.edu/soilmgmt/\n\n\n\n\n\n## The Beauty of Your Lawn and Garden Blossoms from the Soil\n\nThank you for your interest in compost.\n\nCompost is a versatile product with many benefits. It enhances soil quality, helps save water, and supports your community's efforts to recycle organic debris. All this helps to conserve our natural resources and reduces the amount of material sent to the landfill.\n\nCompost-amended soil also helps break down pollutants and absorb stormwater runoff. By making nutrients slowly available to plants and enhancing plant health, compost can reduce the need for chemical fertilizers and pesticides. All these benefits help protect our lakes, rivers, and marine waters from pollution and excessive runoff.\n\nCompost is a natural amendment for your lawn or garden, and can be used regularly to enrich your soil. This guide is designed to help you get the most from the compost that you buy.", - "page_start": 2, - "page_end": 2, - "source_file": "CompostGuide.pdf" - }, - { - "text": "## Moving to the on-premises Power Systems cloud\n\nTo show the seamless movement, delete the pod in the public cloud and bring it up in the on-premises cloud (Power Systems cluster), as shown in Example C-3.\n\nExample C-3 Deleting the pod in the public cloud and bringing it up in the Power Systems cloud\n\n```\n[root@ip-10-0-2-217 ~]# oc delete pod appmongo-ibm-mongodb-dev pod \"appmongo-ibm-mongodb-dev\" deleted [root@ip-10-0-2-217 ~]# oc get pod appmongo-ibm-mongodb-dev Error from server (NotFound): pods \"appmongo-ibm-mongodb-dev\" not found [root@ip-10-0-2-217 ~]# [root@dcocp01 ~]# oc apply -f mongo\\_pod.yaml pod/appmongo-ibm-mongodb-dev created [root@dcocp01 ~]# oc get pod appmongo-ibm-mongodb-dev NAME READY STATUS RESTARTS AGE appmongo-ibm-mongodb-dev 1/1 Running 0 9s [root@dcocp01 ~]#\n```\n\nThe script checks again, validates that the pod is now running in the on-premises cloud, and points the tunnel to it, as shown in Figure C-3.\n\nFigure C-3 Changing the tunnel to the on-premises cloud\n\n", - "page_start": 260, - "page_end": 260, - "source_file": "sg248459.pdf" - }, - { - "text": "To understand what is going on you first need to understand that each SPARQL query consists of two parts. The first part at the beginning consists of several namespace prefixes. These statements consist of the prefix used for a particular namespace as well as the IRI associated with this namespace. Recall that these concepts were described in chapter 7. You may be wondering where all these prefixes came from since you didn't add them to your ontology. The answer is that every OWL ontology comes with a set of namespaces and prefixes that are required to define the ontology.\n\nAlso, to understand SPARQL you need to 'peak under the hood' of OWL. So far, we have been discussing concepts in purely logical and set theoretic terms, i.e., at the semantic level. However, like any language or database there is a lower level that describes how the concepts are mapped to actual data. In a relational database the fundamental construct to represent data is a table. In OWL the fundamental construct is a triple. OWL is actually built on top of RDFS which is a language built on top of RDF. RDF (Resource Description Framework) is a language to describe graphs (in the mathematical sense of the term). I.e., to describe nodes and links.\n\nThe foundation for RDF graphs are triples consisting of a subject, predicate, and object. This results in what is called an undirected or network graph because objects can be subjects and vice versa. Whenever you define a property in OWL you are defining a predicate. An individual can be a subject or an object (or both). E.g., in our ontology Customer1 purchasedPizza AmericanaHotPizza1 . In this example Customer1 is the subject, purchasedPizza is the predicate and AmericanaHotPizza1 is the object.\n\nHowever, classes and properties themselves are also represented as triples. So for example, when you create the class Pizza what Protégé does for you is to add the triple: Pizza rdf:type owl:Class to the ontology. I.e., the Pizza entity is of type (is an instance of) owl:Class . Similarly when you add NamedPizza as a subclass of Pizza , Protégé adds the triple: NamedPizza rdfs: s ubClassOf Pizza .\n\nHopefully, now you can make some sense of this initial query. The query is looking for all the entities that are the subjects of triples where the predicate is rdfs: s ubClassOf and the object is any other entity. The ? before a name indicates that the name is a wildcard that can match anything that fits with the rest of the pattern. This is part of the power of SPARQL, one can match a Subject, an Object, a Predicate or even all three. Making all 3 parts of the pattern wildcards would return every triple in the graph (in this case our entire Pizza ontology) being searched. You may notice that in some cases the object is simply the name of a class while in others it is a class expression with an orange circle in front of it. This is because when defining classes using DL axioms Protégé creates anonymous classes that correspond to various DL axioms.\n\nThe SELECT part of a SPARQL query determines what data to display. The WHERE part of a query determines what to match in the query. If you want to display everything matched in the WHERE clause you can just use a * for the SELECT clause. The initial default query in this tab is set up with no knowledge of the specific ontology. I.e., it will return all the classes that are subclasses of other classes regardless of the ontology. To get information about Pizzas the first thing we need to do is to add another prefix to the beginning of the query. In our case the Pizza ontology has been set up with a mapping to the prefix pizza (you can see this in the ontology prefixes tab in the Active ontology tab discussed in chapter 7). So, add the following to the SPARQL query after the last PREFIX statement:\n\n## PREFIX pizza: ", - "page_start": 68, - "page_end": 68, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- 42. -(1) A person ordinarily resident in the United Kingdom and who pursues a work-related activity in another country to which they usually travel at least once a week which is certified by their employer, or in the case of a self-employed person certified by them, as being-\n - (a) an activity that cannot be done remotely; and\n - (b) critical.\n - (2) For the purposes of sub-paragraph (1), an activity is critical if-\n - (a) it would be defined as critical, or equivalent terminology, in legislation or guidance in use in that country; or\n - (b) if the country has no such definition, if a person is pursuing an activity which would fall under one of the other paragraphs in this Schedule if it were carried out in the United Kingdom.\n - 43. -(1) A person who has an offer of employment for seasonal work to carry out specified activities in edible horticulture on a specified farm.\n - (2) For the purposes of sub-paragraph (1)-\n - (a) 'seasonal work' is employment which fluctuates or is restricted due to the season or time of the year;", - "page_start": 45, - "page_end": 45, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "How encourage temporally adjacent representations to be predictive of each other ?", - "target_page": 2, - "target_passage": "One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. ", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "When individuals search their memory for a particular piece of a message in their mind, the targeted node becomes salient and activated in the temporary memory [39]. If two messages are always activated simultaneously, their connection tends to be more robust and the messages are regarded as associated [36]. If a link is recorded between two concepts, activations are likely to spread through the link from one concept to another with or without conscious awareness [40]. Whereas associations of nodes in the mind may not necessarily reflect the actual relationships of objects, in reality, several factors, including media usage, personal experience, and political stance [34,41,42], may help bundle di GLYPH<11> erent sets of concepts.", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed10.pdf" - }, - { - "text": "Figure 1. A schematic illustration of a hierarchical active inference model. This model links (exteroceptive, interoceptive, and proprioceptive) sensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger, at intermediate levels, and finally with temporally extended, integrative models of the embodied self at the higher hierarchical level. In this schematic, following predictive coding (Rao and Ballard 1999, Friston 2005), black and red circles represent neural units that encode predictions and prediction errors, respectively. The levels are reciprocally connected, so predictions are propagated from the top-down (black edges) and prediction errors from the bottom-up (red edges). Finally, the pink triangles indicate a mechanism of precision gating (or gain control) of prediction error units, which determines their relative influence on units encoding predictions. At a neurobiological level, prediction and prediction error units could be mapped to deep and superficial pyramidal cells in cortical hierarchies, whereas expected precision could be linked to neuromodulatory input. The elements of the generative model shown do not need to map one-to-one to specific brain areas or networks but are plausibly distributed across many of them. However, as a first approximation, the lower and intermediate layers of the generative model could be linked to brain networks that process unimodal information (e.g. sensory cortices for exteroceptive information) and multimodal association areas, respectively. The highest level of the generative model could be linked to brain networks that process information about the self, such as the insular cortex, the anterior cingulate cortex, and the medial prefrontal cortex. See Parr et al. (2022) for details about hierarchical generative models supporting adaptive regulation and allostasis and Barrett and Simmons (2015) for their putative neuronal underpinnings. See online article for colored version of this figure.\n\n\n\nare reciprocally linked through top-down connections that convey predictions (black edges) and bottom-up connections that convey prediction errors (red edges), within and across levels. This predictive coding architecture permits inferring (in the Bayesian sense) the most likely causes of sensations, across multiple modalities and multiple hierarchical levels, by minimizing prediction errors at all levels. The rationale is that predictions at all levels are continuously adjusted (and synaptic weights adjusted at a slower time scale) until they match with incoming multimodal stimuli sufficiently well, and, consequently, the prediction errors across all levels are minimized. This process entails that even if a predictive coding agent starts with an incorrect prediction (e.g. about what object it is looking at) the prediction errors that measure a discrepancy between the predicted sensations and the actual sensations can help revise the initial predictions. See Parr et al. (2022) for a more detailed explanation of how to interpret these schematics.\n\nAnother critical aspect of Fig. 1 is that it illustrates two pathways in which prediction errors at the proprioceptive and interoceptive levels are used to steer physical actions (reflex arcs) and autonomic actions (autonomic reflexes). Endowing predictive coding with these reflexes-hence realizing an 'active inference' architecture-permits minimizing prediction errors by changing the state of the world (by physically acting) or the internal milieu (by engaging in autonomic actions) rather than only by changing predictions, as described later.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed1.pdf" - }, - { - "text": "## Revisiting Feature Prediction for Learning Visual Representations from Video\n\nAdrien Bardes 1 , 2 , 3 , Quentin Garrido 1 , 4 , Jean Ponce 3 , 5 , 6 , Xinlei Chen 1 , Michael Rabbat 1 , Yann LeCun 1 , 5 , 6 , MahmoudAssran 1 , † , Nicolas Ballas 1 , †\n\n1 FAIR at Meta, 2 Inria, 3 École normale supérieure, CNRS, PSL Research University, 4 Univ. Gustave Eiffel, CNRS, LIGM, 5 Courant Institute, New York University, 6 Center for Data Science, New York University † Joint last author\n\nThis paper explores feature prediction as a stand-alone objective for unsupervised learning from video and introduces V-JEPA , a collection of vision models trained solely using a feature prediction objective, without the use of pretrained image encoders, text, negative examples, reconstruction, or other sources of supervision. The models are trained on 2 million videos collected from public datasets and are evaluated on downstream image and video tasks. Our results show that learning by predicting video features leads to versatile visual representations that perform well on both motion and appearance-based tasks, without adaption of the model's parameters; e.g., using a frozen backbone. Our largest model, a ViT-H/16 trained only on videos, obtains 81 . 9% on Kinetics-400, 72 . 2% on Something-Something-v2, and 77 . 9% on ImageNet1K.\n\nDate: April 15, 2024\n\nCorrespondence:\n\n{abardes, massran, ballasn}@meta.com\n\nCode:\n\nhttps://github.com/facebookresearch/jepa\n\nBlogpost:\n\nClick here\n\n## 1 Introduction\n\nHumans possess the remarkable ability to map low-level signals originating from the retina into a semantic spatiotemporal understanding of the world; synthesizing notions such as objects and global motion (Spelke et al., 1995). A long-standing goal of the machine learning community is to identify the principles or objectives that may guide such unsupervised learning in humans (Field, 1994; Berkes and Wiskott, 2005; Hinton, 1989). One related hypothesis is based on the predictive feature principle (Rao and Ballard, 1999), which posits that representations of temporally adjacent sensory stimuli should be predictive of each other.\n\nIn this work, we revisit feature prediction as a standalone objective for unsupervised learning of visual representations from video. Numerous advances in the field such as the standard use of transformer architectures in vision (Dosovitskiy et al., 2020), the maturing of masked autoencoding frameworks (Xie et al., 2021; Bao et al., 2021; He et al., 2021), query-based feature pooling (Chen et al., 2022), joint-embedding predictive architectures (JEPA) (LeCun, 2022; Assran et al., 2023; Baevski et al., 2022b), and larger datasets - form a unique arsenal of tools, which we integrate in a modern and conceptually simple method, the video joint-embedding predictive architecture or V-JEPA , which is based solely on feature prediction, without using pretrained image encoders, text, negative examples, human annotations, or pixel-\n\n\n\n## Frozen Evaluation\n\nFigure 1 V-JEPA models pretrained on video learn versatile visual representations. It performs well on motion-based tasks (Something-Something-v2) and appearance-based tasks (Kinetics 400) without adaptation of the model's parameters, i.e., using the same frozen backbone for both tasks.\n\n\n\nlevel reconstruction.\n\nWe seek to answer the simple question:\n\nHow effective is feature prediction as a standalone objective for unsupervised learning from video with modern tools?", - "page_start": 0, - "page_end": 0, - "source_file": "arxiv3.pdf" - }, - { - "text": "## Feature Prediction versus Pixel Reconstruction.\n\nApproaches that predict in pixel space must dedicate significant model capacity and compute to capture all the low-level detail in the visual input. By contrast, approaches that predict in latent space have the flexibility to eliminate irrelevant or unpredictable pixel-level details from the target representation (Vondrick et al., 2016). Predicting in representation space has been shown to lead to versatile representations that perform well across many downstream tasks through linear probing or lowshot adaptation (Assran et al., 2023; Oquab et al., 2023; Assran et al., 2022), while demonstrating an efficiency gain during pretraining compared to pixel level reconstruction (Assran et al., 2023; Baevski et al., 2022b,a). The works of Baevski et al. (2022a,b) additionally show that predicting in representation space results in competitive end-to-end fine-tuning performance in the image, audio and text domains. In this work, we extend these findings to the video modality.\n\n## 3 Methodology: Video-JEPA\n\nFigure 2 Joint-Embedding Predictive Architectures are trained to predict the representation of an input y from the representation of another input x . The additional variable z provides the predictor with information about the transformation that computes y from x .\n\n\n\nOur goal is to explore the effectiveness of feature prediction as a stand-alone objective for learning visual representations from video. To that end, we use a joint-embedding predictive architecture (JEPA) (LeCun, 2022); see Figure 2. The main idea behind a JEPA is to learn by predicting the representation of an input y from the representation of another input x . The basic architecture is made up of an encoder, E θ ( · ) , which computes the representation of the inputs, and a predictor, P ϕ ( · ) , which predicts the representation of y from the representation of x , conditioned on a variable z indicating the transformation (or corruption) between x and y . Conditioning on z enables the generation of distinct predictions for various transformations of x .\n\n## 3.1 Training Objective\n\nWe train our visual encoder E θ ( · ) to satisfy the constraint that representations computed from one part of the video, y , should be predictable from representations\n\ncomputed from another part of the video, x . The predictor network P ϕ ( · ) , which maps the representation of x to the representation of y , is trained simultaneously with the encoder, and is provided specification of the spatio-temporal positions of y through the conditioning variable z ← ∆ y .\n\nNaively implementing the objective using the regression\n\nminimize θ,ϕ ∥ P ϕ ( E θ ( x ) , ∆ y ) -E θ ( y ) ∥ 1 ,\n\nwould admit a trivial solution, where the encoder outputs a constant representation, regardless of its input. In practice, we use the following modified objective to prevent representation collapse,\n\nminimize θ,ϕ ∥ P ϕ ( E θ ( x ) , ∆ y ) -sg ( E θ ( y )) ∥ 1 , (1)\n\nwhere sg ( · ) denotes a stop-gradient operation, which does not backpropagate through its argument, and E θ ( · ) is an exponential moving average of the network E θ ( · ) . The use of an exponential-moving average feature extractor along with a stop-gradient and a predictor has been used as a collapse prevention strategy for image pretraining (Grill et al., 2020), and studied empirically (Xie et al., 2021) and theoretically (Tian et al., 2021). In fact, the objective in equation (1) is similar to the loss of Assran et al. (2023) used for image pretraining, but we modify it to use an ℓ 1 regression, which we found to be more stable.", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv3.pdf" - }, - { - "text": "To that end, we pretrain a family of V-JEPA models on a dataset of 2 million videos collected from publicly available datasets by combining a masked modeling prediction task with a joint-embedding predictive architecture (see Figure 2). We measure performance on several downstream image and video tasks, using both frozen evaluation and end-to-end fine-tuning. Our findings suggest that feature prediction can indeed serve as an effective stand-alone objective for unsupervised learning from video, while using significantly shorter training schedules than pixel prediction methods. Specifically:\n\n- · Feature prediction leads to versatile visual representations that perform well across downstream image and video tasks without adaption of the model's weights; i.e., using a frozen backbone. V-JEPA achieves the best performance among methods we consider (+6% accuracy) on the SomethingSomething-v2 task, which requires finegrained temporal understanding. V-JEPA is also competitive on tasks like Kinetics400, where appearance-based features are sufficient and hence state-of-the-art image models such as DINOv2 excel (Figure 1 and Table 6).\n- · Models trained with feature prediction are superior to pixel prediction approaches under a frozen evaluation protocol (attentive probing) and are competitive with pixel prediction under full fine-tuning, while using significantly shorter training schedules (Tables 5 and 6).\n- · Models trained with feature prediction are more label-efficient than pixel prediction approaches. Decreasing the available number of labeled examples results in an increase in the performance gap between V-JEPA and pixel-reconstruction models (Table 7).\n\n## 2 Related Works\n\nSlow Features. One way to encourage temporally adjacent representations to be predictive of each other is to ensure that they vary slowly over time. Early works targeting predictive features encouraged representations of individual video frames to be locally temporally invariant, while preventing representation collapse by using spectral methods, as in SFA (Wiskott and Sejnowski, 2002), SSA (Kayser et al., 2001), and Simulated Fixations (Zou et al., 2012). More recently, Goroshin et al. (2015); Wang et al. (2010) train a siamese convolutional network to map the representations of two subsequent frames to the same point, while encouraging distant frames to have diverse representations via a pairwise margin loss and a triplet loss, respectively. Other works (Oord et al., 2018; Surís et al., 2021; Feichtenhofer et al., 2021) implement temporal invariance using noisecontrastive estimation (Gutmann and Hyvärinen, 2012). Our exploration in this paper goes beyond temporal in-\n\nriance and explores feature prediction using masked modeling.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv3.pdf" - }, - { - "text": "riance and explores feature prediction using masked modeling.\n\nPredictive Features. Going beyond local invariance, a family of works trains a predictor network to map the representation of a frame or clip at one time-step to a distinct representation at another time-step. Srivastava et al. (2015); Vondrick et al. (2016); Wang et al. (2023b) train such a video feature predictor network on top of a frozen pretrained image or video encoder. Unfreezing the target feature extractor, several methods train the video encoder and the predictor network simultaneously, while preventing collapse by using a supervised action forecasting loss (Girdhar and Grauman, 2021), or by using the representations of distant clips as negative samples in a contrastive loss (Han et al., 2019, 2020; Tan et al., 2023), often focusing on small convolutional encoders (Han et al., 2019, 2020). The idea of learning a representation by predicting missing information in feature space is also core to the joint-embedding predictive architecture (JEPA) (LeCun, 2022), which combines a siamese encoder with a predictor network. JEPAs have been successfully instantiated in several modalities, such as with audio data (Baevski et al., 2022b) and image data (Zhou et al., 2021; Oquab et al., 2023; Assran et al., 2023). In this work, we extend this paradigm to video data by leveraging recent advances in self-supervised learning.\n\nAdvances in Self-Supervised Learning. The use of vision transformers (Dosovitskiy et al., 2020; Li et al., 2022) has become standard practice in self-supervised learning with joint-embedding architectures (Chen et al., 2021; Caron et al., 2021; Oquab et al., 2023; Zhou et al., 2021; Assran et al., 2022), and unlocked masked image modeling in pixel space by parameterizing the pixel decoder as a transformer with learnable mask tokens (Dosovitskiy et al., 2020; Xie et al., 2021; He et al., 2021; Bao et al., 2021), demonstrating a step-change in the representation quality of autoencoding methods (Vincent et al., 2010). This line of generative methods was subsequently extended to video data using spatio-temporal masking (Tong et al., 2022; Feichtenhofer et al., 2022; Wang et al., 2023a; Kalluri et al., 2023; Gupta et al., 2023). It was also recently shown that the representations of masked image autoencoders could be significantly improved by using learnable pooling mechanisms based on cross-attention (Chen et al., 2022). Finally, through careful selection of design choices, the non-contrastive collapse prevention strategy in BYOL (Grill et al., 2020) was recently made to work with image feature prediction methods (Baevski et al., 2022b; Assran et al., 2023), which demonstrated the ability to learn representations that can be leveraged for various downstream tasks without relying on invariance to hand-crafted image transformations.", - "page_start": 1, - "page_end": 1, - "source_file": "arxiv3.pdf" - }, - { - "text": "- 33. Kaplan, S. Cognitive maps in perception and thought. In Image and Environment: Cognitive Mapping and Spatial Behavior ; Transaction Publishers: Piscataway, NJ, USA, 1973; pp. 63-78.\n - 34. James, W.; Burkhardt, F.; Bowers, F.; Skrupskelis, I.K. The Principles of Psychology ; Macmillan London: London, UK, 1890.\n - 35. Alonso, E.; Mondrag ó n, E. Associative Learning and Behaviour: An Algebraic Search for Psychological Symmetries. In Language, Representation and Reasoning: Memorial Volume to Isabel G ó mez Txurruka ; Universidad del Pa í s Vasco: Bilbao, Spain, 2007; p. 35.\n - 36. Lang, A. The limited capacity model of mediated message processing. J. Commun. 2000 , 50 , 46-70. [CrossRef]\n - 37. Tulving, E. Episodic and semantic memory. Organ. Mem. 1972 , 1 , 381-403.\n - 38. Rosch, E. Cognitive representations of semantic categories. J. Exp. Psychol. Gen. 1975 , 104 , 192. [CrossRef]\n - 39. Klimesch, W. The Structure of Long-Term Memory: A Connectivity Model of Semantic Processing ; Psychology Press: London, UK, 2013.\n - 40. Collins, A.M.; Loftus, E.F. A spreading-activation theory of semantic processing. Psychol. Rev. 1975 , 82 , 407. [CrossRef]\n - 41. Guo, L.; Vu, H.T.; McCombs, M. An expanded perspective on agenda-setting e GLYPH<11> ects: Exploring the third level of agenda setting. Rev. De Comun. 2012 , 11 , 51-68.\n - 42. Cheng, Y.; Chan, C.M. The third level of agenda setting in contemporary China: Tracking descriptions of moral and national education (MNE) in media coverage and people's minds. Int. J. Commun. 2015 , 9 , 18.\n - 43. Wettler, M.; Rapp, R. Computation of Word Associations Based on Co-occurrences of Words in Large Corpora. In Proceedings of the VLC@ACL 1993, Columbus, OH, USA, 22 June 1993.\n - 44. Collins, A.M.; Quillian, M.R. How to make a language user. In Organization of Memory ; Academic Press: New York, NY, USA, 1972; p. 309.\n - 45. Danowski, J.A. Inferences from word networks in messages. In The Content Analysis Reader ; SAGE: Thousand Oaks, CA, USA, 2009; pp. 421-429.\n - 46. Hamed, A.A.; Ayer, A.A.; Clark, E.M.; Irons, E.A.; Taylor, G.T.; Zia, A. Measuring climate change on Twitter using Google's algorithm: Perception and events. Int. J. Web Inf. Syst. 2015 , 11 , 527-544. [CrossRef]\n - 47. Haunschild, R.; Leydesdor GLYPH<11> , L.; Bornmann, L.; Hellsten, I.; Marx, W. Does the public discuss other topics on climate change than researchers? A comparison of explorative networks based on author keywords and hashtags. J. Inf. 2019 , 13 , 695-707. [CrossRef]\n - 48. Veltri, G.A.; Atanasova, D. Climate change on Twitter: Content, media ecology and information sharing behaviour. Public Underst. Sci. 2017 , 26 , 721-737. [CrossRef]\n - 49. Abbar, S.; Zanouda, T.; Berti-Equille, L.; Borge-Holthoefer, J. Using twitter to understand public interest in climate change: The case of qatar. In Proceedings of the Tenth International AAAI Conference on Web and Social Media, Cologne, Germany, 17-20 May 2016.\n - 50. Olteanu, A.; Castillo, C.; Diakopoulos, N.; Aberer, K. Comparing events coverage in online news and social media: The case of climate change. In Proceedings of the Ninth International AAAI Conference on Web and Social Media, Oxford, UK, 26-29 May 2015.\n - 51. Hermida, A.; Fletcher, F.; Korell, D.; Logan, D. Share, like, recommend: Decoding the social media news consumer. J. Stud. 2012 , 13 , 815-824. [CrossRef]\n - 52. Small, T.A. What the hashtag? A content analysis of Canadian politics on Twitter. Inf. Commun. Soc. 2011 , 14 , 872-895. [CrossRef]\n - 53. Bruns, A.; Stieglitz, S. Quantitative approaches to comparing communication patterns on Twitter. J. Technol. Hum. Serv. 2012 , 30 , 160-185. [CrossRef]", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed10.pdf" - }, - { - "text": "| Alexei Baevski, Wei-Ning Hsu, Qiantong Xu, Arun Babu, Jiatao Gu, and Michael Auli. Data2vec: A general frame- work for self-supervised learning in speech, vision and language. arXiv preprint arXiv:2202.03555 , 2022b. | David J Field. What is the goal of sensory coding? Neural computation , 6(4):559-601, 1994. |\n| Hangbo Bao, Li Dong, and Furu Wei. Beit: Bert pre-training of image transformers. arXiv preprint arXiv:2106.08254 , 2021. | Spyros Gidaris, Andrei Bursuc, Nikos Komodakis, Patrick Pérez, and Matthieu Cord. Learning representations by predicting bags of visual words. In Proceedings of the IEEE/CVF Conference on Computer Vision and Pattern |\n| Pietro Berkes and Laurenz Wiskott. Slow feature analysis yields a rich repertoire of complex cell properties. Journal of vision , 5(6):9-9, 2005. | Recognition , pages 6928-6938, 2020. Rohit Girdhar and Kristen Grauman. Anticipative video transformer. In Proceedings of the IEEE/CVF interna- |\n| Mathilde Caron, Ishan Misra, Julien Mairal, Priya Goyal, Piotr Bojanowski, and Armand Joulin. Unsupervised learn- ing of visual features by contrasting cluster assignments. arXiv preprint arXiv:2006.09882 , 2020. Mathilde Caron, Hugo Touvron, Ishan Misra, Hervé Jé- | tional conference on computer vision , pages 13505-13515, 2021. Rohit Girdhar, Alaaeldin El-Nouby, Mannat Singh, Kalyan Vasudev Alwala, Armand Joulin, and Ishan Misra. Omnimae: Single model masked pretraining on images |\n| Ting Chen, Simon Kornblith, Mohammad Norouzi, and Ge- offrey Hinton. A simple framework for contrastive learning of visual representations. preprint arXiv:2002.05709 , 2020. | Ross Goroshin, Joan Bruna, Jonathan Tompson, David Eigen, and Yann LeCun. Unsupervised learning of spatiotempo- rally coherent metrics. In Proceedings of the IEEE inter- |\n| Xiaokang Chen, Mingyu Ding, Xiaodi Wang, Ying Xin, Shentong Mo, Yunhao Wang, Shumin Han, Ping Luo, Gang Zeng, and Jingdong Wang. Context autoencoder | national conference on computer vision , pages 4086-4093, 2015. |", - "page_start": 10, - "page_end": 10, - "source_file": "arxiv3.pdf" - }, - { - "text": "Extending this idea even further, one can assume that certain emotional states, as well as self-awareness and the (embodied) sense of self-and the feeling of continually being the same person-could be constructed similarly: it would be the result of an inferential process that integrates bodily sensations and other experiences over time (Gu et al. 2013, Seth 2013, Stephan et al. 2016, Barrett 2017). Figure 1 illustrates graphically this perspective by showing a (schematic) hierarchical generative model that links (exteroceptive, interoceptive, and proprioceptive) sensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger at intermediate layers, and, finally, with temporally extended, integrative models of the emotional and embodied self at the higher hierarchical level. The hierarchical generative model recapitulates a simple predictive coding architecture, which includes various putative brain areas or networks (gray ovals) arranged hierarchically. In the schematic, networks for unimodal (exteroceptive, proprioceptive, and interoceptive) processing are situated at the lowest hierarchical level, multimodal networks are at an intermediate level, and networks for processing a persistent model of the self are at the highest level. Note that this simple schematic is not supposed to recapitulate brain anatomy but to illustrate the basic principles of hierarchical generative models and predictive coding; (for a discussion of the mapping between predictive coding networks and brain anatomy, see Parr et al. 2022). Each network includes cells encoding predictions (black nodes) and prediction errors (red nodes). These units", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "The overall popularity of self-attention as an interpretability mechanism is due to the idea that \"attention weight has a clear meaning: how much a particular word will be weighted when computing the next representation for the current word\" (Clark et al., 2019). This view is currently debated (Jain and Wallace, 2019; Serrano and Smith, 2019; Wiegreffe and Pinter, 2019; Brunner et al., 2020), and in a multi-layer model where attention is followed by non-linear transformations, the patterns in individual heads do not provide a full picture. Also, while many current papers are accompanied by attention visualizations, and there is a growing number of visualization tools (Vig, 2019; Hoover et al., 2019), the visualization is typically limited to qualitative analysis (often with cherry-picked examples) (Belinkov and Glass, 2019), and should not be interpreted as definitive evidence.\n\n## 4.2.2 Attention to special tokens\n\nKovaleva et al. (2019) show that most selfattention heads do not directly encode any nontrivial linguistic information , at least when finetuned on GLUE (Wang et al., 2018), since only less than 50% of heads exhibit the \"heterogeneous\" pattern. Much of the model produced the vertical pattern (attention to [CLS] , [SEP] , and punctuation tokens), consistent with the observations by Clark et al. (2019). This redundancy is likely related to the overparameterization issue (see section 6).", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv2_taclccby4_license.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What does mean the JEPA acronym ?", - "target_page": 3, - "target_passage": " joint-embedding predictive architecture (JEPA)", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| V-JEPA | ViT-L/16 | 270M | 90K | 80.8 | 69.5 | 25.6 | 74.8 | 60.3 | 67.8 | 85.6 | 75.1 |", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), VideoMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74 . 8% compared to 75 . 1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.Table 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA 512 and V-JEPA 384 which are evaluated respectively at resolution 512 and 384 . On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "## B Extended Description of V-JEPA\n\nIn this section, we provide an in-depth description of our approach V-JEPA that is illustrated in Figure 3.\n\nInput. Unless stated otherwise, during during pretraining, we always randomly sample a clip of 16 frames from each input video with a temporal stride of 4 between sampled frames. An input video clip therefore covers 64 frames in total, or roughly 2 seconds of a given video running at 30 frames per second. We then resize the video's spatial dimensions to 224 × 224 , resulting in an overall shape of 16 × 224 × 224 × 3 for the entire clip. Since ViT networks process a 1D sequence of tokens, we must convert an input video clip into a 1D token sequence. To do so, we apply a 3D convolution comprising d filters of size 2 × 16 × 16 with a temporal stride of 2 and a spatial stride of 16 , resulting in a tensor of shape 8 × 14 × 14 × d . Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape 1568 × d . This process is demonstrated in Figure 7.\n\nFigure 7 V-JEPA training operates on a video clip flattened into a sequence of tokens. To convert a video clip of size 16 × 224 × 224 × 3 into a 1D token sequence, we apply a 3D convolution comprising d filters of size 2 × 16 × 16 with a temporal stride of 2 and a spatial stride of 16 , resulting in a tensor of shape 8 × 14 × 14 × d . Next we add absolute 3D sin-cos positional embeddings to the spatio-temporal feature map and flatten it, resulting in a 1D token sequence of shape 1568 × d .\n\n\n\nV-JEPA . We sample both a video clip, and a video mask in each iteration. We denote a video clip represented as a 1D token sequence of length L = 1568 by x L = ( x 1 , . . . , x L ) . Similarly, given a mask of M < L patches, leaving N = L -M patches unmasked, we denote the indices of masked patches by ( i 1 , . . . , i M ) and its complement (the indices of unmasked patches) by ( j 1 , . . . , j N ) .\n\nComputing the x -representations. To compute the V-JEPA loss, we first produce the x -representations by masking the video clip and feeding it into the x -encoder; we denote the masked video by x N = ( x j 1 , . . . , x j N ) . Applying the x -encoder E θ ( · ) to the masked clip gives a sequence of patch representations, denoted as z N = E θ ( x N ) = ( z j 1 , . . . , z j N ) .\n\nPredicting the target. Next, the V-JEPA predictor network P ϕ ( · , · ) takes as input the tokens produced by the x -encoder and predicts the missing regions in the video clip, which are specified by a set of learnable mask tokens. Specifically, the mask tokens are parameterized as the sum of a shared learnable vector and an absolute 3D sin-cos positional embedding, denoted by m M = ( m i 1 , . . . , m i M ) . The output of the predictor is thus given by, ˆ s M = P ϕ ( z N , m M ) = (ˆ s i 1 , . . . , ˆ s i M ) , corresponding to a d -dimensional output for each of the M masked patches.\n\nComputing the y -representations. Finally to compute the prediction targets, the entire unmasked video clip is processed by the y -encoder to obtain a set of target representations, denoted by s L = E θ ( x L ) = ( s 1 , . . . , s L ) . The V-JEPA loss is now computed as\n\nLoss = 1 M ∑ k ∈ ( i 1 ,...,i M ) ∥ ˆ s k -s k ∥ 1 , (2)\n\nwhich is simply the average L 1 distance between the output of the predictor and the y -encoder. We then compute a gradient update with respect to the parameters of the x -encoder, θ , and the predictor, ϕ , and subsequently update the parameters of the y -encoder as an exponential moving average of the context encoder weights (Polyak average).", - "page_start": 15, - "page_end": 15, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 8 pretraining hyper-parameters for V-JEPA.\n\n| Hyper-parameter | ViT-L/16 224 | ViT-H/16 224 | ViT-H/16 384 |\n|-------------------------------|----------------|----------------------------------|----------------|\n| data | | | |\n| datasets | | VideoMix2M VideoMix2M VideoMix2M | |\n| resolution | 224 | 224 | 384 |\n| num\\_frames | 16 | 16 | 16 |\n| temporal\\_stride | 4 | 4 | 4 |\n| horizontal\\_flip | true | true | true |\n| random\\_resize\\_scale | (0.3, 1.0) | (0.3, 1.0) | (0.3, 1.0) |\n| random\\_resize\\_aspect\\_ratio | (0.75, 1.35) | (0.75, 1.35) | (0.75, 1.35) |\n| masking | | | |\n| block\\_aspect\\_ratio | (0.75, 1.5) | (0.75, 1.5) | (0.75, 1.5) |\n| shortrange\\_mask\\_num\\_blocks | 8 | 8 | 8 |\n| shortrange\\_mask\\_spatial\\_scale | 0.15 | 0.15 | 0.15 |\n| longrange\\_mask\\_num\\_blocks | 2 | 2 | 2 |\n| longrange\\_mask\\_spatial\\_scale | 0.7 | 0.7 | 0.7 |\n| optimization | | | |\n| batch\\_size | 3072 | 3072 | 2400 |\n| total\\_number\\_ofiterations | 90000 | 90000 | 90000 |\n| warmup\\_iterations | 12000 | 12000 | 12000 |\n| lr | 6.25e-4 | 6.25 × 10 - 4 | 6.25 × 10 - 4 |\n| start\\_lr | 2 × 10 - 4 | 2 × 10 - 4 | 2 × 10 - 4 |\n| final\\_lr | 1 × 10 - 6 | 1 × 10 - 6 | 1 × 10 - 6 |\n| start\\_momentum | 0.998 | 0.998 | 0.998 |\n| final\\_momentum | 1.0 | 1.0 | 1.0 |\n| start\\_weight\\_decay | 0.04 | 0.04 | 0.04 |\n| final\\_weight\\_decay | 0.4 | 0.4 | 0.4 |\n| scheduler\\_scale\\_factor | 1.25 | 1.25 | 1.25 |\n| architecture | | | |\n| patch\\_size | 16 | 16 | 16 |\n| tubelet\\_size | 2 | 2 | 2 |\n| pred\\_depth | 12 | 12 | 12 |\n| pred\\_embed\\_dim | 384 | 384 | 384 |\n| hardware | | | |\n| dtype | bfloat16 | bfloat16 | bfloat16 |\n| accelerator | A100 80G | A100 80G | A100 80G |", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "Multi-Mask Prediction. To increase the efficiency of V-JEPA , we use a multi-masking strategy (Caron et al., 2020; Baevski et al., 2022a), which enables us to amortize the cost of the target computation. As mentioned in Section 3, for a given video clip, we sample 2 different masks, short-range and long-range. While we need to forward propagate the x -encoder and predictor separately for each mask, we only need to compute the y -representation once.\n\n## C Pretraining details\n\nIn section, we report V-JEPA pretraining details. Table 8 summarizes the main hyperparameters used during pretraining.\n\nArchitectures. We use Vision Transformer (Dosovitskiy et al., 2020) (ViT) architectures for the x -encoder and y -encoder. We train three V-JEPA encoders: a ViT-L/16 224 , a ViT-H/16 224 and a ViT-H/16 384 . All three encoders take as input a short video clip of 16 frames with a temporal stride of 4 between consecutive frames. The subscripts, 224 and 384 , indicate the spatial resolution of the video clip. V-JEPA flattens the video clip into a sequence of non-overlapping spatio-temporal patches of size 16 × 16 × 2 (see Figure 7). For all three models, the predictor is designed as a narrow ViT architecture, consisting of 12 transformer blocks with an embedding dimension of 384. For simplicity, we keep the number of self-attention heads in the predictor equal to that of the backbone used for the context-encoder/target-encoder. V-JEPA is pretrained without using a [cls] token.\n\nOptimization. We use AdamW (Loshchilov and Hutter, 2017) to optimize the x -encoder and predictor weights. The ViT-L/16 224 and ViT-H/16 224 models use a batch size of 3072 while the ViT-H/16 384 uses a batch size of 2400 . Models are trained for a total of 90,000 iterations. The learning rate is linearly increased from 2 × 10 -4 to 6 . 25 × 10 -4 during the first 12 , 000 iterations of pretraining, and decayed to 10 -6 following a cosine schedule.", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "We find V-JEPA to be more label-efficient than other self-supervised video models: decreasing the available number of labeled examples for training the attentive probe results in an increase in the performance gap between V-JEPA and the other models. In particular, the performance of the largest V-JEPA model on K400 drops by 12% to 68.2% top-1 when we reduce the number of labeled examples by a factor of 10 × (from roughly 287 examples per class to 29 examples per class). By contrast, VideoMAEv2 drops by 30% to 37.0% top-1, VideoMAE drops by 15.9% to 62.3% top-1, and MVD drops by 14.6% to 62.6% top-1.\n\nSimilar observations hold on SSv2. The performance of the largest V-JEPA model on SSv2 drops by 13.9%\n\nto 54.0% top-1 when we reduce the number of labeled examples by a factor of 10 × (from roughly 440 examples per class to 48 examples per class). By contrast, VideoMAEv2 drops by 26% to 28.0% top-1, VideoMAE drops by 19.1% to 41.4% top-1, and MVD drops by 18.1% to 42.9% top-1.\n\n## 6 Evaluating the Predictor\n\nNext, we seek to qualitatively inspect the V-JEPA models. Recall that the predictor network in V-JEPA predicts the representations of a masked spatio-temporal region y from a visible region x , given the positional information of the masked regions (see Section 3). To qualitatively investigate the grounding of the feature-space predictions, we freeze the pretrained encoder and predictor networks and train a conditional diffusion decoder to map the V-JEPA predictions to interpretable pixels. Notably, the decoder is only fed the representations predicted for the missing regions of the video, and does not have access to the unmasked regions of the video (see Figure 6a).\n\nGiven a masked video, we use the V-JEPA pretrained models to predict the representations of the missing regions, and then use the decoder to project the representations to pixel space. Figure 6b shows decoder outputs for various random seeds. Qualities that are common across samples represent information that is contained in the predictor representation.\n\nFigure 6b shows that the V-JEPA feature predictions are indeed grounded, and exhibit spatio-temporal consistency with the unmasked regions of the video. Specifically, the samples in Figure 6b show that the V-JEPA predictor correctly captures positional uncertainty and produces a variety of visual objects at various locations with consistent motion. Some of the samples also demonstrate an understanding of object-permanence, as the visual objects remain consistent after partial occlusion.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report the mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than other models; specifically, decreasing the available number of labeled examples from each class increases the performance gap between V-JEPA and the baselines.\n\n| | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation |\n|------------|--------------|----------------------------|-----------------------------|----------------------------|----------------------------|-----------------------------|----------------------------|\n| | | K400 (16 × 8 × 3) | K400 (16 × 8 × 3) | K400 (16 × 8 × 3) | SSv2 (16 × 2 × 3) | SSv2 (16 × 2 × 3) | SSv2 (16 × 2 × 3) |\n| Method | Arch. | 5% ∼ 29 samples per class) | 10% ∼ 58 samples per class) | 50% 287 samples per class) | 5% ∼ 48 samples per class) | 10% ∼ 96 samples per class) | 50% 440 samples per class) |\n| MVD | ViT-L/16 | 62.6 ± 0.2 | 68.3 ± 0.2 | 77.2 ± 0.3 | 42.9 ± 0.8 | 49.5 ± 0.6 | 61.0 ± 0.2 |\n| VideoMAE | ViT-H/16 | 62.3 ± 0.3 | 68.5 ± 0.2 | 78.2 ± 0.1 | 41.4 ± 0.8 | 48.1 ± 0.2 | 60.5 ± 0.4 |\n| VideoMAEv2 | ViT-g/14 | 37.0 ± 0.3 | 48.8 ± 0.4 | 67.8 ± 0.1 | 28.0 ± 1.0 | 37.3 ± 0.3 | 54.0 ± 0.3 |\n| V-JEPA | ViT-H/16 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| V-JEPA | ViT-H/16 384 | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\nlayer attentive probe, which can be further improved to 77 . 9 % using a two-layer attentive probe. More generally, we hypothesize that the datasets used to train V-JEPA and other video models are too constrained and lack the visual diversity of the internet-scale pretraining data used by the images models; as such, there is value in focusing future work on building diverse publicly available video datasets.\n\n## 5.3 Label-efficiency\n\nWe examine the label-efficiency of V-JEPA compared to other self-supervised video models by measuring the ability of the pretrained backbones to adapt to downstream tasks with few labels. Specifically, we investigate the performance of the frozen models on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several lowshot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. Table 7 reports the mean performances and standard deviation using the K400 and SSv2 validation sets.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "- (4) In this regulation-\n - 'authorised person' means-\n - (a) a constable,\n - (b) the Civil Aviation Authority,\n - (c) the Secretary of State, or\n - (d) a person authorised by the Civil Aviation Authority or the Secretary of State under the Air Navigation Order 2016( a );\n - 'operator' has the meaning given in article 4 of the Air Navigation Order 2016;\n - 'pilot in command' and 'private aircraft' have the meanings given in the Air Navigation Order 2016 (see Schedule 1 to that Order);\n\n'relevant transport service', in relation to an operator, means a transport service provided by or on behalf of that operator;\n\n - 'transport service' means-\n - (a) a relevant service,\n - (b) a shuttle service,\n - (c) a service (other than a relevant service) which-\n - (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n - (ii) is provided by means of an aircraft (other than a private aircraft), or\n - (d) a flight which-\n - (i) is carrying passengers travelling to England from outside the common travel area (whether for payment or valuable consideration or otherwise), and\n - (ii) is provided by means of a private aircraft.\n\n## PART 5\n\n## Offences, proceedings and information\n\n## Offences and penalties", - "page_start": 22, - "page_end": 22, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## 24. -(1) A person who is-\n\n - (a) nuclear personnel, and who is essential to the safe and secure operations of a site in respect of which a nuclear site licence has been granted;\n - (b) a nuclear emergency responder; or\n - (c) an agency inspector.\n - (2) For the purposes of sub-paragraph (1)-\n - (a) 'agency inspector' has the meaning given in section 1(1) of the Nuclear Safeguards Act 2000( g );\n - (b) 'nuclear emergency responder' means a person providing assistance to the United Kingdom in accordance with the Convention on Assistance in the Case of a Nuclear Accident or Radiological Emergency done at Vienna on 26 September 1986, who has been duly notified to and accepted by the United Kingdom, where the United Kingdom has requested assistance under that Convention;\n - (c) 'nuclear personnel' means -\n - (i) a worker who is employed to carry out work on or in relation to a site in respect of which a nuclear site licence has been granted, or\n - (ii) an employee of the Nuclear Decommissioning Authority( h );", - "page_start": 40, - "page_end": 40, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nTable 1-2: Abbreviations and Acronyms\n\n| Acronym | Description |\n|-----------|--------------------------------------|\n| SPARQL | Query language for linked data (RDF) |\n| SSL | Secure Socket Layer |\n| URL | Uniform Resource Locator |\n| XML | Extensible Markup Language |", - "page_start": 4, - "page_end": 4, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "arxiv3.pdf", - "query": "What is the average performance of the ViT-L/16 architecture on the K710 dataset with 700k samples ?", - "target_page": 5, - "target_passage": "70.9", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "Table 5 Comparison with Pixel Prediction Methods. We compare V-JEPA with OmniMAE (Girdhar et al., 2023), VideoMAE (Tong et al., 2022), and Hiera (Ryali et al., 2023), which leverage a pixel-reconstruction loss. All models are trained using a ViT-L architecture or a comparable Hiera-L. We evaluate the approaches on downstream image tasks (IN1K, Places205, iNat201) and video tasks (K400, SSv2, AVA) in both frozen evaluation (with a frozen backbone), and end-to-end fine-tuning. All models are evaluated at resolution 224. On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. In frozen evaluation, V-JEPA outperforms the baselines on all downstream tasks, except ImageNet, where the model achieves 74 . 8% compared to 75 . 1% of an OmniMAE model trained directly on ImageNet. V-JEPA also achieves the best fine-tuning performance amongs all ViT-L models and matches the Hiera-L on SSv2. The V-JEPA results are achieved while processing significantly fewer examples during pretraining.Table 6 Comparison with State-of-the-Art Models. We compare V-JEPA with state-of-the-art baselines in frozen evaluation with an attentive probe on downstream image tasks (IN1K, Place205, iNat21) and video tasks (K400, SSv2, AVA). All models are evaluated at resolution 224, except I-JEPA 512 and V-JEPA 384 which are evaluated respectively at resolution 512 and 384 . On K400 and SSv2 we follow the standard practice of reporting accuracy from several spatial and temporal views from the video. Compared to other video baselines, V-JEPA exhibits a consistent improvement across all downstream tasks. Compared to image-models that excel under the frozen evaluation, V-JEPA shows a significant performance improvement on tasks requiring motion understanding (+21 points on SSv2), and reduces the gap between video and image models on tasks requiring static appearance-based features.", - "page_start": 6, - "page_end": 6, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 1 Pixels vs. Featurized Targets. We ablate the effect of computing the prediction loss in feature space vs pixel space. All models are trained on VideoMix2M for 90K iterations with a batch size of 3072 using the multi-block prediction task. We examine downstream performance using a frozen backbone with attentive probing, and report top-1 accuracy using a single center view. We also examine end-to-end fine-tuning performance of the models on K400. Predicting in feature space provide a consistent improvement over pixel space prediction.Table 2 Pretraining Data Distribution. We pretrain all models for 90K iterations using a batch size of 3072, and evaluate downstream performance of the frozen backbones with an attentive probe using a single center view. Average performance across tasks increases with the pretraining dataset size.\n\n| | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Fine-Tuning |\n|----------|----------|---------------------|---------------------|---------------------|----------------------|\n| Target | Arch. | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | K400-ft (16 × 5 × 3) |\n| Pixels | ViT-L/16 | 68.6 | 66.0 | 73.3 | 85.4 |\n| Features | ViT-L/16 | 73.7 | 66.2 | 74.8 | 85.6 |\n\n| | | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | |\n|----------|------------|----------|---------------------|---------------------|---------------------|------|\n| Arch. | Data | #Samples | K400 (16 × 1 × 1) | SSv2 (16 × 1 × 1) | IN1K | Avg. |\n| ViT-L/16 | K710 | 700K | 75.8 | 63.2 | 73.7 | 70.9 |\n| ViT-L/16 | K710+SSv2 | 900K | 72.9 | 67.4 | 72.8 | 71.0 |\n| ViT-L/16 | K710+HT | 1900K | 74.5 | 64.2 | 74.8 | 71.1 |\n| | VideoMix2M | 2000K | 73.7 | 66.2 | 74.8 | 71.5 |\n| ViT-H/16 | K710+SSv2 | 900K | 75.7 | 66.8 | 73.7 | 72.0 |\n| ViT-H/16 | VideoMix2M | 2000K | 74.0 | 68.5 | 75.9 | 72.8 |\n\nEvaluations. Pretrained models are evaluated on downstream video and image tasks. On video tasks, we use a subset of the VideoGLUE benchmark (Yuan et al., 2023) to test for various capabilities; specifically, we investigate action recognition on Kinetics400 (K400) (Kay et al., 2017), motion classification on Something-Something-v2 (SSv2) (Goyal et al., 2017), and action localization on AVA (Gu et al., 2018). Action classification on Kinetics evaluates the appearance-based understanding of the model, as many action classes in the dataset can be inferred from the presence of specific objects in the video (Sevilla-Lara et al., 2021). Motion classification on Something-Something-v2 evaluates the temporal understanding of the model, as action classes in the dataset are decoupled from the appearance/presence of specific objects in the video (Goyal et al., 2017). Finally, action localization on AVA evaluates the ability of the model to understand and localize motions in the video. We follow standard practice and report accuracy on K400 and SSv2 by sampling several spatial and temporal views. For static image tasks, we explore object recognition on ImageNet (Russakovsky et al., 2015), scene classification on Places205 (Zhou et al., 2014), and fine-grained recognition on iNaturalist 2021 (Van Horn et al., 2018).\n\n## 4 WhatMatters for Learning Representations from Video?\n\nIn this section we isolate the contributions of several design choices, including: a) the use of a feature prediction", - "page_start": 4, - "page_end": 4, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 8 pretraining hyper-parameters for V-JEPA.\n\n| Hyper-parameter | ViT-L/16 224 | ViT-H/16 224 | ViT-H/16 384 |\n|-------------------------------|----------------|----------------------------------|----------------|\n| data | | | |\n| datasets | | VideoMix2M VideoMix2M VideoMix2M | |\n| resolution | 224 | 224 | 384 |\n| num\\_frames | 16 | 16 | 16 |\n| temporal\\_stride | 4 | 4 | 4 |\n| horizontal\\_flip | true | true | true |\n| random\\_resize\\_scale | (0.3, 1.0) | (0.3, 1.0) | (0.3, 1.0) |\n| random\\_resize\\_aspect\\_ratio | (0.75, 1.35) | (0.75, 1.35) | (0.75, 1.35) |\n| masking | | | |\n| block\\_aspect\\_ratio | (0.75, 1.5) | (0.75, 1.5) | (0.75, 1.5) |\n| shortrange\\_mask\\_num\\_blocks | 8 | 8 | 8 |\n| shortrange\\_mask\\_spatial\\_scale | 0.15 | 0.15 | 0.15 |\n| longrange\\_mask\\_num\\_blocks | 2 | 2 | 2 |\n| longrange\\_mask\\_spatial\\_scale | 0.7 | 0.7 | 0.7 |\n| optimization | | | |\n| batch\\_size | 3072 | 3072 | 2400 |\n| total\\_number\\_ofiterations | 90000 | 90000 | 90000 |\n| warmup\\_iterations | 12000 | 12000 | 12000 |\n| lr | 6.25e-4 | 6.25 × 10 - 4 | 6.25 × 10 - 4 |\n| start\\_lr | 2 × 10 - 4 | 2 × 10 - 4 | 2 × 10 - 4 |\n| final\\_lr | 1 × 10 - 6 | 1 × 10 - 6 | 1 × 10 - 6 |\n| start\\_momentum | 0.998 | 0.998 | 0.998 |\n| final\\_momentum | 1.0 | 1.0 | 1.0 |\n| start\\_weight\\_decay | 0.04 | 0.04 | 0.04 |\n| final\\_weight\\_decay | 0.4 | 0.4 | 0.4 |\n| scheduler\\_scale\\_factor | 1.25 | 1.25 | 1.25 |\n| architecture | | | |\n| patch\\_size | 16 | 16 | 16 |\n| tubelet\\_size | 2 | 2 | 2 |\n| pred\\_depth | 12 | 12 | 12 |\n| pred\\_embed\\_dim | 384 | 384 | 384 |\n| hardware | | | |\n| dtype | bfloat16 | bfloat16 | bfloat16 |\n| accelerator | A100 80G | A100 80G | A100 80G |", - "page_start": 16, - "page_end": 16, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 16 Sample efficiency. We compare the sample efficiency of pretraining various state-of-the-art image and video models. The #Samples Seen entry corresponds to the number of samples (image or video clips) processed by the network during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. The V-JEPA results in this paper are obtained while processing an order of magnitude fewer samples than previous methods.\n\n| Method | Arch. | Data | #Samples Seen |\n|------------|--------------|-----------------|-----------------|\n| OpenCLIP | ViT-G/14 | LAION-2B | 39000M |\n| DINOv2 | ViT-g/14 | LVD 142M | 1900M |\n| VideoMAEv2 | ViT-g/14 | UnlabeledHybrid | 1600M |\n| V-JEPA | ViT-H/16 384 | VideoMix2M | 210M |\n\nFigure 9 Illustration of mask with number of blocks and block size. Each mask is constructed by sampling several (possibly overlapping) blocks and taking their union.\n\n\n\n\n\nFigure 8 Masking Strategy Ablation. Evaluating a linear probe on a ViT-B/16 pretrained with V-JEPA on K400 under various 3D Multi-Block masking settings. We examine the impact of (a) sampling several masks per video, (b) varying the number of blocks in a mask, and (c) varying the average spatial and temporal masking ratio. A temporal masking ratio of 100% extends the spatial mask across all the frames in the clip. We find it important to maintain a high spatial and temporal masking ratio during pretraining.\n\n\n\n(a) Num. Blocks: 8, Spatial Block Size: 32 × 32\n\n\n\n(b) Num. Blocks: 4, Spatial Block Size: 80 × 80\n\n\n\n(c) Num. Blocks: 2, Spatial Block Size: 160 × 160\n\n", - "page_start": 22, - "page_end": 22, - "source_file": "arxiv3.pdf" - }, - { - "text": "Figure 4 SSv2 fine-tuning performance vs. Samples Seen. We report SSv2 fine-tuning for V-JEPA and pixel-reconstruction baselines using a ViT-L/16 or Hiera-L architecture. V-JEPA outperforms all pixel-reconstruction methods using a ViTL/16 and matches the Hiera-L performance while seeing significantly less samples during pretraining.\n\n\n\nageNet; hence, V-JEPA achieves comparable ImageNet performance despite only pretraining on video.\n\nUnder the fine-tuning protocol, V-JEPA also achieves the best performance of any model trained with a ViT-L/16, and matches the performance of the Hiera-L on SSv2, which benefits from a hierachical prior (Ryali et al., 2023). The V-JEPA models achieve this result while processing significantly fewer samples during pretraining (Figure 4), demonstrating the efficiency of feature prediction as a learning principle.\n\n## 5.2 Comparison with State-of-the-Art\n\nNext, in Table 6, we inspect how the V-JEPA models pretrained on video stack up next to the largest stateof-the-art self-supervised image and video models when freezing the backbone encoder and training an attentive probe on top. Our image pretrained baselines include OpenCLIP (Cherti et al., 2023), DINOv2 (Oquab et al., 2023), and I-JEPA (Assran et al., 2023). The OpenCLIP model is trained with a contrastive image-text alignment objective, DINOv2 and I-JEPA are trained with self-supervision. These models are known to excel in their frozen-evaluation performance (Oquab et al., 2023); i.e., their ability to produce visual features that can be applied to many downstream tasks simultaneously, without end-to-end fine-tuning, and thus provide highly competitive baselines. Our video pretrained baselines include VideoMAE (Tong et al., 2022), OmniMAE (Girdhar et al., 2023), Hiera (Ryali et al., 2023), VideoMAEv2 (Wang et al., 2023a), and MVD (Wang et al., 2023b). The OpenCLIP, DINOv2 and VideoMAEv2 models are parameterized as Giant/Gigantic vision transformer architectures containing over 1B parameters trained on large-scale image or video datasets.\n\nComparison with video models. Compared to large-scale video baselines, the V-JEPA models outperform all previous models on every downstream video\n\nFigure 5 SSv2 frozen-evaluation performance vs. Pretraining Time. Wallclock times for all methods are measured on a single GPU with a batch size of 10 clips, using the official codebases for VideoMAE and VideoMAEv2, and linearly extrapolated assuming a global batch size of 2400 samples. However, note that the SSv2 accuracies of video pixel prediction methods are actually obtained with small batch sizes and significantly longer training schedules. V-JEPA outperforms pixel-reconstruction methods while training significantly faster.\n\n\n\nand image task with notable margin (see Table 6). Our H/16 model outperforms the largest publicly available VideoMAE, VideoMAEv2, OmniMAE, MVD, and Hiera models by at least +5 points in motion understanding (Something-Something-v2), +2 points in action recognition (Kinetics-400), +5 points on action detection (AVA), +1 point on object recognition (ImageNet-1K), +2 points in scene recognition (Places205), and +0 . 2 points on finegrained recognition (iNaturalist). Moreover, when comparing pretraining wallclock time in Figure 5, we see that V-JEPA achieves this performance with a roughly 2 × speedup compared to the large pixel prediction models.\n\nComparison with image models. On tasks that require a fine-grained understanding of motion (SomethingSomething-v2), the V-JEPA models provide a major improvement (over +21 points) compared to large-scale image baselines, such as DINOv2, OpenCLIP, and IJEPA. Self-supervised pretraining from videos allows to model dynamic concepts that are not easily learned from static image datasets. Similarly, we observe that the V-JEPA models outperform image-based pretraining on action localization.", - "page_start": 7, - "page_end": 7, - "source_file": "arxiv3.pdf" - }, - { - "text": "| Hyper-parameter | K400 | K400 | SSv2 | SSv2 |\n|--------------------------------------------------------------|---------------------------|---------------------------|---------------------------|---------------------------|\n| data num\\_segments num\\_frames sampling\\_rate resolution | | | 1 16 4 224 | |\n| model model\\_name | | ViT-L/16 ViT-H/16 | | ViT-L/16 ViT-H/16 |\n| drop\\_path | 0.1 | 0.2 | 0.2 | 0.2 |\n| head\\_drop\\_rate | 0. | 0. | | |\n| | 5 3 | | 0.5 | 0.5 |\n| optimization | | | | |\n| batch\\_size | 256 | 1024 | 256 | 256 |\n| epochs | 35 | 25 | 15 | 15 |\n| opt | | | adamw | |\n| opt\\_eps momentum | | | 0.00000001 0.9 | |\n| weight\\_decay | | | | |\n| | | | 0.05 | |\n| lr | 0.002 | 0.0005 | 0.0005 | 0.0005 |\n| layer\\_decay | 0.75 | 0.75 | 0.75 | 0.75 |\n| warmup\\_lr min\\_lr | 1e-6 1e-6 | 1e-8 | 1e-6 1.5e-4 | 1e-6 |\n| warmup\\_epochs | | 1e-5 | 5 | 1.5e-3 |\n| augmentations | | | 0.4 | |\n| color\\_jitter horizontal\\_flip | True | | | |\n| | | True | False | False |\n| num\\_sample | 2 rand-m7-n4-mstd0.5-inc1 | 2 rand-m7-n4-mstd0.5-inc1 | 2 rand-m7-n4-mstd0.5-inc1 | 2 rand-m7-n4-mstd0.5-inc1 |", - "page_start": 19, - "page_end": 19, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 14 Temporal Coverage on Kinetics-400. We evaluate the effect of temporal coverage on K400. We train an attentive probe on K400 using either 1 clip ( ≈ 2 seconds of a video) or 8 clips ( ≈ 16 seconds of a video). To sample N clips, we first divide a video in N equal-length temporal segments and sample one clip at random per segment. The video encoder processes each clip in parallel and all the encoder output tokens are concatenated at the input of the attentive probe. Increasing the temporal coverage from 1 clip per video to 8 clips significantly improves the performance for both our VideoMAE baseline and V-JEPA.\n\nTable 15 Finetuning results. We evaluate a V-JEPA model with the finetuning protocol on the K400 and SSv2 datasets using 16 frames per clip and multi-view fusion (5 × 3 or 2 × 3 ) for inference. The #Samples Seen entry corresponds to the number of video clips processed during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. We compare V-JEPA with different video self-supervised learning approaches. We report the VideoMAEv2 results without instruction-turning for consistency with the other approaches. V-JEPA obtains competitive performance using the finetuning protocol.\n\n| Method | Arch. | 1 Clip | 8 Clips |\n|----------|----------|----------|-----------|\n| VideoMAE | ViT-L/16 | 69.4 | 77.8 |\n| V-JEPA | ViT-L/16 | 73.7 | 80.9 |\n\n| Method | Arch. | Pretraining Data | #Samples Seen | K400 (16 × 5 × 3) | SSv2 (16 × 2 × 3) |\n|------------|----------|--------------------|-----------------|---------------------|---------------------|\n| VideoMAEv1 | ViT-L/16 | K400 | SSv2 | 380M | 410M | 85.4 | 74.3 |\n| VideoMAEv1 | ViT-H/16 | K400 | SSv2 | 380M | 410M | 86.6 | 74.8 |\n| VideoMAEv2 | ViT-H/16 | Un.Hybrid | 1600M | 86.9 | 76.8 |\n| MVD | ViT-L/16 | K400+IN1K | 2400M | 86.4 | 76.7 |\n| MVD | ViT-H/16 | K400+IN1K | 2400M | 87.2 | 77.3 |\n| V-JEPA | ViT-L/16 | VideoMix2M | 270M | 85.6 | 75.1 |\n| V-JEPA | ViT-H/16 | VideoMix2M | 270M | 86.6 | 77 |\n\nexamine our multi-masking strategy and find that sampling two masks for each clip (long-range and short-range) to be more effective than sampling just a single mask for each clip.\n\nIn Figure 8c, we explore different average spatial and temporal masking ratio, i.e. the spatial/temporal ratio of the area that is covered by a mask on average for a clip. Recall that each mask is constructed by sampling several (possibly overlapping) blocks and taking their union. We change the average spatial or temporal masking ratio by changing a block spatial or temporal size, as well as the overall number of blocks. We found that low spatial or temporal coverage results in a trivial prediction task, which degrades downstream performance. Based on those results, we sample masks that remove roughly 90% of the frame and extend along the entire temporal dimension of the clip by default.\n\nIn Figure 8b , we explore different block size given an effective spatial masking ratio of 90% and temporal ratio of 100%. We keep the masking ratio approximately constant by changing the block size and the number of block at the same time. We find that sampling several blocks to perform better than sampling a single large block. Figure 9 visually illustrates the effect of sampling several smaller blocks to construct a mask.", - "page_start": 21, - "page_end": 21, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 10 Frozen Detection hyper-parameters.\n\n| Hyper-parameter | ViT-L/16 | ViT-H/16 |\n|-------------------|-----------------------------------|------------|\n| out\\_layers | [18, 20, 22, 24] [26, 28, 30, 32] | |\n| batch\\_size | 64 | 64 |\n| epochs | 30 | 30 |\n| opt | AdamW | AdamW |\n| opt\\_eps | 0.00000001 | 0.00000001 |\n| momentum | 0.9 | 0.9 |\n| weight\\_decay | 0.05 | 0.05 |\n| lr | 0.0001 | 0.0001 |\n| warmup\\_lr | 0.000001 | 0.000001 |\n| min\\_lr | 0.000001 | 0.000001 |\n| warmup\\_epochs | 2 | 2 |\n| warmup\\_steps | 1 | 1 |\n\nSpecifically, we first divide a video in 8 (or 2) equal-length temporal segments, and sample 1 clip at random per segment. The video encoder E θ processes each clip separately and produces a clip-level feature map. The feature maps for each clip are then concatenated together and fed to the attentive probe. At test time, we average the prediction of 3 spatial views following standard practice in video classification.\n\nApplication of video models to images. To evaluate the video models on image tasks, we simply duplicate input images to generate still video clips of 16 frames. We perform this duplication operation simply for convenience in evaluation of the video models, however we find this step to be unnecessary in general. Given a video tokenizer implemented as a 3D-conv with a temporal stride of 2 , it is sufficient to simply duplicate the image into a 2 frame video clip. This would result in the same number of input tokens as that produced by a static image model with a 2D-conv tokenizer.\n\nApplication of image models to videos. To evaluate image models such as DINOv2 and OpenCLIP on video tasks, we simply process each frame independently with the image encoder to produce a frame-level feature map. The feature maps for each frame are then concatenated and fed to the attentive probe, just as we do with the clip-level feature maps when evaluating video models.\n\n## D.2 Frozen detection\n\nWe evaluate our model on the AVA (Gu et al., 2018) spatio-temporal localization of human actions dataset, containing 211k training and 57k validation video segments. We follow the experimental protocol of (Feichtenhofer et al., 2021), and use precomputed masks from a pretrained Faster-RCNN adapted to videos, which uses a ResNeXt-101-FPN backbone and is pretrained on ImageNet and COCO. We train a linear classifier on top of the frozen V-JEPA features to classify the extracted regions of interest and report mean Average Precision (mAP) on the 60 most common classes. Hyper-parameters are provided in Table 10. Our frozen features are obtained by concatenating the last layer of the transformer encoder with three intermediate layers. We use a batch size of 64 and pretrain for 30 epochs with AdamW using a learning rate of 0.0001 with 2 epochs of warmup and a weight decay of 0.05.\n\n## D.3 Finetuning\n\nFollowing Tong et al. (2022), we finetune a linear layer on top of our model, using a layer decay schema and mixup as the data augmentation pipeline. We provide all hyper-parameters for both K400 and SSv2 in Table 11.\n\n## E Extra Results\n\n## E.1 Frozen Evaluation.", - "page_start": 18, - "page_end": 18, - "source_file": "arxiv3.pdf" - }, - { - "text": "Table 7 Low-Shot Frozen Evaluation. Comparing V-JEPA to other video models in frozen evaluation on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several low-shot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. We report the mean performances and standard deviation using the K400 and SSv2 validation sets. V-JEPA is more label-efficient than other models; specifically, decreasing the available number of labeled examples from each class increases the performance gap between V-JEPA and the baselines.\n\n| | | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation | Frozen Evaluation |\n|------------|--------------|----------------------------|-----------------------------|----------------------------|----------------------------|-----------------------------|----------------------------|\n| | | K400 (16 × 8 × 3) | K400 (16 × 8 × 3) | K400 (16 × 8 × 3) | SSv2 (16 × 2 × 3) | SSv2 (16 × 2 × 3) | SSv2 (16 × 2 × 3) |\n| Method | Arch. | 5% ∼ 29 samples per class) | 10% ∼ 58 samples per class) | 50% 287 samples per class) | 5% ∼ 48 samples per class) | 10% ∼ 96 samples per class) | 50% 440 samples per class) |\n| MVD | ViT-L/16 | 62.6 ± 0.2 | 68.3 ± 0.2 | 77.2 ± 0.3 | 42.9 ± 0.8 | 49.5 ± 0.6 | 61.0 ± 0.2 |\n| VideoMAE | ViT-H/16 | 62.3 ± 0.3 | 68.5 ± 0.2 | 78.2 ± 0.1 | 41.4 ± 0.8 | 48.1 ± 0.2 | 60.5 ± 0.4 |\n| VideoMAEv2 | ViT-g/14 | 37.0 ± 0.3 | 48.8 ± 0.4 | 67.8 ± 0.1 | 28.0 ± 1.0 | 37.3 ± 0.3 | 54.0 ± 0.3 |\n| V-JEPA | ViT-H/16 | 67.0 ± 0.2 | 72.1 ± 0.1 | 80.2 ± 0.2 | 51.9 ± 0.3 | 57.5 ± 0.4 | 67.3 ± 0.2 |\n| V-JEPA | ViT-H/16 384 | 68.2 ± 0.2 | 72.8 ± 0.2 | 80.6 ± 0.2 | 54.0 ± 0.2 | 59.3 ± 0.5 | 67.9 ± 0.2 |\n\nlayer attentive probe, which can be further improved to 77 . 9 % using a two-layer attentive probe. More generally, we hypothesize that the datasets used to train V-JEPA and other video models are too constrained and lack the visual diversity of the internet-scale pretraining data used by the images models; as such, there is value in focusing future work on building diverse publicly available video datasets.\n\n## 5.3 Label-efficiency\n\nWe examine the label-efficiency of V-JEPA compared to other self-supervised video models by measuring the ability of the pretrained backbones to adapt to downstream tasks with few labels. Specifically, we investigate the performance of the frozen models on Kinetics-400 and Something-Something-v2 as we vary the percentage of labeled examples from each dataset available for training the attentive probe. We train the probes in several lowshot settings: using either 5% of the train set, 10%, or 50%, and take 3 random splits in each setting to obtain more robust metrics, resulting in 9 different evaluation experiments for each model. Table 7 reports the mean performances and standard deviation using the K400 and SSv2 validation sets.", - "page_start": 8, - "page_end": 8, - "source_file": "arxiv3.pdf" - }, - { - "text": "## E.3 Sample Efficiency of pretraining\n\nWe compare the sample efficiency of pretraining various state-of-the-art image and video models. Specifically, we look at the number of samples (image or video clips) processed by the network during pretraining, which is larger than the size of the pretraining dataset for multi-epoch training. Notably, our results with V-JEPA are obtained while processing an order of magnitude fewer samples than previous methods, and notably two orders of magnitude fewer samples than OpenCLIP. We believe that further investment towards improving the video pretraining data distribution could lead to substantial gains in downstream image and video tasks.\n\n## E.4 Masking Strategy\n\nAn important component of the V-JEPA pretraining strategy is the 3D clip masking strategy. In this section, we detail 26 ablation experiments exploring different masks. For all the experiments, we pretrain a ViT-B/16 pretrained on K400. Figure 8 presents a summary of those results.\n\nFigure 8c shows the effect of changing the spatial and temporal masking ratio. Figure 8b ablates the number of sampled blocks used to construct the masks given a fixed effective masking ratio of 90% . Finally, in Figure 8a we", - "page_start": 20, - "page_end": 20, - "source_file": "arxiv3.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What is appropriate authority ?", - "target_page": 1, - "target_passage": "APPROPRIATE AUTHORITY.—The term ‘appropriate authority’ means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- (6) Paragraphs (1)(b) and (c), (2) and (3) do not apply where P is a person described in paragraph 1 of Schedule 4 (diplomats, members of international organisations etc).\n - (7) An authorised person exercising the power in paragraph (1)(b) or (c), (2)(b) or (3) may use reasonable force, if necessary, in the exercise of the power.\n - (8) Where P is a child, and has left or is outside of, the place where they are self-isolating and is accompanied by an individual who has responsibility for them-\n - (a) an authorised person may direct that individual to take P to the place where P is selfisolating; and\n - (b) that individual must, so far as reasonably practicable, ensure that P complies with any direction given by an authorised person to P.\n - (9) Where P is a child, and an authorised person has reasonable grounds to believe that P is repeatedly failing to comply with regulation 9 or Schedule 11, the authorised person may direct any individual who has responsibility for P to ensure, so far as reasonably practicable, that P so complies.\n - (10) An authorised person may only exercise a power in paragraph (1), (2), (8) or (9) if the authorised person considers that it is a necessary and proportionate means of ensuring compliance with regulation 9 or Schedule 11.", - "page_start": 17, - "page_end": 17, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## SCHEDULE 10\n\n## Optional testing after arrival in England\n\n## Application of this Schedule\n\n - 1. A person who is required by regulation 9(2) to self-isolate ('P') may undertake an appropriate test in the circumstances described in paragraph 4 for the purposes of determining whether they may cease self-isolating (as provided for in regulation 9(16)).\n\n## Appropriate tests\n\n - 2. -(1) A test is an 'appropriate test' where-\n - (a) it is a test for the detection of coronavirus;\n - (b) the manufacturer of any device used for the purposes of the test states that the device has-\n - (i) a sensitivity greater than 95% (with 95% two-sided confidence interval entirely above 90%),\n - (ii) a specificity greater than 95% (with 95% two-sided confidence interval entirely above 90%),\n\nRegulation 9(16)", - "page_start": 67, - "page_end": 67, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "and except so far as that provision or, as the case m ay be, the thing done under the authority thereof is show n not to be reasonably justifiable in a dem ocratic society; or\n\n - ( b ) to the extent that the law in question m akes provision for the taking of possession or acquisition of-\n - (i) enem y property;\n - (ii) property of a deceased person, a person of unsound m ind, a person w ho has not attained the age of 21 years, a prodigal, or a person w ho is absent from B otsw ana, for the purpose of its adm inistration for the benefit of the persons entitled to the beneficial interest therein;\n - (iii) property of a person declared to be insolvent or a body corporate in liquidation, for the purpose of its adm inistration for the benefit of the creditors of the insolvent or body corporate and, subject thereto, for the benefit of other persons entitled to the beneficial interest in the property; or\n - (iv) property subject to a trust, for the purpose of vesting the property in persons appointed as trustees under the instrum ent creating the trust or by a court, or by order of a court, for the purpose of giving effect to the trust.\n - (6) N othing contained in or done under the authority of any law shall be held to be inconsistent w ith or in contravention of subsection (1) of this section to the extent that the law in question m akes provision for the com pulsory taking of possession in the public interest of any property, or the com pulsory acquisition in the public interest in or right over property, w here that property, interest or right is held by a body corporate established by law for public purposes in w hich no m oneys have been invested other than m oneys provided by P arliam ent.\n\n## 9. Protection for privacy of hom e and other property\n\n - (1) E xcept w ith his or her ow n consent, no person shall be subjected to the search of his or her person or his or her property or the entry by others on his or her prem ises.", - "page_start": 7, - "page_end": 7, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "person or authority.\n\n - (3) N othing in this section shall prevent P arliam ent from conferring functions on persons or authorities other than the P resident.\n\n## 48. C om m and of arm ed forces\n\n - (1) The suprem e com m and of the arm ed forces of the R epublic shall vest in the President and he or she shall hold the office of C om m ander in C hief.\n - (2) The pow ers conferred on the P resident by subsection (1) of this section shall include-\n - ( a ) the pow er to determ ine the operational use of the arm ed forces;\n - ( b ) the pow er to appoint m em bers of the arm ed forces, to m ake appointm ents on prom otion to any office in the arm ed forces and to dism iss any m em ber of the arm ed forces.\n - (3) The P resident m ay, by directions in w riting and subject to such conditions as he or she m ay think fit, delegate to any m em ber of the arm ed forces any of the pow ers m entioned in subsection (2) of this section.\n - (4) P arliam ent m ay regulate the exercise of the pow ers conferred by or under this\n - section.\n\n## 49. Functions of V ice-P resident\n\n - The Vice-P resident shall be the principal assistant of the P resident in the discharge of his or her executive functions and shall be responsible, under the directions of the P resident, for such business of the governm ent of B otsw ana (including the adm inistration of any departm ent of G overnm ent) as the P resident m ay assign to him or her.", - "page_start": 23, - "page_end": 23, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 18. Enforcem ent of protective provisions\n\n - (1) S ubject to the provisions of subsection (5) of this section, if any person alleges that any of the provisions of sections 3 to 16 (inclusive) of this C onstitution has been, is being or is likely to be contravened in relation to him or her, then, w ithout prejudice to any other action w ith respect to the sam e m atter w hich is law fully available, that person m ay apply to the H igh C ourt for redress.\n - (2) The H igh C ourt shall have original jurisdiction-\n - ( a ) to hear and determ ine any application m ade by any person in pursuance of subsection (1) of this section; or\n - ( b ) to determ ine any question arising in the case of any person w hich is referred to it in pursuance of subsection (3) of this section,\n\nand m ay m ake such orders, issue such w rits and give such direction as it m ay consider appropriate for the purpose of enforcing or securing the enforcem ent of any of the", - "page_start": 14, - "page_end": 14, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "com m unication be to the public generally or to any person or class of persons) and freedom from interference w ith his or her correspondence.\n\n - (2) N othing contained in or done under the authority of any law shall be held to be inconsistent w ith or in contravention of this section to the extent that the law in question m akes provision-\n - ( a ) that is reasonably required in the interests of defence, public safety, public order, public m orality or public health; or\n - ( b ) that is reasonably required for the purpose of protecting the reputations, rights and freedom s of other persons or the private lives of persons concerned in legal proceedings, preventing the disclosure of inform ation received in confidence, m aintaining the authority and independence of the courts, regulating educational institutions in the interests of persons receiving instruction therein, or regulating the technical adm inistration or the technical operation of telephony, telegraphy, posts, w ireless, broadcasting or television; or\n - ( c ) that im poses restrictions upon public officers, em ployees of local governm ent bodies, or teachers,\n\nand except so far as that provision or, as the case m ay be, the thing done under the authority thereof is show n not to be reasonably justifiable in a dem ocratic society.\n\n## 13. Protection of freedom of assem bly and association", - "page_start": 11, - "page_end": 11, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (4) The A uditor-G eneral shall perform such other duties and exercise such other pow ers in relation to the accounts of the G overnm ent or the accounts of other public authorities or other bodies as m ay be prescribed by or under any A ct of P arliam ent.\n - (5) In the exercise of his or her functions the A uditor-G eneral shall not be subject to the direction or control of any other person or authority.", - "page_start": 52, - "page_end": 52, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "(1) The H igh C ourt shall have jurisdiction to hear and determ ine any question w hether-\n\n - ( a ) any person has been validly elected as an E lected M em ber of the N ational Assem bly or the seat of any such M em ber has becom e vacant;\n - ( b ) any person has been validly elected as S peaker of the A ssem bly or, having been so elected, has vacated the office of S peaker.\n\n(2) A ny question w hether any person has been validly elected as a S pecially Elected M em ber of the N ational A ssem bly or w hether the seat of any such M em ber has becom e vacant shall be determ ined by the S peaker.\n\n - (3) P arliam ent m ay m ake provision w ith respect to-\n - ( a ) the persons w ho m ay apply to the H igh C ourt for the determ ination of any question under this section;\n - ( b ) the circum stances and m anner in w hich the conditions upon w hich any such application m ay be m ade; and\n - ( c ) the pow ers, practice and procedure of the H igh C ourt in relation to any such application.\n\n## 70. C lerk of the A ssem bly\n\n(1) There shall be a C lerk of the N ational A ssem bly and an A ssistant C lerk of the N ational A ssem bly and their offices shall be offices in the public service.", - "page_start": 33, - "page_end": 33, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "| | Pow er to specify qualifications for certain offices |\n| 108. | |\n| 110. | Public S ervice C om m ission Appointm ent, etc., of public officers |\n| 111. | |", - "page_start": 2, - "page_end": 2, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (3) B efore any person or persons as m ay have been prescribed under the provisions of subsection (1) exercise pow er to appoint to or to act in any public office any person w ho holds or is acting in any office the pow er to m ake appointm ents to w hich is vested by this C onstitution in the P resident acting in accordance w ith the advice of the Judicial S ervice C om m ission such person shall consult w ith the Judicial S ervice C om m ission.", - "page_start": 47, - "page_end": 47, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "What criteria must a lactation room meet?", - "target_page": 1, - "target_passage": "LACTATION ROOM.—The term ‘lactation room’ means a hygienic place, other than a bathroom, that— ‘‘(A) is shielded from view; ‘‘(B) is free from intrusion; and ‘‘(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014\n\n15:46 Aug 08, 2019\n\nJkt 089139\n\nPO 00030\n\nFrm 00001\n\nFmt 6580\n\nSfmt 6581\n\nE:\\PUBLAW\\PUBL030.116\n\nPUBL030\n\nPublic Law 116-30 116th Congress\n\n## An Act\n\nTo provide a lactation room in public buildings.\n\nBe it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,\n\n## SECTION 1. SHORT TITLE.\n\nThis Act may be cited as the ''Fairness For Breastfeeding Mothers Act of 2019''.\n\n## SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.-Chapter 33 of title 40, United States Code, is amended by adding at the end the following new section:\n\n## ''§ 3318. Lactation room in public buildings\n\n''(a) DEFINITIONS.-In this section:\n\n''(1) APPROPRIATE AUTHORITY.-The term 'appropriate authority' means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building.\n\n''(2) COVERED PUBLIC BUILDING.-The term 'covered public building' means a public building (as defined in section 3301) that is open to the public and contains a public restroom, and includes a building listed in section 6301 or 5101.\n\n''(3) LACTATION ROOM.-The term 'lactation room' means a hygienic place, other than a bathroom, that-\n\n''(A) is shielded from view;\n\n''(B) is free from intrusion; and\n\n''(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet.\n\n''(b) LACTATION ROOM REQUIRED.-Except as provided in subsection (c), the appropriate authority of a covered public building shall ensure that the building contains a lactation room that is made available for use by members of the public to express breast milk.\n\n''(c) EXCEPTIONS.-A covered public building may be excluded from the requirement in subsection (b) at the discretion of the appropriate authority if-\n\n''(1) the public building-\n\n''(A) does not contain a lactation room for employees who work in the building; and\n\n''(B) does not have a room that could be repurposed as a lactation room or a space that could be made private using portable materials, at a reasonable cost; or\n\nJuly 25, 2019\n\n[H.R. 866]\n\nFairness For Breastfeeding Mothers Act of 2019. 40 USC 101 note.\n\n40 USC 3318.", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "dkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014\n\n15:46 Aug 08, 2019\n\nJkt 089139\n\nPO 00030\n\nFrm 00002\n\nFmt 6580\n\nSfmt 6580\n\nE:\\PUBLAW\\PUBL030.116\n\nPUBL030\n\n''(2) new construction would be required to create a lactation room in the public building and the cost of such construction is unfeasible.\n\n''(d) NO UNAUTHORIZED ENTRY.-Nothing in this section shall be construed to authorize an individual to enter a public building or portion thereof that the individual is not otherwise authorized to enter.''.\n\n(b) CLERICAL AMENDMENT.-The table of sections at the beginning of chapter 33 of title 40, United States Code, is amended by inserting after the item related to section 3316 the following new item:\n\n40 USC 3301 prec.\n\n''3318. Lactation room in public buildings.''.\n\n(c) EFFECTIVE DATE.-The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. 40 USC 3318 note.\n\nApproved July 25, 2019.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "- (3) For the purposes of sub-paragraph (1)(d) and (e), a person or laboratory (as the case may be) meets the relevant requirements for accreditation to a standard where the person who is the operator of the laboratory complies with the requirements of regulation 6 of the Health Protection (Coronavirus, Testing Requirements and Standards) (England) Regulations 2020 as if-\n - (a) a reference to an applicable test were a reference to a day 2 test;\n - (b) a reference to a test provider were a reference to a private provider.\n\n## Day 8 tests: general test requirements", - "page_start": 62, - "page_end": 62, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Resolution : Check the following conditions:", - "page_start": 401, - "page_end": 401, - "source_file": "sg246915.pdf" - }, - { - "text": "- (ii) the laboratory used by the test provider for the processing of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025, in respect of the processing of samples;\n - (d) in relation to a point of care test, they meet the relevant requirements for accreditation to ISO standard 15189 and ISO standard 22870( a );\n - (e) a registered medical practitioner has oversight and approval of medical practices undertaken by the test provider, and responsibility for reporting medical issues;\n - (f) they have an effective system of clinical governance in place which includes appropriate standard operating procedures in relation to the carrying out of appropriate tests;\n - (g) a registered clinical scientist has oversight of clinical practices undertaken by the test provider, and responsibility for reporting clinical issues;", - "page_start": 69, - "page_end": 69, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Data\n\nPolicy information about availability of data\n\nAll manuscripts must include a data availability statement. This statement should provide the following information, where applicable:\n\n - - Accession codes, unique identifiers, or web links for publicly available datasets\n - - A description of any restrictions on data availability\n - - For clinical datasets or third party data, please ensure that the statement adheres to our policy\n\nThe dataset consists of 26 MRI scans (T1w, T2w, and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The data is publicly available on https://openneuro.org/datasets/ds005299.\n\n## Research involving human participants, their data, or biological material\n\nPolicy information about studies with human participants or human data. See also policy information about sex, gender (identity/presentation), and sexual orientation and race, ethnicity and racism.\n\nReporting on sex and gender\n\nOur study focused on a single female participant to explore how pregnancy shapes the human brain.\n\nReporting on race, ethnicity, or other socially relevant groupings\n\nThe subject was white.\n\nPopulation characteristics\n\nThis was a precision imaging study of one 38-year old primiparous woman.\n\nRecruitment\n\nOur participant (corresponding author E.R.C.) was a healthy primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. The project was conceived by E.R.C. and she wished to use herself as the participant, as has been done in previous \"dense-sampling\" studies (cf. Poldrack et al., 2015; Pritschet et al., 2020).\n\nEthics oversight\n\nThe participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\nNote that full information on the approval of the study protocol must also be provided in the manuscript.\n\n## Field-specific reporting\n\nPlease select the one below that is the best fit for your research. If you are not sure, read the appropriate sections before making your selection.\n\nLife sciences\n\nBehavioural & social sciences\n\nEcological, evolutionary & environmental sciences\n\nFor a reference copy of the document with all sections, see nature.com/documents/nr-reporting-summary-flat.pdf\n\n## Life sciences study design\n\nAll studies must disclose on these points even when the disclosure is negative.\n\nSample size\n\nWe used precision imaging to deeply-phenotype, densely-sample an individual over the gestational window. As this study was the first of it's kind, our sample size was an N=1 design. Although this limits the generalizability of our findings, this project serves as a proof-of-concept, showcasing the value and feasibility of studying a woman's brain during the transition to motherhood.\n\nData exclusions\n\nno history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking\n\nReplication\n\nThis is the first study of it's kind; therefore, there are no study replications as of yet. However, to reproduce our results internally across software packages, we also ran the T1w data through the longitudinal FreeSurfer cortical thickness pipeline (Dale et al., 1999), which corroborated our finding that gray matter volume declines throughout gestation (e.g., successful internal replication). This pattern of results not only held across software packages, but also brain parcellations (e.g., Schaefer 400-cortical atlas and Desikan-Killiany cortical atlas).\n\nRandomization\n\nThis was an observational study design, and therefore not randomized.\n\nBlinding\n\nFor medial temporal lobe segmentation, scans were randomized and segmentation was performed in a random order, blind to pregnancy stage. No other blinding was applicable, given the observational study of brain changes in response to advancing gestational week.\n\n## Reporting for specific materials, systems and methods", - "page_start": 14, - "page_end": 14, - "source_file": "pubmed4.pdf" - }, - { - "text": "Table 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)-Generated and Physician-Written\n\n| | LLM-generated | LLM-generated | LLM-generated | LLM-generated | LLM-generated | LLM-generated | Physician-written | Physician-written | Physician-written | Physician-written | Physician-written | Physician-written |\n|--------------|-----------------|------------------------------|------------------------------|------------------------------|------------------------------|------------------------------|---------------------|------------------------------|------------------------------|------------------------------|------------------------------|------------------------------|\n| | | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a | Likert rating 1-5, No. (%) a |\n| Criteria | Mean score (SD) | 1 | 2 | 3 | 4 | 5 | Mean score (SD) | 1 | 2 | 3 | 4 | 5 |\n| Completeness | 4.00 (0.88) | 0 | 12 (8) | 31 (20.7) | 69 (46) | 38 (25.3) | 4.16 (0.84) | 0 | 3 (2) | 31 (20.7) | 48 (32) | 68 (45.3) |\n| Curation | 4.24 (0.58) | 0 | 1 (0.7) | 13 (8.7) | 85 (56.7) | 51 (34) | 4.76 (0.48) | 0 | 0 | 6 (4) | 39 (26) | 105 (70) |\n| Readability | 4.00 (0.64) | 0 | 8 (5.3) | 17 (11.3) | 87 (58) | 38 (25.3) | 4.64 (0.49) | 0 | 0 | 5 (3.3) | 38 (25.3) | 107 (71.3) |\n| Correctness | 4.52 (0.64) | 0 | 0 | 13 (8.7) | 39 (26) | 98 (65.3) | 4.90 (0.39) | 0 | 0 | 2 (1.3) | 12 (8) | 136 (90.7) |\n| Usefulness | 4.04 (0.86) | 0 | 12 (8) | 30 (20) | 59 (39.3) | 49 (32.7) | 4.36 (0.71) | 0 | 5 (3.3) | 13 (8.7) | 53 (35.3) | 79 (52.7) |\n\n - a Likert scores and score distributions over 50 notes for 3 annotators. There are no 1 ratings for either physician or LLM summaries in the 150 evaluation results.\n\nTable 4. Mean Clinical Safety Evaluation, Large Language Model (LLM)-Generated and Physician-Written", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "- 7. -(1) For the purposes of paragraph 6(1)(b)(iii), a private provider complies with this paragraph where-\n - (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 2 test;\n - (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;\n - (c) they have provided the Department of Health and Social Care with a list of all organisations that they work with (whether by sub-contract or otherwise) to carry out the testing service or to carry out genomic sequencing, indicating the nature of the service that each organisation is providing, and kept that list updated as appropriate;\n - (d) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the taking of samples;", - "page_start": 61, - "page_end": 61, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (c) they have provided the Department of Health and Social Care with a list of all organisations that they work with (whether by sub-contract or otherwise) to carry out the testing service or to carry out genomic sequencing, indicating the nature of the service that each organisation is providing and kept that list updated as appropriate;\n - (d) in relation to a test which requires laboratory processing-\n - (i) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the taking of samples, and\n - (ii) the laboratory used by the test provider for the processing of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the processing of samples;\n - (e) in relation to a point of care test, they meet the relevant requirements for accreditation to ISO Standard 15189 and ISO standard 22870;\n - (f) they receive the information required by paragraph 10(3) or (4) (as appropriate), and if they administer the test to P, they do so no earlier than the end of the seventh day after the day on which P arrived in England;\n - (g) each day, they notify the Secretary of State in writing of-", - "page_start": 63, - "page_end": 63, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (b) B undertook a day 2 test that generated a positive result.\n - (4) Subject to paragraph 4, where P's day 2 test and day 8 test both generate a negative result, P must continue to self-isolate in accordance with the relevant self-isolation provisions until the later of-\n - (a) the end of the default self-isolation period;\n - (b) the day on which P receives the result of their day 8 test.\n - (5) Where a mandatory test undertaken by P generates an inconclusive result P must continue to self-isolate in accordance with the relevant self-isolation provisions-\n - (a) until the end of the 10th day after the day P undertook the test;\n - (b) where P undertakes a test to which sub-paragraph (7) applies and the test generates a negative result, until the later of-\n - (i) the end of the default self-isolation period,", - "page_start": 59, - "page_end": 59, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "PLAW-116publ30.pdf", - "query": "When take effect the Fairness For Breastfeeding Mothers Act ?", - "target_page": 2, - "target_passage": "The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. ", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "\n\ndkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014\n\n15:46 Aug 08, 2019\n\nJkt 089139\n\nPO 00030\n\nFrm 00001\n\nFmt 6580\n\nSfmt 6581\n\nE:\\PUBLAW\\PUBL030.116\n\nPUBL030\n\nPublic Law 116-30 116th Congress\n\n## An Act\n\nTo provide a lactation room in public buildings.\n\nBe it enacted by the Senate and House of Representatives of the United States of America in Congress assembled,\n\n## SECTION 1. SHORT TITLE.\n\nThis Act may be cited as the ''Fairness For Breastfeeding Mothers Act of 2019''.\n\n## SEC. 2. LACTATION ROOM IN PUBLIC BUILDINGS.\n\n(a) LACTATION ROOM IN PUBLIC BUILDINGS.-Chapter 33 of title 40, United States Code, is amended by adding at the end the following new section:\n\n## ''§ 3318. Lactation room in public buildings\n\n''(a) DEFINITIONS.-In this section:\n\n''(1) APPROPRIATE AUTHORITY.-The term 'appropriate authority' means the head of a Federal agency, the Architect of the Capitol, or other official authority responsible for the operation of a public building.\n\n''(2) COVERED PUBLIC BUILDING.-The term 'covered public building' means a public building (as defined in section 3301) that is open to the public and contains a public restroom, and includes a building listed in section 6301 or 5101.\n\n''(3) LACTATION ROOM.-The term 'lactation room' means a hygienic place, other than a bathroom, that-\n\n''(A) is shielded from view;\n\n''(B) is free from intrusion; and\n\n''(C) contains a chair, a working surface, and, if the public building is otherwise supplied with electricity, an electrical outlet.\n\n''(b) LACTATION ROOM REQUIRED.-Except as provided in subsection (c), the appropriate authority of a covered public building shall ensure that the building contains a lactation room that is made available for use by members of the public to express breast milk.\n\n''(c) EXCEPTIONS.-A covered public building may be excluded from the requirement in subsection (b) at the discretion of the appropriate authority if-\n\n''(1) the public building-\n\n''(A) does not contain a lactation room for employees who work in the building; and\n\n''(B) does not have a room that could be repurposed as a lactation room or a space that could be made private using portable materials, at a reasonable cost; or\n\nJuly 25, 2019\n\n[H.R. 866]\n\nFairness For Breastfeeding Mothers Act of 2019. 40 USC 101 note.\n\n40 USC 3318.", - "page_start": 0, - "page_end": 0, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "dkrause on DSKBC28HB2PROD with PUBLAWS\n\nVerDate Sep 11 2014\n\n15:46 Aug 08, 2019\n\nJkt 089139\n\nPO 00030\n\nFrm 00002\n\nFmt 6580\n\nSfmt 6580\n\nE:\\PUBLAW\\PUBL030.116\n\nPUBL030\n\n''(2) new construction would be required to create a lactation room in the public building and the cost of such construction is unfeasible.\n\n''(d) NO UNAUTHORIZED ENTRY.-Nothing in this section shall be construed to authorize an individual to enter a public building or portion thereof that the individual is not otherwise authorized to enter.''.\n\n(b) CLERICAL AMENDMENT.-The table of sections at the beginning of chapter 33 of title 40, United States Code, is amended by inserting after the item related to section 3316 the following new item:\n\n40 USC 3301 prec.\n\n''3318. Lactation room in public buildings.''.\n\n(c) EFFECTIVE DATE.-The amendments made by this section shall take effect 1 year after the date of the enactment of this Act. 40 USC 3318 note.\n\nApproved July 25, 2019.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "PLAW-116publ30.pdf" - }, - { - "text": "## 115. P ensions law s and protection of pensions rights\n\n - (1) The law to be applied w ith respect to any pensions benefits that w ere granted to any person before the com ing into operation of this C onstitution shall be the law that w as in force at the date on w hich those benefits w ere granted or any law in force at a later date that is not less favourable to that person.\n - (2) The law to be applied w ith respect to any pensions benefits (not being benefits to w hich subsection (1) of this section applies) shall-\n - ( a ) in so far as those benefits are w holly in respect of a period of service as a public officer that com m enced before the date on w hich this C onstitution com es into operation, be the law that w as in force im m ediately before that date; and\n - ( b ) in so far as those benefits are w holly or partly in respect of a period of service as a public officer that com m enced after the date on w hich this C onstitution com es into operation, be the law in force on the date on w hich that period of service com m enced,\n\nor any law in force at a later date that is not less favourable to that person.", - "page_start": 49, - "page_end": 49, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 89. A lteration of C onstitution\n\n - (1) S ubject to the provisions of this section P arliam ent m ay alter this C onstitution.\n - (2) A B ill for an A ct of P arliam ent under this section shall not be introduced into the N ational A ssem bly unless the text of the B ill has been published in the G azette not less than 30 days before it is so introduced.\n - (3) In so far as it alters any of the provisions of-\n - ( a ) C hapter II; sections 30 to 44 inclusive, 47 to 51 inclusive, and 56; sections 77 to 79 inclusive and section 85; C hapter V II; or sections 117 to 120 inclusive and section 127 in its application to any of the provisions m entioned in this paragraph;\n - ( b ) sections 57, 63 to 66 inclusive, 86 to 89 inclusive, 90(2) and (3), 91(2), (3), (4) and (5), and 92; C hapter V I; and section 127 in its application to any of the provisions m entioned in this paragraph,\n\na B ill for an A ct of P arliam ent under this section shall not be passed by the N ational Assem bly unless-", - "page_start": 38, - "page_end": 38, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- (6) N o law m ade by P arliam ent shall com e into operation until it has been published in the G azette , but P arliam ent m ay postpone the com ing into operation of any such law and m ay m ake law s w ith retrospective effect.\n - (7) A ll law s m ade by P arliam ent shall be styled \"A cts\" and the w ords of enactm ent shall be \"enacted by the P arliam ent of B otsw ana\".", - "page_start": 37, - "page_end": 37, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 18. Enforcem ent of protective provisions\n\n - (1) S ubject to the provisions of subsection (5) of this section, if any person alleges that any of the provisions of sections 3 to 16 (inclusive) of this C onstitution has been, is being or is likely to be contravened in relation to him or her, then, w ithout prejudice to any other action w ith respect to the sam e m atter w hich is law fully available, that person m ay apply to the H igh C ourt for redress.\n - (2) The H igh C ourt shall have original jurisdiction-\n - ( a ) to hear and determ ine any application m ade by any person in pursuance of subsection (1) of this section; or\n - ( b ) to determ ine any question arising in the case of any person w hich is referred to it in pursuance of subsection (3) of this section,\n\nand m ay m ake such orders, issue such w rits and give such direction as it m ay consider appropriate for the purpose of enforcing or securing the enforcem ent of any of the", - "page_start": 14, - "page_end": 14, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## Consumer Laws and Regulations\n\nWe are also subject to certain consumer laws and regulations that are designed to protect consumers in transactions with banks. While the following list is not exhaustive, these laws and regulations include the Truth in Lending Act, the Truth in Savings Act, the Electronic Funds Transfer Act, the Expedited Funds Availability Act, the Equal Credit Opportunity Act, and the Fair Housing Act, among others. These laws and regulations among other things prohibit discrimination on the basis of race, gender or other designated characteristics and mandate various disclosure requirements and regulate the manner in which financial institutions must deal with customers when taking deposits or making loans to such customers. These and other laws also limit finance charges or other fees or charges earned in our activities. We must comply with the applicable provisions of these consumer protection laws and regulations as part of our ongoing customer relations.\n\n## Technology Risk Management and Consumer Privacy\n\nState and federal banking regulators have issued various policy statements emphasizing the importance of technology risk management and supervision in evaluating the safety and soundness of depository institutions with respect to banks that contract with outside vendors to provide data processing and core banking functions. The use of technology-related products, services, delivery channels and processes expose a bank to various risks, particularly operational, privacy, security, strategic, reputation and compliance risk. Banks are generally expected to prudently manage technology-related risks as part of their comprehensive risk management policies by identifying, measuring, monitoring and controlling risks associated with the use of technology.\n\nUnder Section 501 of the Gramm-Leach-Bliley Act, the federal banking agencies have established appropriate standards for financial institutions regarding the implementation of safeguards to ensure the security and confidentiality of customer records and information, protection against any anticipated threats or hazards to the security or integrity of such records and protection against unauthorized access to or use of such records or information in a way that could result in substantial harm or inconvenience to a customer. Among other matters, the rules require each bank to implement a comprehensive written information security program that includes administrative, technical and physical safeguards relating to customer information.\n\nUnder the Gramm-Leach-Bliley Act, a financial institution must also provide its customers with a notice of privacy policies and practices. Section 502 prohibits a financial institution from disclosing nonpublic personal information about a consumer to nonaffiliated third parties unless the institution satisfies various notice and opt-out requirements and the customer has not elected to opt out of the disclosure. Under Section 504, the agencies are authorized to issue regulations as necessary to implement notice requirements and restrictions on a financial institution's ability to disclose nonpublic personal information about consumers to nonaffiliated third parties. Under the final rule the regulators adopted, all banks must develop initial and annual privacy notices which describe in general terms the bank's information sharing practices. Banks that share nonpublic personal information about customers with nonaffiliated third parties must also provide customers with an opt-out notice and a reasonable period of time for the customer to opt out of any such disclosure (with certain exceptions). Limitations are placed on the extent to which a bank can disclose an account number or access code for credit card, deposit, or transaction accounts to any nonaffiliated third party for use in marketing.\n\n## Monetary Policy", - "page_start": 37, - "page_end": 37, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "## 16. D erogation from fundam ental rights and freedom s\n\n - (1) N othing contained in or done under the authority of any law shall be held to be inconsistent w ith or in contravention of section 5 or 15 of this C onstitution to the extent that the law authorizes the taking during any period w hen B otsw ana is at w ar or any period w hen a declaration under section 17 of this C onstitution is in force, of m easures that are reasonably justifiable for the purpose of dealing w ith the situation that exists during that period.\n - (2) W here a person is detained by virtue of such an authorization as is referred to in subsection (1) of this section the follow ing provisions shall apply-\n - ( a ) he or she shall, as soon as reasonably practicable and in any case not m ore than five days after the com m encem ent of his or her detention, be furnished w ith a statem ent in w riting in a language that he or she understands specifying in detail the grounds upon w hich he or she is detained;\n - ( b ) not m ore than 14 days after the com m encem ent of his or her detention, a notification shall be published in the G azette stating that he or she has been detained and giving particulars of the provision of law under w hich his or her", - "page_start": 13, - "page_end": 13, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 116. P ow er of C om m issions in relation to pensions, etc.\n\n - (1) W here under any law any person or authority has a discretion-\n - ( a ) to decide w hether or not any pensions benefits shall be granted; or\n - ( b ) to w ithhold, reduce in am ount or suspend any such benefits that have been granted,\n\nthose benefits shall be granted and m ay not be w ithheld, reduced in am ount or suspended unless the appropriate C om m ission concurs in the refusal to grant the benefits or, as the case m ay be, in the decision to w ithhold them , reduce them in am ount or suspend them .", - "page_start": 50, - "page_end": 50, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- ( b ) proceed upon any m otion (including any am endm ent to a m otion) the effect of w hich, in the opinion of the person presiding, w ould be to m ake provision for any of those purposes.\n - (2) The N ational A ssem bly shall not proceed upon any B ill (including any am endm ent to a B ill) that, in the opinion of the person presiding, w ould, if enacted, alter", - "page_start": 37, - "page_end": 37, - "source_file": "Botswana-constitution.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When is it not necessary to review an EHC plan ?", - "target_page": 3, - "target_passage": " It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "- (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 10. In regulation 13(3) (timescales for EHC plans), for '(d)' substitute '(e)'.\n - 11. After regulation 18 (circumstances in which a local authority must review an EHC plan) insert-\n\n## ' Circumstances in which it is not necessary to review an EHC plan\n\n - 18A. -(1) It is not necessary for a local authority to review an EHC plan in accordance with section 44(1) of the Act if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.\n - (2) Where paragraph (1) applies, a local authority must instead conduct such reviews as soon as reasonably practicable.'.\n - 12. In regulation 22 (amending an EHC plan following a review), after paragraph (5) insert-\n - '(6) The local authority need not comply with the time limit referred to in paragraphs (3) and (4) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 13. In regulation 27(3) (amending or replacing an EHC plan following a re-assessment)-\n - (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 14. In regulation 45 (unopposed appeals), after paragraph (7) insert-\n\n'(8) The local authority need not comply with the time limits specified in paragraph (3A) if it is impractical to do so because the circumstances referred to in regulation 10(4)(e) apply.'.\n\n## Amendment of the Special Educational Needs (Personal Budgets) Regulations 2014\n\n15. The Special Educational Needs (Personal Budgets) Regulations 2014( a ) are amended as follows.\n\n - 16. In regulation 2 (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 17. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time period due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, the requirement for the local authority to review the making and use of direct payments within the first three months of them being made in regulation 11(2)(a) (monitoring and review of direct payments) is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n - (b) regulation 16(2) and (3) (change of responsible commissioning body);\n - (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n - (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n - (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n - (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n - (g) regulation 33 (requirement to consider mediation);\n - (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n - (i) regulation 35(2), (3) and (4) (mediation - health care issues);\n - (j) regulation 36(2) (mediation - no health care issues);\n - (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n - (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n - (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n - (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n - (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n - (p) regulation 56(3) (publication of comments on the local offer).'.\n - 6. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)-\n - (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 8. In regulation 8(2) (duty to co-operate in EHC needs assessments)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 9. In regulation 10(4) (decision not to secure an EHC plan)-", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- 21 . Singleton JM, Sanchez LD, Masser BA, Reich B. Efficiency of electronic signout for ED-to-inpatient admission at a non-teaching hospital. Intern Emerg Med . 2018;13(7):1105-1110. doi:10.1007/s11739-018-1816-z\n - 22 . Downing NL, Bates DW, Longhurst CA. Physician burnout in the electronic health record era: are we ignoring the real cause? Ann Intern Med . 2018;169(1):50-51. doi:10.7326/M18-0139\n - 23 . Pivovarov R, Elhadad N. Automated methods for the summarization of electronic health records. JAmMed Inform Assoc . 2015;22(5):938-947. doi:10.1093/jamia/ocv032\n - 24 . Hartman VC, Bapat SS, Weiner MG, Navi BB, Sholle ET, Campion TR Jr. A method to automate the discharge summary hospital course for neurology patients. J Am Med Inform Assoc . 2023;30(12):1995-2003. doi:10.1093/ jamia/ocad177\n - 25 . Zhang Y, Merck D, Tsai EB, Manning CD, Langlotz CP. Optimizing the factual correctness of a summary: a study of summarizing radiology reports. arXiv . Preprint posted online November 6, 2019. doi:10.48550/arXiv.1911.02541\n - 26 . Mukherjee S, Gamble P, Ausin MS, et al. Polaris: a safety-focused LLM constellation architecture for healthcare. arXiv . Preprint posted online March 20, 2024. doi:10.48550/arXiv.2403.13313\n - 27 . Hegselmann S, Shen SZ, Gierse F, Agrawal M, Sontag D, Jiang X. A data-centric approach to generate faithful and high quality patient summaries with large language models. arXiv . Preprint posted online February 23, 2024. doi:10.48550/arXiv.2402.15422\n - 28 . Krishna K, Khosla S, Bigham JP, Lipton ZC. Generating SOAP Notes from Doctor-Patient Conversations Using Modular Summarization Techniques. In: Proceedings of the 59th Annual Meeting of the Association for Computational Linguistics and the 11th International Joint Conference on Natural Language Processing (Volume 1: Long Papers); 2021. Accessed October 23, 2024. https://aclanthology.org/2021.acl-long.0/\n - 29 . Ayers JW, Poliak A, Dredze M, et al. Comparing physician and artificial intelligence chatbot responses to patient questions posted to a public social media forum. JAMAIntern Med . 2023;183(6):589-596. doi:10.1001/ jamainternmed.2023.1838\n - 30 . Williams CY, Bains J, Tang T, et al. Evaluating large language models for drafting emergency department discharge summaries. medRxiv . Preprint posted online April 4, 2024. doi:10.1101/2024.04.03.24305088\n - 31 . Cao Z, Wei F, Li W, Li S. Faithful to the original: fact aware neural abstractive summarization. In: Proceedings of the AAAI Conference on Artificial Intelligence April 26, 2018; New Orleans, LA. Accessed October 23, 2024. https:// aaai.org/proceeding/01-thirty-second-aaai-conference-on-artificial-intelligence-2018/\n - 32 . Singhal K, Tu T, Gottweis J, et al. Towards expert-level medical question answering with large language models. arXiv . Preprint posted online May 16, 2023. doi:10.48550/arXiv.2305.09617\n - 33 . WangG, Yang G, Du Z, Fan L, Li X. ClinicalGPT: large language models finetuned with diverse medical data and comprehensive evaluation. arXiv . Preprint posted online June 16, 2023. doi:10.48550/arXiv.2306.09968\n - 34 . Shing HC, Shivade C, Pourdamghani N, et al. Towards clinical encounter summarization: learning to compose discharge summaries from prior notes. arXiv . Preprint posted online April 27, 2021. doi:10.48550/arXiv. 2104.13498\n - 35 . Van Veen D, Van Uden C, Blankemeier L, et al. Adapted large language models can outperform medical experts in clinical text summarization. Nat Med . 2024;30(4):1134-1142. doi:10.1038/s41591-024-02855-5\n - 36 . Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit Med . 2023;6(1):158. doi:10.1038/s41746-023-00896-7", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed8.pdf" - }, - { - "text": "evaluation frameworks may not address the anticipated effect LLM performance limitations could have on patient safety. 38-41\n\nIn this study, we aim to expand on prior work of clinical summarization to rigorously evaluate the outcomes of a fine-tuned model developed to generate accurate and safe summaries of the care rendered during an ED visit, with the long-term goal of integrating automated, structured EM-to-IP handoff notes into an EHR-based electronic handoff admission workflow (see eAppendix 1 in Supplement 1). We fine-tune pretrained LLMs on well curated datasets of structured and unstructured EHR data from the ED encounter to summarize the patient's ED care. We improved the correctness of model generations and customized the summaries in a structured format designed by a team of EM and internal medicine physician leaders for optimal usefulness. We proposed a novel patient safety-focused LLM evaluation framework to examine the LLM-generated handoff notes' quality and accuracy and the downstream patient safety implications of any identified inaccuracies. To evaluate noninferiority, we compared the LLM-generated handoff notes with the preexisting physician-written EM-to-IP handoff notes as the active control, using both the proposed patient safety-focused clinical evaluation framework and automated benchmark-driven methods. We used the physician-written EM-to-IP handoff notes as the active control and used the scores from both evaluation frameworks for the margin of inferiority of the intervention.\n\n## Methods\n\n## Data Collection\n\nThe study, with review and approval from the Weill Cornell institutional review board (IRB), was conducted at an urban academic 840-bed quaternary-care hospital in New York City, with approximately 71 000 adult ED visits and 21 000 admissions annually. EHR data from 1600 individual EM patient encounters leading to acute hospital admission were randomly selected from visits occurring between April and September of 2023. We limited our analysis to EM patient encounters occurring after April 2023, as the study site had updated the EM-handoff at that time. Encounters before this date used an earlier version of the EM-handoff note that would have provided suboptimal data for training labels. We used these data to fine-tune a pretrained LLM, which then generated an abstractive EM-handoff note. For the 1600 patient encounters (the study participants), Weill Cornell Medicine IRB approved a waiver of informed consent because the study used retrospective data and posed minimal risk to patients. We used Strengthening the Reporting of Observational Studies in Epidemiology (STROBE) reporting guidelines.\n\n## EM-to-IP Handoff Note Template\n\nThe EM-to-IP handoff note template used in the study is a replication of the current manual handoff note structure used at the study site. The generated EM handoff note consists of components generated by a rule-based pattern-matching approach (laboratory tests, vitals, medications, consult orders, and radiology impressions) and components generated by the trained abstractive summarization model (history of present illness [HPI], differential diagnoses, immediate care plans, in-ED events, and disposition). Each summary also included a header with the timestamp of ED triage and discharge, patient's birth date, patient's unique identifier, patient's encounter number, and the total time of patient's stay in the ED.\n\n## Data Curation for Automated ED Note Generation", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed8.pdf" - }, - { - "text": "curation (4.24 [0.58] vs 4.76 [0.48]), readability (4.00 [0.64] vs 4.64 [0.49]), correctness (4.52 [0.64] vs 4.90 [0.39]), and patient safety (4.06 [0.86] vs 4.50 [0.56]).\n\nIn extrapolating the estimated worst-case scenario impact of these performance gaps on patient safety, the 3 expert clinicians determined none of the identified model performance issues were anticipated to create a level 1 (life-threatening) safety event (see examples of worst case scenarios in eTable 2 in Supplement 1). While the incompleteness and faulty logic identified in the automated summaries received mean (SD) safety scores of 4.20 (0.93) and 4.60 (0.75), respectively; 13 (8.7%) and 11 (7.3%) of these events, respectively, were determined to have the potential to create a level 2 patient safety event following EM-to-IP handoff, substantially higher compared with the physician-written summaries (0%). All of the 5 hallucinations had patient safety scores between 4 and 5 and a mean (SD) score of 4.96 (0.14), which is defined as the hallucinations posing mild to no patient safety risk. LLM-generated notes demonstrated a higher rate of incorrectness (9.6%) compared with the physician-written notes (2.0%), although very few hallucinations.\n\nICC were 0.79 for completeness, 0.70 for curation, 0.59 for readability, 0.76 for correctness, and 0.74 for usefulness. These numbers suggest good reliability of agreement for completeness, curation, correctness, and usefulness and suggest fair reliability for readability among the 3 raters.\n\n## Discussion\n\nThe study demonstrated success in generating EM-to-IP handoff notes using both a fine tuned, pretrained LLM and rule-based approaches within an end user-developed note template. It is important to note that (largely due to time constraints within the EM care delivery model) the performance of EM-to-IP handoff notes was not the current standard of care in EM. The study site's unique electronic handoff process enabled a comparison between physician-written and LLM-generated handoff notes. Traditional automated evaluations of the model output suggested\n\nTable 3. Mean Clinical Quality Evaluation, Large Language Model (LLM)-Generated and Physician-Written", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed8.pdf" - }, - { - "text": "records and perform manual comparative evaluations of 50 LLM-generated and 50 cliniciangenerated summary notes within the context of complex ED encounters. This approach is unlikely scalable, invoking complex postimplementation governance questions that remain unanswered in the medical literature and invoke the need for future research focused on the possibility of AI performing the clinical evaluations. 56 Lastly, the relatively infrequent but potentially significant patient safety implications of model output incorrectness and incompleteness warrants further model refinement and repeat clinical evaluation, as described in the eAppendix 1 in Supplement 1 overview of our rigorous preimplementation model development and testing framework.\n\n## Conclusions\n\nThis study's results suggest promise for future thoughtful integration of LLM-generated EM-to-IP handoff notes into clinical admission workflows, as well as the associated potential downstream quality and efficiency gains. Our novel clinical evaluation framework demonstrates an effective preimplementation strategy to measure potential patient safety implications of incorrectness identified in LLM-generated clinical care summaries, which will guide future model refinement and implementation strategies. In the absence of a current written standard of care in EM, this innovation could represent a transformative advancement in the quality of EM-to-IP transitions of care.\n\n## ARTICLEINFORMATION\n\nAccepted for Publication: October 7, 2024.\n\nPublished: December 3, 2024. doi:10.1001/jamanetworkopen.2024.48723\n\nOpenAccess: This is an open access article distributed under the terms of the CC-BY License. © 2024 Hartman V et al. JAMANetwork Open .\n\nCorresponding Author: Vince Hartman, MS, Abstractive Health, 333 E 56 St, Apt 7N, New York, NY 10022 (vince @abstractivehealth.com).\n\nAuthor Affiliations: Abstractive Health, New York, New York (Hartman, Zhang, Poddar); Department of Emergency Medicine, NewYork-Presbyterian/Weill Cornell Medicine, New York (McCarty, Fortenko, Sharma, Steel); Department of Population Health, NewYork-Presbyterian/Weill Cornell Medicine, New York (Sholle, Campion); Clinical and Translational Science Center, Weill Cornell Medicine, New York, New York (Campion).\n\nAuthor Contributions: Mr Hartman and Dr Zhang had full access to all of the data in the study and take responsibility for the integrity of the data and the accuracy of the data analysis.\n\nConcept and design: Hartman, Zhang, Poddar, McCarty, Fortenko, Campion, Steel.\n\nAcquisition, analysis, or interpretation of data: All authors.\n\nDrafting of the manuscript: Hartman, Zhang, Poddar, McCarty, Campion, Steel.\n\nCritical review of the manuscript for important intellectual content: All authors.\n\nStatistical analysis: Hartman, Zhang, Poddar, Sholle.\n\nObtained funding: Hartman, Campion.\n\nAdministrative, technical, or material support: Hartman, Zhang, Poddar, Sholle, Sharma, Campion, Steel.\n\nSupervision: Zhang, Poddar, McCarty, Sharma, Campion, Steel.\n\nConflict of Interest Disclosures: Dr Hartman reported holding equity in Abstractive Health during the conduct of the study and holding a patent for automated summarization of a hospital stay using machine learning issued to Abstractive Health. No other disclosures were reported.\n\nFunding/Support: Our research received support from NewYork-Presbyterian and Weill Cornell Medicine, including the Joint Clinical Trials Office and Clinical and Translational Science Center (grant No. UL1TR002384).\n\nRole of the Funder/Sponsor: The funder had no role in the design and conduct of the study; collection, management, analysis, and interpretation of the data; preparation, review, or approval of the manuscript; and decision to submit the manuscript for publication.\n\nData Sharing Statement: See Supplement 2.\n\n\n\n(Reprinted)", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed8.pdf" - }, - { - "text": "superior performance. However, while the manual clinical evaluation demonstrated the majority of the LLM-generated notes were of promising comparative quality (scores of 4-5), they were, on average, inferior to the clinician-written notes.\n\nOur novel clinical evaluation's findings suggest the majority of identified quality limitations and incorrectness would have minimal impact on patient safety, even when extrapolated to the worstcase scenario of the LLM-generated summary content not being reviewed and edited by a clinician before completion. This was designed to address contemporary LLM concerns of user trust, reliance and expertise. 49 As such, none of the incorrect output text elements reached life-threatening risk. However, incompleteness and faulty logic identified in the automated summaries were not always negligible, with just under 1 in 10 of these performance gaps determined to have the potential to create significant patient safety risk compared with the physician-written summaries. These critical implementation safety findings will inform (1) directionality of further model refinement; (2) further clinical evaluation of postrefinement model output; and (3) irrespective of downstream model performance, an EHR-implementation plan constrained to a user-interface design that will allow EM clinicians to review and edit the LLM-generated handoff note as a draft before finalizing (see eAppendix 1 in Supplement 1). This physician-in-the-loop process has also been identified as critical in other recent work implementing LLMs into clinical workflows. 29,53\n\nWhile the automated methods of SCALE and MPNet-based sentence transformers demonstrated a cursory view of the faithfulness performance of the models, the clinical evaluation provided the nuanced context of the true factuality of our system on a word by word level. When comparing with the source notes, the automatic evaluations rewarded the summaries with more details, more semantic similarities, and more entailment logics, while physician-written notes tended to be more concise with more shortcuts and clinical jargon, which are penalized by automatic evaluation metrics. In addition, LLM-generated summaries are completely based on the source notes, while physician-written summaries are often composed with additional knowledge that cannot be found from the source notes.\n\nThe divergence of the automated and clinical evaluation results of an LLM intended for integration into a critical clinical workflow is an important finding. First, this observed finding validates the importance of clinical evaluations in addition to conventional automated evaluations to determine accuracy. 54 While other LLM clinical evaluation frameworks have been described to measure conventional model output quality categories (such as incorrectness domains and other performance gaps), 30,35 to our knowledge, our novel framework is the first to incorporate anticipated patient safety implications for each individual category deficiency.\n\n## Limitations\n\nThere were several limitations to the study that were primarily driven from constraints of infrastructure, as well as regulations, legal governance, and labor requirements. At the study location, the data were required to remain on premise at all times and the infrastructure that was provided had a GPU limitation of 24 GB. Given these infrastructure restrictions, the best open-source model available during the study was LLM 2. Furthermore, we were not able to demonstrate the comparable difference between our fine-tuned LLM 2 model and third party LLMs 32,55 because of the study location's restrictions and concerns with the data retention policies. Nevertheless, our study demonstrates the potential capability of integrating state-of-the-art open source LLMs at organizations that are less open to integrating third-party LLMs.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed8.pdf" - }, - { - "text": "The decision about what is a critical fix is subjective and requires judgment, which is exercised by the development team. As a result, clients might still encounter bugs in code that were not deemed critical. They continue to review information about new code levels to determine whether they must update, even without a critical fix notification.", - "page_start": 722, - "page_end": 722, - "source_file": "sg247938.pdf" - }, - { - "text": "subsequently evaluated 2 ED-to-inpatient handoff notes for each patient: (1) the physician-written note and (2) the LLM-generated note.\n\nOnaLikert scale of 1 to 5, where 1 is unacceptable and 5 is excellent, the 3 physicians rated the completeness, curation, readability, and correctness of the summary as shown in eTable 1 in Supplement 1. Physicians rated the usefulness of the summary, defined as the capability of the summary being incorporated into a workflow where a physician would make edits before final completion, mitigating potential future self-referential learning loops and the downstream adverse consequences. 51 Likewise, the raters assessed potential patient safety implications of unmitigated model errors using a scale from 1 to 5, where 1 denotes life-threatening risks and 5 denotes no identified patient safety risk for completeness, curation, readability, and the 4 subcategories within correctness (hallucination, faulty logic, knowledge gap, and bias), as well as the overall patient safety risk. 45 Evaluators arrived at prestudy consensus that a usefulness Likert score of at least a 3 out of 5 indicated that the LLM-generated summary likely demonstrated baseline acceptability for such a workflow. To extrapolate a theoretical worst case scenario, the physicians rated the safety of the LLM-generated summary as defined as the capability of the summary to fully replace a physicianwritten note (unmitigated).\n\nTo improve consistency and agreement, the 3 reviewers met to familiarize themselves with the framework and evaluated 10 separate cases from the test dataset that were not included in the clinical evaluation results. Additionally, after independently scoring the summaries, they met to ensure consensus interpretation of the multidimensional scoring framework. Interrater reliability was calculated using intraclass correlation coefficient (ICC), using a 2-way random effects model for consistency with the Pingouin statistical package version 0.5.4 in Python (Python Software Foundation). The ICC measures the similarity of the 3 raters to confirm the consistency and validity of the evaluation protocol; the scores are from 0 to 1, where 1 indicates unanimous agreement and 0 represents no agreement. 52 Data were analyzed from October 2023 to March 2024.\n\n## Results\n\n## AutomatedTasks\n\nOf 1600 patients, the mean (SD) age was 59.8 (18.9) years and 832 (52%) were female. In Table 2 , ROUGE and BERTScore compare the summaries with the testing set from our annotations, and SCALE score compares the summaries with the source notes. From automatic evaluation results, we observed that LLM-generated summaries had better scores than the physician summaries, such that ROUGE-2 was 0.322 vs 0.088, BERT-precision was 0.859 vs 0.796, and SCALE was 0.691 vs 0.456, suggesting the LLM-generated summaries were more similar and more detailed than the physician summaries.\n\n## Clinical Evaluation Tasks\n\nThe clinical evaluation results for LLM-generated summaries and physician-written summaries are shown in Table 3 and Table 4 . The mean clinical quality scores of the automated summaries are in a comparable range (4-5) to those of the physician summaries. However, the automated summaries were observed to be of lower quality compared with the physician-written summaries with regards to mean (SD) usefulness (4.04 [0.85] vs 4.36 [0.71]), completeness (4.00 [0.88] vs 4.16 [0.84]),\n\nTable 2. Automated Evaluation Scores, Large Language Model (LLM)-Generated and Physician-Written\n\n| Summary type | R-1 a | R-2 a | R-L a | BERT-p | BERT-r | SCALE |\n|-------------------|---------|---------|---------|----------|----------|---------|\n| LLM-generated | 0.494 | 0.322 | 0.391 | 0.859 | 0.876 | 0.691 |\n| Physician-written | 0.251 | 0.088 | 0.154 | 0.796 | 0.827 | 0.456 |", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed8.pdf" - }, - { - "text": "- 7. -(1) For the purposes of paragraph 6(1)(b)(iii), a private provider complies with this paragraph where-\n - (a) they comply with the requirements of paragraph 3(1)(a) and (e) to (h) of Schedule 10 as if any reference in those provisions to an appropriate test were a reference to a day 2 test;\n - (b) if the provider is a laboratory that conducts diagnostic test evaluation for testing in accordance with this Schedule, they have made a declaration to the Department of Health and Social Care that they meet the minimum standards for private sector-provided testing at https://support-covid-19-testing.dhsc.gov.uk/InternationalTesting;\n - (c) they have provided the Department of Health and Social Care with a list of all organisations that they work with (whether by sub-contract or otherwise) to carry out the testing service or to carry out genomic sequencing, indicating the nature of the service that each organisation is providing, and kept that list updated as appropriate;\n - (d) the person responsible for the taking of samples meets the relevant requirements for accreditation to ISO standard 15189 or ISO/IEC standard 17025 in respect of the taking of samples;", - "page_start": 61, - "page_end": 61, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "Give me some info about the scroll bars in excel", - "target_page": 6, - "target_passage": "Appear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## NAVIGATING IN A FILE\n\nArrow Keys\n\nMove one cell to the right, left, up or down\n\nTab\n\nMove once cell to the right\n\nCtrl+Home\n\nTo beginning file\n\nCtrl+End\n\nTo end of typed information\n\nHome\n\nBeginning of a line\n\nEnd\n\nEnd of a line\n\nPage Down\n\nDown one screen\n\nPage Up\n\nUp one screen\n\nF5\n\nTo a specific page\n\nScroll bars\n\nAppear at the right and on the bottom of the screen. You may click the scroll arrows, drag the scroll box or click the scroll bar to move through the document.", - "page_start": 5, - "page_end": 5, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## SELECTING COLUMNS\n\nIf you want to make changes to an entire column , such as bolding all of the headings in a column or changing the font of all the cell entries, you must first select the column. This is done by\n\nclicking on the column header directly above the column. Remember that any changes you make will apply to every cell in the column all the way down to row 1,048,576!\n\n## Try This Yourself:\n\n\n\n - Sa m e File file with this exercise, or open the file E705 Ranges\\_1.xlsx...\n\nContinue using the previous\n\n -  Press + to make cell A1 the active cell\n -  Move the mouse pointer to the column heading for column B\n - Notice that the mouse pointer changes to a black arrow pointing down the column…\n -  Click once to select the column\n - This time the row headers\n - change to orange to indicate that at least one cell (but not all) in each row is selected…\n -  Click in cell D6 and press\n\n+\n\nThis key combination also selects an entire column…\n\n -  Click on the column header for column B to select it\n -  Hold down and click on the column header for column D\n - This time, columns B, C, and D are all selected…\n -  Click in the column header for column A , then hold down the left mouse button and drag the mouse pointer across the column headings to column E\n\n## For Your Reference…\n\n## To select an entire column :", - "page_start": 18, - "page_end": 18, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## CHANGING THE CHART LAYOUT\n\nExcel has a gallery of chart layouts that can be applied to an existing and selected chart that is either in its own worksheet or embedded into the data worksheet. Chart layouts are the way\n\n## Try This Yourself:\n\n\n\n\n\nContinue using the previous file with this exercise, or open the file E1317 Charting\\_8.xlsx...\n\n Click on the Revenue Chart worksheet tab to see the chart, then click anywhere on the chart to select it and see the CHART TOOLS: DESIGN and CHART TOOLS: FORMAT tabs\n\n\n\n -  Click on the CHART TOOLS: DESIGN tab, then click on Quick Layout in the Chart Layouts group to display a gallery of layout options\n -  Click on Layout 3 to apply this chart layout to the chart\n -  Repeat steps 2 and 3 to select other chart layouts and see how they appear when applied to the chart\n\n\n\n -  Click on Quick Layout in the Chart Layouts group and click on Layout 5\n\n\n\n -  Click on the Chart Data worksheet tab to display this worksheet\n\n## For Your Reference…\n\n## To change the chart layout :", - "page_start": 53, - "page_end": 53, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## UNDERSTANDING WORKBOOKS\n\nIn Microsoft Excel the data you enter, whether it consists of numbers, text, or formulas, is stored in a file known as a workbook . Workbooks are just like huge electronic books with pages (or\n\nsheets ) that have been ruled into columns and rows. Before using Excel it is helpful to know what the various parts and elements that make up a workbook are.\n\n\n\n-  A worksheet (or page) in a workbook contains 16,384 columns that are labelled using letters of the alphabet. The first column in a worksheet is labelled column A , while the last is labelled XFD\n-  A worksheet (or page) in a workbook contains 1,048,576 rows that are labelled using numbers from 1 to 1,048,576\n-  Where a column and row intersect we get what is known as a cell . You enter your data into these cells. Each cell in a worksheet can hold up to 32,767 characters - although it would be unrealistic to ever push it this far. Cells are referred to by their column and row labels. For example, in the screen above the cell we are pointing to is C11 - this reference is known as the cell address and is most important as it is frequently used in commands and formulas\n-  When you start typing something, you want it to appear somewhere in the worksheet. As a consequence when the Status Bar shows Ready mode, at least one cell in the worksheet will be highlighted - this is known as the active cell . In the screen above, the active cell is cell A1 -notice that the column label and the row label also appears coloured to indicate the active cell. You can have more than one active cell - when this occurs you have what is known as a range\n-  A workbook (as you would expect) is made up of pages known as worksheets . You can have as many sheets in a workbook as your computer resources can accommodate. As a default, a new blank workbook normally has 3 worksheets labelled Sheet1 , Sheet2 , and Sheet3 . Of course these labels are pretty boring and meaningless and can be changed to something more relevant\n-  The Insert Worksheet button here will insert another worksheet into the current workbook should you need it", - "page_start": 4, - "page_end": 4, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## SELECTING ROWS\n\nIf you want to make changes to an entire row , such as bolding all of the headings in a row or changing the font of all the cell entries, you must first select the row. This is done by clicking on the\n\nrow header to the left of the row. Remember that any changes you make will apply to every cell in the row all the way across to column XFD, so be careful!\n\n## Try This Yourself:\n\n\n\nContinue using the previous file with this exercise, or open the file E705 Ranges\\_1.xlsx...\n\nPress\n\n+\n\nto make cell\n\nA1\n\n\n\nthe active cell\n\n\n\n -  Move the mouse pointer to the row heading for row 5\n - Notice that the mouse pointer changes to a black arrow that points towards the row…\n -  Click once on row heading 5 to select the entire row\n\nClick in cell\n\nB7\n\nand press\n\n+\n\n\n\nThis is the key combination for selecting an entire row…\n\n -  Click on the row header for row 7 to select this row\n -  Hold down and click on the row header for row 10\n\nAll rows from 7 to 10 will be selected…\n\n -  Click in the row header for row 5 , then hold down the left mouse button and drag down the row headers to row 10\n\nThis is another technique for selecting rows, but it does require a steady hand!\n\n## For Your Reference…\n\nTo select an entire row :\n\n - 1. Click on the row header of the row that you want to select\n\n## OR\n\n - 1. Click in any cell in the row and press +\n\n\n\n## Handy to Know…\n\n -  When every cell in a row or column is selected, the corresponding row or column header is filled in dark blue. When only some of the cells are selected, the row or column header is filled in orange. These indicators help you locate the active cell(s) on the worksheet.\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## QUICK CHARTING\n\nCharts aren't all that difficult to create in Excel, especially with the Recommended Charts feature. However, deciding what style and type of chart can be daunting. Fortunately the Charts\n\n## Try This Yourself:\n\n - Sa m e F i le Continue using the previous file with this exercise, or open the file E1355 Quick Analysis\\_2.xlsx...\n -  Click in cell A3 , hold down , then click in cell E9 to select the range A3:E9\n -  Click on the Quick Analysis button, then click on the CHARTS tab to see a range of recommended chart types for this range\n -  Point to Clustered Column to see a Live Preview of the chart with the Week as the legend\n -  Point to Line , then Stacked Area , then Stacked Column to see how these options appear in Live Preview\n -  Point to the second Clustered Column to see a preview of the chart with the Days as the legend\n\n\n\n -  Click on the second Clustered Column to create a chart in the worksheet\n\n## For Your Reference…\n\ntools provide a way of seeing what the different charts will look like without having to first create the chart.\n\n\n\n## Handy to Know…\n\n## To use the Quick Charting tools :", - "page_start": 37, - "page_end": 37, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Microsoft Excel", - "page_start": 3, - "page_end": 3, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "\n\n\n\n## Excel Fundamentals", - "page_start": 0, - "page_end": 0, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## USING A RECOMMENDED CHART\n\nIf you are undecided about the best type of chart for the data you have selected to graph, then you may wish to use Excel's Recommended Charts feature. This feature analyses your\n\nselected data and presents you with what it considers to be the best way to chart that data. Several alternatives are presented and you simply choose the one you like most.\n\n## Try This Yourself:\n\nn\n\n\n\n\n\nBefore starting this exercise you MUST open the file E1317 Charting\\_1.xlsx…\n\n Click in cell A3 , hold down , then click in cell G7 to select the range A3:G7\n\n\n\n -  Click on the INSERT tab, then click on\n\nRecommended Charts in the Charts group\n\nThe Insert Chart dialog box will display with a number of recommended chart options…\n\n -  Click on each of the alternatives in the left pane to see a preview of how the chart will appear in the right pane and spend a few moments reading the descriptions\n -  Click on Line chart (the second alternative in the left pane), then click on [OK] to embed the chart in the worksheet\n\n\n\n -  Point to the top border of the chart, then click and drag the chart immediately below the data\n -  Click in cell A1\n\nto deselect the chart\n\n\n\n\n\nYou can also use the Quick Analysis tool that appears at the bottom right corner of a selected range to create a quick chart. However, this method will not allow you to preview a wide variety of charts.\n\n\n\n\n\n\n\n## For Your Reference…\n\n## To use the Recommended Charts feature :", - "page_start": 45, - "page_end": 45, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Try This Yourself:\n\n - O pe n Fi le Before starting this exercise you MUST open the file E1355 Quick Analysis\\_5.xlsx…\n -  Click in any cell containing data\n -  Hold down + , then press to select all of the non-empty cells around the current cell\n -  Using the scroll bars, scroll to the bottom right corner of the selection, click on the Quick Analysis button, then click on the TABLES tab\n -  Click on Table to turn the selected range into a table\n -  Scroll across and on the drop arrow for Position to see sorting and filtering options\n -  Click on Select All to remove the tick, then click on Effective People Leader so it appears ticked\n\n", - "page_start": 40, - "page_end": 40, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "How to rename a worksheet in Excel ?", - "target_page": 12, - "target_passage": "To rename a worksheet: 1. Double click on the current name on the worksheet tab 2. Type the new name and press ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## RENAMING A WORKSHEET\n\nBy default, Excel names worksheets as Sheet1 , Sheet2 , Sheet3 , etc. These names are fine if you are not planning to share the workbook, but changing these to something more relevant\n\nmakes it much easier to understand the purpose of a worksheet. You can also adjust the horizontal scroll bar to make room for longer, more meaningful worksheet names.\n\n## Try This Yourself:\n\n\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_2.xlsx...\n\n -  Point to the vertical dots between the sheet names and the horizontal scroll bar, as shown\n\nThe pointer will change to a double-headed arrow...\n\n -  Click and drag the bar across to the right, to the end of column L , then release the mouse button\n -  Double-click on Sheet1 (5) to select the worksheet tab name\n\nThis will also place it into edit mode…\n\n -  Type Comms , then press\n -  Repeat steps 3 and 4 to rename the other worksheets:\n\nSheet1 (4)\n\nAdmin\n\nSheet1 (3)\n\nShop\n\nSheet1 (2)\n\nIT\n\nSheet1\n\nMaintenance\n\n## For Your Reference…\n\n## To rename a worksheet :\n\n - 1. Double click on the current name on the worksheet tab\n - 2. Type the new name and press\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  You can rename a worksheet by right-clicking on the worksheet tab to display the shortcut menu and clicking on Rename .\n -  A worksheet tab name can contain up to 31 characters including spaces, but it is better to keep it short and succinct.", - "page_start": 11, - "page_end": 11, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Handy to Know…\n\n -  To copy a worksheet into an existing workbook, make sure that you open the destination workbook first to ensure that it is listed in To book in the Move or Copy dialog box.\n\n## MOVING OR COPYING A SHEET TO ANOTHER WORKBOOK\n\nYou can copy worksheets to other workbooks as required. For example, you might need to keep records for six different divisions - rather than send each division the entire set of records, you\n\ncan copy their worksheet to another workbook and send them their data only. If worksheets exist in the other workbook, you will need to determine the order in which to place the copied worksheet.\n\n## Try This Yourself:\n\nle\n\ni\n\nF\n\ne\n\nm\n\nSa\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_6.xlsx...\n\n -  Click on the Maintenance worksheet tab\n\nWe'll copy this completed data to another workbook...\n\n -  Right-click on the worksheet tab to display the shortcut menu, then click on Move or Copy to display the Move or Copy dialog box\n -  Click on the drop arrow for To book , then select (new book)\n -  Click on Create a copy so it appears ticked\n\nThis will create a new workbook as well as making a copy of the worksheet...\n\n -  Click on\n\n[OK]\n\n\n\nA new workbook will be created and Maintenance will be the only worksheet in the workbook…\n\n\n\n Save the new workbook as Maintenance.xlsx , then close it\n\n## For Your Reference…\n\n## To copy a sheet to another workbook :\n\n - 1. Right click on the worksheet tab, then click on Move or Copy\n - 2. Select either (new book) or the name of another workbook in To book\n - 3. Tick Create a copy , then click on [OK]\n\n\n\n1\n\n\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## COPYING A WORKSHEET\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can duplicate worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n## Try This Yourself:\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_1.xlsx...\n\n -  Right-click on Sheet1 to display the worksheet shortcut menu\n -  Select Move or Copy to display the Move or Copy dialog box\n -  Click on Create a copy so it appears ticked, then click on [OK]\n\nThe new worksheet is named Sheet1 (2). Let's create a 'template' from this worksheet by deleting unwanted data...\n\n -  Select the range B7:E9 , then press to clear it\n -  Repeat step 4 to clear the ranges B14:E23 , G7:J9 and G14:J23 , then press + to return to cell A1\n\nNow we can copy this 'template' to create additional worksheets...\n\n\n\n Repeat steps 1 to 3 three times to create three copies of the template worksheet - this time without data\n\nThe final worksheet should be named Sheet1 (5)\n\n## For Your Reference…\n\n## To copy a worksheet :\n\n - 1. Right-click on the worksheet to copy, then select Move or Copy\n - 2. Click on Create a copy so it appears ticked\n - 3. Click on [OK]\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  You can copy the current worksheet using the HOME tab by clicking on Format in the Cells group, then clicking on Move or Copy Sheet .\n -  The Before sheet options in the Move or Copy dialog box allow you to position the copied worksheet where you want.", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## GROUPING WORKSHEETS\n\nWorksheet grouping enables you to make the same change at once to all selected worksheets. This feature is useful in situations where your worksheets have identical layouts or text. For\n\nexample, if you want to format the heading for multiple worksheets, you simply group the worksheets, make a change to one worksheet and the other worksheets will reflect the change also.\n\n## Try This Yourself:\n\n## Sa m e F i le\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_8.xlsx...\n\n Click on the Admin worksheet tab, hold down , then click on the Shop worksheet tab to select the first three worksheets\n\n -  Click in cell A1 to select the cell\n -  Click on the HOME tab, then click on Italics in the Font group\n\nThis will italicise the text in cell A1 on this and all other worksheets in the group…\n\n -  Click on the Maintenance worksheet tab, then the Shop worksheet tab to see that the changes have been applied here\n -  Click on the IT worksheet tab to see that the changes have not been applied to this worksheet\n\nSince this was not part of the grouped sheets the changes have not been applied here. Notice too that clicking on a tab deselects the previous grouping\n\n## For Your Reference…\n\n## To group worksheet tabs :\n\n - 1. Click on the first worksheet tab\n - 2. Hold down , then click on the last worksheet tab\n\n\n\n2\n\n\n\n\n\n3\n\n4\n\n\n\n\n\n## Handy to Know…\n\n -  To deselect a group, either click on the tab of a worksheet that is not in the group, or rightclick on a tab and select Ungroup Sheets .\n -  Most formatting and text changes done on a worksheet in a group will be applied to other sheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## INSERTING AND DELETING WORKSHEETS\n\nOnce you've decided on a structure for your workbook, you may find that there are some worksheets that can be deleted . Alternatively, you may find that you need additional blank\n\nworksheets inserted . However, remember that deletion of worksheets is permanent and can't be undone using Undo , so always save your workbook before making these changes.\n\n## Try This Yourself:\n\nn\n\n\n\nBefore starting this exercise you MUST open the file E1324 Worksheet Techniques\\_1.xlsx…\n\n -  Examine the workbook - it currently contains one worksheet named Sheet1\n -  Click on the New Sheet icon at the end of the worksheet tabs\n - A new worksheet named Sheet2 will be inserted. You can also use the keyboard shortcut...\n -  Press + to insert another new worksheet\n\nThis sheet is named Sheet3 and is inserted before the currently selected sheet. Now let's delete a sheet...\n\n -  Right-click on the Sheet3 worksheet tab to display the shortcut menu\n -  Select Delete to remove the worksheet\n\nAs the worksheet contains no data, the sheet will be deleted immediately. If a worksheet contains data, Excel will ask you to confirm your actions...\n\n\n\n Repeat steps 4 and 5 to delete Sheet2\n\n\n\n## For Your Reference…\n\nTo insert a new worksheet into a workbook :\n\n -  Click on the New Sheet icon to the right of the worksheet tabs\n\nTo delete a worksheet from a workbook :\n\n -  Right click on the worksheet tab, then select Delete\n\n## Handy to Know…\n\n -  To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on Insert to display the Insert dialog box. Select Worksheet and click on [OK] .\n\n1\n\n2\n\n3\n\n4\n\n5", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## CHANGING WORKSHEET TAB COLOURS\n\nTo make it easier for you to distinguish between worksheets, Excel enables you to change the colours of worksheet tabs. This allows you, for example, to quickly distinguish between different\n\nfinancial years, departments or months. The active sheet appears as underlined in a gradient version of the selected colour, while inactive tabs will display a solid colour background.\n\n\n\n## For Your Reference…\n\n## To change the colour of a worksheet tab :\n\n - 1. Right-click on the worksheet tab to display the shortcut menu\n - 2. Point to Tab colour to display a palette of colour options\n - 3. Click on the desired colour\n\n## Handy to Know…\n\n -  To apply the same colour to two or more sheets at once, select them first. Hold down to select consecutive worksheets or hold down to select non-consecutive worksheets.", - "page_start": 13, - "page_end": 13, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Try This Yourself:\n\ne\n\nm\n\nSa\n\nFile\n\nContinue using the previous file with this exercise, or open the file E1317 Charting\\_6.xlsx...\n\n -  Click on the chart to select it and display the CHART TOOLS:DESIGN and CHART TOOLS: FORMAT tabs\n -  Click on the CHART TOOLS: DESIGN tab, then click on Move Chart in the Location group to display the Move Chart dialog box\n -  Click on New Sheet , then type Revenue Chart\n - This will become the sheet name for the chart…\n -  Click on [OK] to move the embedded chart to its own sheet\n -  Click on the Chart Data worksheet tab to see the data again\n\nNotice that the chart is no longer embedded on this worksheet", - "page_start": 51, - "page_end": 51, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "worksheet tab\n\n\n\n## For Your Reference…\n\n## To change the chart style :\n\n - 1. Ensure the chart or chart sheet is selected\n - 2. Click on the Chart Styles tool to the right of the chart\n - 3. Click on the desired style\n\nand effort. Excel also makes it easy to change chart styles if you decide the style you have chosen is not appropriate.\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  Instead of using the Chart Styles tool to the right of the chart, you can also choose chart styles from the CHART TOOLS: DESIGN tab on the ribbon when a chart is selected.", - "page_start": 54, - "page_end": 54, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "- 2. Right-click the consistency group to be renamed and select Rename , as shown in Figure 11-133.", - "page_start": 608, - "page_end": 608, - "source_file": "sg247938.pdf" - }, - { - "text": "- 2. Right-click the consistency group you want to rename and select Rename , as shown in Figure 11-53.", - "page_start": 512, - "page_end": 512, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "Excel Training Manual 1.pdf", - "query": "I want to freeze a pane in my Excel worksheet ", - "target_page": 16, - "target_passage": "To freeze panes in a worksheet: 1. Click in the cell below and to the right of the area you want to freeze/unfreeze 2. Click on the VIEW tab 3. Click on Freeze Panes in the Window group, then select Freeze Panes ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## FREEZING ROWS AND COLUMNS\n\nWhen you lay out your data in rows and columns, it is most likely that your headings end up at the top or to the left of your data. If you have a large amount of data, you may find that when you\n\nscroll across or down to particular cells, the headings scroll out of view. This problem can be resolved by freezing the rows and/or columns that hold the headings.\n\n## Try This Yourself:\n\n\n\n\n\nContinue using the previous file E1324 Worksheet\n\nwith this exercise, or open the file Techniques\\_11.xlsx...\n\n Click on the Maintenance worksheet tab, then spend a few moments examining the worksheet\n\nDepending on your screen, it is possible that you won't be able to see all of the figures on the screen at once...\n\n -  Click in cell B6 to select the cell\n -  Click on the VIEW tab, click on Freeze Panes in the Window group, then select Freeze Panes\n\nThin black lines appear above and to the left of the selected cell. This indicates that the areas above and to the left are frozen...\n\n -  Scroll to the right until Yearly Average in column L appears next to column A\n -  Scroll down until Overheads in row 25 is below row 5\n -  Press + to move to cell B6 - this is our temporary home cell, as the cells above and to the left are frozen\n\n\n\n On the VIEW tab, click on Freeze Panes in the Freeze Panes group, then click on Unfreeze Panes to unfreeze the rows and columns\n\n## For Your Reference…\n\n## To freeze panes in a worksheet :\n\n - 1. Click in the cell below and to the right of the area you want to freeze/unfreeze\n - 2. Click on the VIEW tab\n - 3. Click on Freeze Panes in the Window group, then select Freeze Panes\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  If you want to freeze only the rows above the selected cell (leaving all columns unfrozen), select the cell in column A of that row - e.g. to freeze rows 1 to 6 , click in cell A7 . The same applies to freezing only columns and leaving the rows unfrozen: select the cell in row 1 .", - "page_start": 15, - "page_end": 15, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## INSERTING AND DELETING WORKSHEETS\n\nOnce you've decided on a structure for your workbook, you may find that there are some worksheets that can be deleted . Alternatively, you may find that you need additional blank\n\nworksheets inserted . However, remember that deletion of worksheets is permanent and can't be undone using Undo , so always save your workbook before making these changes.\n\n## Try This Yourself:\n\nn\n\n\n\nBefore starting this exercise you MUST open the file E1324 Worksheet Techniques\\_1.xlsx…\n\n -  Examine the workbook - it currently contains one worksheet named Sheet1\n -  Click on the New Sheet icon at the end of the worksheet tabs\n - A new worksheet named Sheet2 will be inserted. You can also use the keyboard shortcut...\n -  Press + to insert another new worksheet\n\nThis sheet is named Sheet3 and is inserted before the currently selected sheet. Now let's delete a sheet...\n\n -  Right-click on the Sheet3 worksheet tab to display the shortcut menu\n -  Select Delete to remove the worksheet\n\nAs the worksheet contains no data, the sheet will be deleted immediately. If a worksheet contains data, Excel will ask you to confirm your actions...\n\n\n\n Repeat steps 4 and 5 to delete Sheet2\n\n\n\n## For Your Reference…\n\nTo insert a new worksheet into a workbook :\n\n -  Click on the New Sheet icon to the right of the worksheet tabs\n\nTo delete a worksheet from a workbook :\n\n -  Right click on the worksheet tab, then select Delete\n\n## Handy to Know…\n\n -  To insert a worksheet between existing worksheets, right-click on the worksheet tab before which you want to insert a new sheet, then click on Insert to display the Insert dialog box. Select Worksheet and click on [OK] .\n\n1\n\n2\n\n3\n\n4\n\n5", - "page_start": 9, - "page_end": 9, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## COPYING A WORKSHEET\n\nJust as you can copy the contents of cells and ranges within a worksheet, you can duplicate worksheets within a workbook. This technique is ideal for replicating layouts. For example, if you\n\nhave a budget workbook that contains data for several departments, you can create a worksheet for the first department and then copy it to create identical worksheets for other departments.\n\n## Try This Yourself:\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_1.xlsx...\n\n -  Right-click on Sheet1 to display the worksheet shortcut menu\n -  Select Move or Copy to display the Move or Copy dialog box\n -  Click on Create a copy so it appears ticked, then click on [OK]\n\nThe new worksheet is named Sheet1 (2). Let's create a 'template' from this worksheet by deleting unwanted data...\n\n -  Select the range B7:E9 , then press to clear it\n -  Repeat step 4 to clear the ranges B14:E23 , G7:J9 and G14:J23 , then press + to return to cell A1\n\nNow we can copy this 'template' to create additional worksheets...\n\n\n\n Repeat steps 1 to 3 three times to create three copies of the template worksheet - this time without data\n\nThe final worksheet should be named Sheet1 (5)\n\n## For Your Reference…\n\n## To copy a worksheet :\n\n - 1. Right-click on the worksheet to copy, then select Move or Copy\n - 2. Click on Create a copy so it appears ticked\n - 3. Click on [OK]\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  You can copy the current worksheet using the HOME tab by clicking on Format in the Cells group, then clicking on Move or Copy Sheet .\n -  The Before sheet options in the Move or Copy dialog box allow you to position the copied worksheet where you want.", - "page_start": 10, - "page_end": 10, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "This pane gives the following options:", - "page_start": 288, - "page_end": 288, - "source_file": "sg247938.pdf" - }, - { - "text": "## WORKING WITH AN EMBEDDED CHART\n\nBy default, new charts are placed in the active worksheet, which is usually the one that contains the data. Charts are placed over the top of the worksheet, embedded as objects . When you\n\nwant to work with a chart you must select it - this can be done by clicking on the chart. The chart itself is made up of many objects and these too can be selected by clicking on them.\n\n## Try This Yourself:\n\n\n\n\n\nContinue using the previous file with this exercise, or open the file E1317 Charting\\_2.xlsx...\n\n Point to the border of the chart and click once to select the chart as an object\n\nThe border of the chart will thicken to indicate that the chart is selected, the range of data used for the chart will be coloured, the ribbon will show chart-specific tabs and commands, and additional tools will appear to the right of the chart…\n\n -  Click on the chart legend to make it the active object in the chart\n -  Click on the vertical axis to make it the active object\n -  Click on the horizontal axis to make it the active object\n -  Click on the border of the chart to make the overall chart the active object again - notice that the range of data has been coloured again\n\n\n\n Click in cell A1 to deselect the chart\n\n## For Your Reference…\n\nTo select a chart and its objects :", - "page_start": 47, - "page_end": 47, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## REPOSITIONING A CHART\n\nIt's unlikely that a chart embedded in the worksheet by Excel will be exactly where you would like it to be. You can easily relocate a chart to a more appropriate position by clicking\n\non and dragging the border of the chart to the desired location. The chart obviously must be selected before it can be dragged to a new position.\n\n## Try This Yourself:\n\nSa m e F i le\n\n\n\nContinue using the previous file with this exercise, or open the file E1317 Charting\\_4.xlsx...\n\n -  Click on the chart to select it\n\n\n\n -  Point to the border of the chart until the mouse pointer changes to a fourheaded arrow\n\n\n\n -  Hold down the left mouse button and drag the chart below the data so that the Total Revenue row in the worksheet is visible\n\n\n\n Click in cell A1 to deselect the chart\n\n## For Your Reference…\n\n## To move a chart :", - "page_start": 49, - "page_end": 49, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "This pane includes the following options:", - "page_start": 289, - "page_end": 289, - "source_file": "sg247938.pdf" - }, - { - "text": "## GROUPING WORKSHEETS\n\nWorksheet grouping enables you to make the same change at once to all selected worksheets. This feature is useful in situations where your worksheets have identical layouts or text. For\n\nexample, if you want to format the heading for multiple worksheets, you simply group the worksheets, make a change to one worksheet and the other worksheets will reflect the change also.\n\n## Try This Yourself:\n\n## Sa m e F i le\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_8.xlsx...\n\n Click on the Admin worksheet tab, hold down , then click on the Shop worksheet tab to select the first three worksheets\n\n -  Click in cell A1 to select the cell\n -  Click on the HOME tab, then click on Italics in the Font group\n\nThis will italicise the text in cell A1 on this and all other worksheets in the group…\n\n -  Click on the Maintenance worksheet tab, then the Shop worksheet tab to see that the changes have been applied here\n -  Click on the IT worksheet tab to see that the changes have not been applied to this worksheet\n\nSince this was not part of the grouped sheets the changes have not been applied here. Notice too that clicking on a tab deselects the previous grouping\n\n## For Your Reference…\n\n## To group worksheet tabs :\n\n - 1. Click on the first worksheet tab\n - 2. Hold down , then click on the last worksheet tab\n\n\n\n2\n\n\n\n\n\n3\n\n4\n\n\n\n\n\n## Handy to Know…\n\n -  To deselect a group, either click on the tab of a worksheet that is not in the group, or rightclick on a tab and select Ungroup Sheets .\n -  Most formatting and text changes done on a worksheet in a group will be applied to other sheets in that grouping.", - "page_start": 14, - "page_end": 14, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## RENAMING A WORKSHEET\n\nBy default, Excel names worksheets as Sheet1 , Sheet2 , Sheet3 , etc. These names are fine if you are not planning to share the workbook, but changing these to something more relevant\n\nmakes it much easier to understand the purpose of a worksheet. You can also adjust the horizontal scroll bar to make room for longer, more meaningful worksheet names.\n\n## Try This Yourself:\n\n\n\n\n\nContinue using the previous file with this exercise, or open the file E1324 Worksheet Techniques\\_2.xlsx...\n\n -  Point to the vertical dots between the sheet names and the horizontal scroll bar, as shown\n\nThe pointer will change to a double-headed arrow...\n\n -  Click and drag the bar across to the right, to the end of column L , then release the mouse button\n -  Double-click on Sheet1 (5) to select the worksheet tab name\n\nThis will also place it into edit mode…\n\n -  Type Comms , then press\n -  Repeat steps 3 and 4 to rename the other worksheets:\n\nSheet1 (4)\n\nAdmin\n\nSheet1 (3)\n\nShop\n\nSheet1 (2)\n\nIT\n\nSheet1\n\nMaintenance\n\n## For Your Reference…\n\n## To rename a worksheet :\n\n - 1. Double click on the current name on the worksheet tab\n - 2. Type the new name and press\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Handy to Know…\n\n -  You can rename a worksheet by right-clicking on the worksheet tab to display the shortcut menu and clicking on Rename .\n -  A worksheet tab name can contain up to 31 characters including spaces, but it is better to keep it short and succinct.", - "page_start": 11, - "page_end": 11, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## DELETING A CHART\n\nIf you no longer require a chart you can easily delete it. With embedded charts you must first select the chart in the worksheet and then press the key to delete the chart. With charts in\n\n\n\n## For Your Reference…\n\n## To delete a chart :\n\n - 1. Click on the worksheet to see the chart, then click on the chart to select it\n - 2. Press\n\n\n\n\n\n\n\nchart sheets you can delete the sheet by right clicking on the chart sheet tab and choosing the deletion option.\n\n\n\n\n\n## Handy to Know…\n\n -  Because it is so easy to delete a chart object it is also easy to delete it by accident! Remember, you can use the Undo feature in Excel to restore accidental deletions.", - "page_start": 57, - "page_end": 57, - "source_file": "Excel Training Manual 1.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What is the msodocexStructTypeArticle type value ?", - "target_page": 21, - "target_passage": "A group of nodes forming a single flow of text that should be read or searched as a contiguous block of content. Some documents have a single article and others have multiple articles.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| Type Value | Description |\n|-----------------------------------|-----------------------------------|\n| msodocexStructTypeTOC | A table of contents. |\n| msodocexStructTypeTOCI | An item in a table of contents. |\n| msodocexStructTypeExtLink | A link to an external resource. |\n| msodocexStructTypeIntLink | A link to an internal resource. |\n| msodocexStructTypeFootnote | A footnote. |\n| msodocexStructTypeEndnote | An endnote. |\n| msodocexStructTypeTextbox | A text box. |\n| msodocexStructTypeHeader | A block of text forming a header. |\n| msodocexStructTypeFooter | A footer. |\n| msodocexStructInlineShape | An inline shape. |\n| msodocexStructAnnotation | An annotation. |\n| msodocexStructTypeSpanBlock | A block of text. |\n| msodocexStructTypeWorkbook | A workbook. |\n| msodocexStructTypeWorksheet | A worksheet. |\n| msodocexStructTypeMacrosheet | A macrosheet. |\n| msodocexStructTypeDialogsheet | A dialogsheet. |\n| msodocexStructTypeSlide | A slide. |\n| msodocexStructTypeChart | A chart. |\n| msodocexStructTypeDiagram | A SmartArt diagram. |\n| msodocexStructTypeBulletText | Buller text. |\n| msodocexStructTypeTextLine | A line of text. |\n| msodocexStructTypeDropCap | A drop cap. |\n| msodocexStructTypeSection | A section. |\n| msodocexStructTypeAnnotationBegin | The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd | The end of an annotation. |", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Type Value | Description |\n|-----------------------------------------|-------------------------------------------------------------------------|\n| msodocexStructTypeParaRTLAttr | A block of text within an article with right-to-left layout. |\n| msodocexStructTypeTableRTLAttr | A block of text forming a table with right-to-left layout. |\n| msodocexStructTypeHeadingRTLAttr | A heading in the text with right-to-left layout. |\n| msodocexStructTypeListItemRTLAttr | A block of text forming a list item with right-to-left layout. |\n| msodocexStructTypeParaUnannotatableAttr | A block of text within an article that is not annotatable. |\n| msodocexStructTypeTHead | The header row area in a table. |\n| msodocexStructTypeTBody | The body area in a table, i.e. the portion between the THead and TFoot. |\n| msodocexStructTypeLabel | A label. |\n| msodocexStructTypeEquation | An equation. |\n| msodocexStructTypeIntLinkNoteRef | A footnote or endnote reference mark link. |\n| msodocexStructTypeTFoot | The footer row area in a table. |\n\nfContentNode Specifies whether a DocExComment\\_EndStructNode structure marks the end of this structure node. If fContentNode is true , a\n\nDocExComment\\_EndStructNode structure closes off the content bounded by the node. If this fContentNode has a false value, then the node does not bound any content.\n\nThe fContentNode member affects the interpretation of the parent ID value of subsequent nodes. If fContentNode is true , nodes that are inserted between this DocExComment\\_BeginStructNode and a subsequent DocExComment\\_EndStructNode , and that have a parent ID of -1 , are children of this node. However, if fContentNode is true , nodes inserted after this DocExComment\\_BeginStructNode , and that have a parent ID of -1 , are not children of this node. They are children of the next-most-recently specified node that has fContentNode equal to false .\n\nYou can nest document structure nodes to arbitrary depth.\n\ncwchAltText Specifies the number of Unicode characters in the block of alternate text that follows the structure. This Unicode string specifies alternate text for the node (for example, alternate text for an image).", - "page_start": 22, - "page_end": 22, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\ntypedef struct \\_MsoDocexStructNode { int idNode; MSODOCEXSTRUCTTYPE nodetype; WCHAR* pwchAltText; union { int iHeadingLevel; ULONG idPara; ULONG idDropCap; int iPage; WCHAR* pwchActualText; MSODOCEXLINEBREAKTYPE bt; int iListLevel; MSODOCEXLISTTYPE listType; ULONG idAtn; long cpLim; int shapeProperty; MsoDocexTableAttr tableAttr; WCHAR* idTableHeader; int iTargetParentId; }; } MSODOCEXSTRUCTNODE;\n```\n\nThe idNode member specifies the ID of the node being passed in the call to HrBeginStructNode . This member may not have a value of 0 . A value of -1 indicates that child nodes do not use the idNodeParent parameter to specify this node as their parent. Instead, this node can be a parent only by enclosing child nodes in the EMF. Multiple nodes can have an ID of -1 . If the ID is not -1 , the value is unique across the document.\n\nThe embedded union at the end of the MSODOCEXSTRUCTNODE is interpreted differently depending on the type of node:\n\n- iHeadingLevel is the heading level for an msodocexStructTypeHeading.\n- idPara is the paragraph id for a P, TOCI, or ListBody.\n- idDropCap is the id of an msodocexStructTypeDropCap.\n- iPage is the page number for an msodocexStructTypePage.\n- bt is the line break type for an msodocexStructTypeTextLine.\n- iListLevel is the list level for an msodocexStructTypeList or msodocexStructTypeListItem.\n- listType is the list type for an msodocexStructTypeListItem.\n- idAtn is the id of an msodocexStructTypeAnnotationBegin or msodocexStructTypeAnnotationEnd.\n- cpLim is used to determine the nesting order of tables within tables for an msodocexStructTypeTable, msodocexStructTypeTOC, or msodocexStructTypeListBody.", - "page_start": 8, - "page_end": 8, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nC++ HRESULT HrAddDocumentMetadataDate( MSODOCEXMETADATA metadataType, const FILETIME* pftLocalTime );\n```\n\nThe metadatatype parameter specifies the type of metadata represented by the FILETIME structure. The metadatatype parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nﾉ\n\nExpand table\n\nTable 9. Enumerated values of MSODOCEXMETADATA\n\n| Value | Description |\n|------------------------------|------------------------------------------|\n| msodocexMetadataCreationDate | The creation date for the document. |\n| msodocexMetadataModDate | The last-modified date for the document. |\n\nThe pftLocalTime parameter specifies a pointer to a FILETIME structure that contains the date and time information for the metadata. The following code snippet demonstrates how to extract this information from the structure.\n\n```\nC++ SYSTEMTIME st = { 0 }; WCHAR s[100]; FileTimeToSystemTime(pfiletime, &st); swprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, st.wSecond % 100);\n```\n\nHow the add-in incorporates the date and time metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n## HrFinalize\n\nPublisher calls the HrFinalize method at the end of the document-export process.\n\n```\nC++\n```", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "- shapeProperty is for a msodocexStructTypeFigure where the content is a shape, text box, or table cell and contains bit fields from the MSODOCEXSHAPEPROPERTY enumeration.\n- tableAttr is the table cell attributes for a msodocexStructTypeTH or msodocexStructTypeTD.\n- idTableHeader is the unique id for an msodocexStructTypeTH or msodocexStructTypeTD.\n- iTargetParentId is the id of the node to reparent an msodocexStructTypeDiagram to.\n\nTable 3. Enumerated values of MSODOCEXLINEBREAKTYPE\n\nﾉ Expand table\n\nTable 4. Enumerated values of MSODOCEXLISTTYPE\n\n| Value | Description |\n|-----------------------------|--------------------|\n| msodocexLineBreakTypeNormal | Normal line break. |\n| msodocexLineBreakTypeManual | Manual line break. |\n| msodocexLineBreakTypeEOP | End of paragraph. |\n\n## ﾉ Expand table\n\nTable 5. Enumerated values of MSODOCEXSHAPEPROPERTY bit fields\n\n| Value | Description |\n|-------------------------------|-------------------------------------|\n| msodocexListTypeNone | No bullets or numbering. |\n| msodocexListTypeBulletDisc | Disc-shaped bullets. |\n| msodocexListTypeBulletCircle | Circle-shaped bullets. |\n| msodocexListTypeBulletSquare | Square-shaped bullets. |\n| msodocexListTypeBulletDecimal | Decimal numbering. |\n| msodocexListTypeUpperRoman | Uppercase Roman numeral numbering. |\n| msodocexListTypeLowerRoman | Lowercase Roman numberal numbering. |\n| msodocexListTypeUpperAlpha | Uppercase alphabetic numbering. |\n| msodocexListTypeLowerAlpha | Lowercase alphabetic numbering. |", - "page_start": 9, - "page_end": 9, - "source_file": "office-pdf.pdf" - }, - { - "text": "The metadatatype parameter specifies the type of metadata represented by the string. The metadatatype parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\n\n\nExpand table\n\n| Value | Description |\n|--------------------------|--------------------------------------------------------------------------------------------------------------------------------|\n| msodocexMetadataTitle | The title of the document. |\n| msodocexMetadataAuthor | The author of the document |\n| msodocexMetadataSubject | String that describes the subject matter of the document (for example, business or science). |\n| msodocexMetadataKeywords | Keyword relevant to the document content. |\n| msodocexMetadataCreator | The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer | The producer of the document, possibly distinct from the author or creator. |\n| msodocexMetadataCategory | String that describes the type of document (for example, memo, article, or book). |\n| msodocexMetadataStatus | Status of the document. This field can reflect where the document is in the publication process (for example, draft or final). |\n| msodocexMetadataComments | Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it. So, for example, if the document has multiple keywords, they are passed to the add-in as one concatenated string.\n\nThe pwchValue parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n## HrAddDocumentMetadataDate\n\nPublisher calls the HrAddDocumentMetadataDate method to specify document metadata in the form of a FILETIME structure.", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Value | Numeric Value | Description |\n|------------------------|-----------------|------------------------------------------------|\n| msodocexShape | 0x00000001 | The object is a shape or text box. |\n| msodocexShapeText | 0x00000002 | The object has non-whitespace text. |\n| msodocexShapePath | 0x00000004 | The object has a fill and/or outline. |\n| msodocexShapeAltText | 0x00000008 | The object has Alt Text. |\n| msodocexShapeEquation | 0x00000010 | The object has text that contains an equation. |\n| msodocexShapeTabelCell | 0x00000020 | The object is a cell in a table. |\n\n## MsoDocexTableAttr\n\nThe MsoDocexTableAttr structure fits in 32 bits and includes the row and column span and header scope information for a table cell.\n\n```\nC++ struct MsoDocexTableAttr { static constexpr unsigned int MaxSpanBits = sizeof(unsigned int) * 8 / 2 - 1; static constexpr unsigned int MaxSpanValue = (1u << MaxSpanBits) - 1; unsigned int rowSpan : MaxSpanBits; unsigned int fRowScope : 1; unsigned int colSpan : MaxSpanBits; unsigned int fColScope : 1; };\n```\n\nThe members of MsoDocexTableAttr structure are as follows:\n\n - MaxSpanBits Specifies the number of bits available for the rowSpan and colSpan values, which is 15.\n - MaxSpanValue Specifies the maximum value that can be specified for the rowSpan and colSpan.\n - rowSpan Specifies the number of rows that a table cell spans.\n - fRowScope Specifies whether the header is Row/Both or Column.\n - colSpan Specifies the number of columns that a table cell spans.", - "page_start": 10, - "page_end": 10, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nstruct DocExComment\\_ExternalHyperlink { DWORD ident {}; DWORD iComment {}; union { RECT rcdvRegion; struct { float xLeft; float yTop; float dxWidth; float dyHeight; } rctfvRegion; }; WCHAR wzLink[MAX\\_PATH]; };\n```\n\nThe members of DocExComment\\_ExternalHyperlink(Rctfv) structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentExternalHyperlink or msodocexcommentExternalHyperlinkRctfv.\n - rcdvRegion and rctfvRegion A union that specifies the region of the page that is the source location of the hyperlink. The region can be represented as a RECT type (rcdvRegion) that uses device pixels as the unit of measure, or as a structure that contains floating-point coordinates (rctfvRegion), in which case the unit of measure is points.\n\nIf the iComment member is equal to msodocexcommentExternalHyperlink, the add-in should use rcdvRegion . In this case, the add-in needs to apply the current EMF transformation matrix to rcdvRegion to convert it to the page space.\n\nIf the iComment member is equal to msodocexcommentExternalHyperlinkRctfv, the add-in should use rctfvRegion . In this case, rctfvRegion is already in the page space, so no transformation is needed.\n\n - wzLink[MAX\\_PATH] Specifies the destination URL for this hyperlink.\n\n## DocExComment\\_InternalHyperlink(Rctfv)\n\nThe DocExComment\\_InternalHyperlink(Rctfv) structure describes a hyperlink that links to a location within the document. Note that, although Publisher passes a separate EMF", - "page_start": 15, - "page_end": 15, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nint idNode {}; WCHAR rgwchNodeText[cwchMaxNodeText]; int iDestPage {}; float dytfvDestPage {}; float dxtfvDestOffset {}; float dytfvDestOffset {}; } MSODOCEXOUTLINENODE;\n```\n\nThe members of the MSODOCEXOUTLINENODE are described as follows:\n\n - idNode The ID for the node. A value of -1 indicates that this node cannot have child nodes in the outline. Otherwise, this member has a value that is unique across the document.\n - rgwchNodeText A Unicode string that represents the title text for each node. This text is not required to be unique across the outline.\n - iDestPage The page number of the page that contains the destination location within the document.\n - dytfvDestPage The height of the destination page in points. The offset specified by the dytfvDestOffset member is relative to the upper-left corner of the page. However, some fixed-format types use a coordinate system that is relative to the bottom-left corner of the page. For these types of documents, the page height is required to convert the offset.\n - dxtfvDestOffset The horizontal offset of the destination location on the destination page.\n - dytfvDestOffset The vertical offset of the destination location on the destination page.\n\n## HrAddDocumentMetadataString\n\nPublisher calls the HrAddDocumentMetadataString method to specify document metadata in the form of a Unicode string.\n\n```\nC++ HRESULT HrAddDocumentMetadataString( MSODOCEXMETADATA metadataType, const WCHAR* pwchValue );\n```", - "page_start": 33, - "page_end": 33, - "source_file": "office-pdf.pdf" - }, - { - "text": "- iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEndTextRun.\n\n## DocExComment\\_UnicodeForNextTextOut\n\nThe DocExComment\\_UnicodeForNextTextOut structure functions similarly to the DocExComment\\_BeginTextRun and DocExComment\\_EndTextRun structures. However, DocExComment\\_UnicodeForNextTextOut specifies Unicode code points for only the following EMF TextOut record, rather than for a block of EMF content bounded by begin and end structures.\n\n```\nC++ struct DocExComment\\_UnicodeForNextTextOut { DWORD ident {}; DWORD iComment {}; int cGlyphIndex {}; int cwchActualText {}; };\n```\n\nThe members of the DocExComment\\_UnicodeForNextTextOut structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentUnicodeForNextTextOut.\n - cGlyphIndex Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph.\n - cwchActualText Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility.\n\n## DocExComment\\_EPSColor\n\nThe DocExComment\\_EPSColor structure specifies color information for an encapsulated PostScript (EPS) file embedded in the EMF. For more information about this structure,", - "page_start": 25, - "page_end": 25, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are vector colors ?", - "target_page": 29, - "target_passage": "Vector colors are any COLORREF values that the add-in receives from Publisher.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "same type that is used for RGB color. For information about the COLORREF structure, see COLORREF.\n\nTo resolve color IDs in the EMF back to the extend color space, the add-in calls back to Publisher through the HrResolveColor method of the IMsoDocExporterSite interface. The add-in passes Publisher an interface pointer to an IDOCEXCOLOR interface as one of the parameters to HrResolveColor . Publisher takes the color IDs, also specified in the call to HrResolveColor , converts them to extended color (RGB, CMYK, or spot color), and passes them back to the add-in through the methods in the IDOCEXCOLOR interface.\n\n## Vector Color and Recolored Images\n\nVector colors are any COLORREF values that the add-in receives from Publisher. For example, text color, line stroke color, and color for metafile recolor. When color mapping is enabled, Publisher uses a color ID for COLORREF rather than a real RGB color value. If Publisher provides the add-in an IMsoDocExporterSite interface pointer by calling the SetDocExporterSite method of the IMsoDocExporter interface, the add-in should always call the IMsoDocExporterSite::HrResolveColor method to convert the COLORREF to an extended color, which the add-in receives through the methods in the IDOCEXCOLOR interface.\n\nTo support vector color mapping, the add-in needs to do the following:\n\n - Implement class support for an IDOCEXCOLOR interface. The methods in this interface enable Publisher to pass extended color back to the add-in.\n - Cache the following color state values from the semantic records in the EMF.\n - Set foreground color for recoloring. This is set through the DocExComment\\_ColorInfo structure.\n - Set background color for recoloring. This is set through the DocExComment\\_ColorInfo structure.\n - Determine when color mapping is enabled. This is set through the DocExComment\\_ColorEnable structure.\n - For a vector color, create an IDOCEXCOLOR interface with the color ID, so that IDOCEXCOLOR::GetUnresolvedRGB returns the color ID. The add-in should call the IMsoDocExporterSite::HrResolveColor method with the IDOCEXCOLOR interface and cached color states. Publisher calls the IDOCEXCOLOR interface methods with the final color, which can be RGB, CMYK, spot, or registration tint.", - "page_start": 28, - "page_end": 28, - "source_file": "office-pdf.pdf" - }, - { - "text": "The DocExComment\\_EPSColorSpotImage structure provides spot color information for the subsequent RGB image. For more information about this structure, see the section Extended Color Support.\n\n```\nC++ typedef struct { DWORD ident {}; DWORD iComment {}; COLORREF cmykAlt { 0 }; COLORREF rgbAlt { 0 }; float flTintMin {}; float flTintMax {}; char szSpotName[1]; } DocExComment\\_EPSColorSpotImage;\n```\n\nThe members of the DocExComment\\_EPSColorSpotImage structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSSpotImage.\n - cmykAlt Specifies a CMYK color ID.\n - rgbAlt Specifies an RGB color ID.\n - flTintMin Specifies the minimum tint.\n - flTintMax Specifies the maximum tint.\n - szSpotName[1] Specifies a variable length, zero-terminated string that contains the spot name.\n\n## Extended Color Support\n\nTo support extended color spaces in Publisher, additional EMF semantic records and interfaces are needed because EMF only supports RGB (red-green-black) colors. Extended color spaces include CMYK (cyan-magenta-yellow-black) and spot color space, which are commonly used in commercial printing.\n\nPublisher uses color mapping to represent extended colors in the document EMF. Publisher builds a color table for all colors used in the document and replaces actual colors with color IDs in the EMF. The type for the color ID is COLORREF , which is the", - "page_start": 27, - "page_end": 27, - "source_file": "office-pdf.pdf" - }, - { - "text": "- When either foreground color or background color for recoloring is specified from an EMF semantic record, the add-in should recolor images in the add-in (for example, metafiles or raster pictures).\n\n## Non-Recolored Images\n\nEMF supports CMYK images using GDI+. Therefore, images in the EMF may be either RGB or CMYK. If the image is a CMYK image, the add-in needs to convert the image to the target color space.\n\nPublisher maintains a target color space for the document. The add-in can use this target color space by calling the IMsoDocExporterSite::HrConvertImageColorSpace method with the image's color space.\n\n## Color from EPS Files\n\nEncapsulated Postscript (EPS) is a metafile type that supports extended color spaces. User who embed EPS images in a Publisher document expect the color information to be used in the fixed-format output. Inside Publisher, the EPS is converted to an EMF with EPS-related semantic records. This EMF is then embedded in the page EMF file that the application passes to the add-in.\n\nTo support color in EPS files, the add-in needs to do the following:\n\n - Call the IMsoDocExporterSite::SetEPSInfo method for DocExComment\\_EPSColor records encountered in the EMF.\n - Extract the CMYK image from the DocExComment\\_EPSColorCMYKJPEG record in the EMF. This record contains a binary object that is the actual CMYK JPEG file stream. Use it to replace the RGB image specified in the subsequent call to the StretchDIBits function.\n - The DocExComment\\_EPSColorSpotImage record provides spot color information for the subsequent RGB image, which is always an index image. The add-in needs to convert the spot image to the target color space.\n - The add-in can optionally call the IMsoDocExporterSite:: HrGetSpotRecolorInfo method to obtain the document's target color from Publisher. Then the add-in can recolor the subsequent RGB image by mapping colors from the palette of the RGB image to flTintMin and flTintMax tints specified in the\n\nDoxExComment\\_EPSColorSpotImage palette is used for the mapping.\n\n - record. The luminosity for each color of the", - "page_start": 29, - "page_end": 29, - "source_file": "office-pdf.pdf" - }, - { - "text": "color ID represents a foreground color. If this member has a value of false , the color ID represents a background color.\n\n## DocExComment\\_ColorEnable\n\nThe DocExComment\\_ColorEnable structure specifies whether color mapping is enabled for subsequent content in the EMF. For more information about this structure, see the section Extended Color Support.\n\n```\nC++ struct DocExComment\\_ColorEnable { DWORD ident {}; DWORD iComment {}; BOOL fEnable {}; };\n```\n\nThe members of the DocExComment\\_ColorEnable structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentColorMapEnable.\n - fEnable Specifies whether color mapping is enabled for subsequent content. A value of true indicates that color mapping is enabled. A value of false indicates that color mapping is disabled.\n\n## DocExComment\\_BeginStructNode\n\nThe DocExComment\\_BeginStructNode structure marks the start of a document structure node. Structure nodes serve one of two possible purposes:\n\n - Structure nodes can identify the type of content they contain and specify the hierarchical relationship between that content and other content in the document.\n - Structure nodes can specify alternate text for elements in the document.\n\nis\n\nIf the fContentNode member has a true value, the DocExComment\\_BeginStructNode followed later in the document by a DocExComment\\_EndStructNode . The DocExComment\\_EndStructNode marks the end of the content that is wrapped by the information in the DocExComment\\_BeginStructNode .", - "page_start": 18, - "page_end": 18, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\n\n```\nC++ typedef struct { DWORD ident {}; DWORD iComment {}; BYTE colorInfo[]; } DocExComment\\_EPSColor;\n```\n\nThe members of the DocExComment\\_EPSColor structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSColor.\n - colorInfo[] Specifies the color information for the EPS file. The add-in should pass this information to Publisher using the IMsoDocExporterSite::SetEPSInfo method.\n\n## DocExComment\\_EPSColorCMYKJPEG\n\nThe DocExComment\\_EPSColorCMYKJPEG structure specifies the start, in the EMF, of a binary object that is a CMYKJPEG file stream. For more information about this structure, see the section Extended Color Support.\n\n```\nC++ typedef struct { DWORD ident {}; DWORD iComment {}; } DocExComment\\_EPSColorCMYKJPEG;\n```\n\nThe members of the DocExComment\\_EPSColorCMYKJPEG structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSCMYKJPEG;\n\n## DocExComment\\_EPSColorSpotImage", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - }, - { - "text": "Figure 5.4. Signikance o\\ the V-n Diagram\n\n", - "page_start": 353, - "page_end": 353, - "source_file": "00-80T-80.pdf" - }, - { - "text": "| Chunhui Gu, Chen Sun, David A Ross, Carl Vondrick, Caro- line Pantofaru, Yeqing Li, Sudheendra Vijayanarasimhan, George Toderici, Susanna Ricco, Rahul Sukthankar, et al. Ava: A video dataset of spatio-temporally localized atomic visual actions. In Proceedings of the IEEE conference on , pages 6047-6056, | Hsin-Ying Lee, Jia-Bin Huang, Maneesh Singh, and Ming- Hsuan Yang. Unsupervised representation learning by sorting sequences. In Proceedings of the IEEE international conference on computer vision , pages 667-676, 2017. |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| computer vision and pattern recognition 2018. Agrim Gupta, Jiajun Wu, Jia Deng, and Li Fei-Fei. Siamese | Kunchang Li, Yali Wang, Peng Gao, Guanglu Song, Yu Liu, Hongsheng Li, and Yu Qiao. Uniformer: Unified trans- former for efficient spatiotemporal representation learning. arXiv preprint arXiv:2201.04676 , 2022. |\n| masked autoencoders. arXiv preprint arXiv:2305.14344 , 2023. | Ilya Loshchilov and Frank Hutter. Decoupled weight decay regularization. arXiv preprint arXiv:1711.05101 , 2017. |\n| Michael U Gutmann and Aapo Hyvärinen. Noise-contrastive estimation of unnormalized statistical models, with appli- cations to natural image statistics. Journal of machine learning research , 13(2), 2012. | Antoine Miech, Dimitri Zhukov, Jean-Baptiste Alayrac, Makarand Tapaswi, Ivan Laptev, and Josef Sivic. Howto100m: Learning a text-video embedding by watch- ing hundred million narrated video clips. In Proceedings |\n| Tengda Han, Weidi Xie, and Andrew Zisserman. Video representation learning by dense predictive coding. In Proceedings of the IEEE/CVF International Conference | of the IEEE/CVF international conference on computer vision , pages 2630-2640, 2019. |\n| on Computer Vision Workshops , pages 0-0, 2019. Tengda Han, Weidi Xie, and Andrew Zisserman. Memory- augmented dense predictive coding for video representation | Mehdi Noroozi and Paolo Favaro. Unsupervised learning of visual representations by solving jigsaw puzzles. In Euro- pean conference on computer vision , pages 69-84. Springer, 2016. |", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv3.pdf" - }, - { - "text": "| Neural Networks-ICANN 2001: International Conference Vienna, Austria, August 21-25, 2001 Proceedings 11 , pages 1075-1080. Springer, 2001. | pervision. In International conference on machine learning pages 8748-8763. PMLR, 2021. |\n| Gustav Larsson, Michael Maire, and Gregory Shakhnarovich. Learning representations for automatic colorization. 2016. | Rajesh PN Rao and Dana H Ballard. Predictive coding extra-classical receptive-field effects. |\n| Gustav Larsson, Michael Maire, and Gregory Shakhnarovich. | in the visual cortex: a functional interpretation of some Nature neuroscience , |\n| | 2(1):79-87, 1999. |\n| Colorization as a proxy task for visual understanding. 2017. Yann LeCun. A path towards autonomous machine intelli- gence version 0.9. 2, 2022-06-27. 2022. | Olga Russakovsky, Jia Deng, Hao Su, Jonathan Krause, San- jeev Satheesh, Sean Ma, Zhiheng Huang, Andrej Karpathy, Aditya Khosla, Michael Bernstein, Alexander C. Berg, and |", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv3.pdf" - }, - { - "text": "Figure 6. Chain traces. Each color signifies an individual chain.\n\n\n\nFigure 7. Posterior estimates of the α parameter plotted against the prior for two synthetic subjects, one from each group.\n\n\n\nWe then, as is often the case in computational psychiatry, wanted to compare the distributions of parameter values between the two groups. We extracted the median of the estimated posteriors for each subject and plotted them against the value used to generate\n\n```\n✞ # Sample from the model prior prior\\_chains = sample(model, Prior(), 1000) # Rename parameters from the prior chains to match the posterior chains renamed\\_prior\\_chains = rename\\_chains(prior\\_chains, model) # Plot the posterior and prior for the first subject plot\\_parameters(renamed\\_prior\\_chains[:,1:1,:], renamed\\_posterior\\_chains[:,1:1,:]) # Visualize the true alpha value vline!([data[1,:Alpha]], line=:dash, color = :darkorange2, label = \"Generative Alpha\") # Plot the posterior and prior for the last subject plot\\_parameters(renamed\\_prior\\_chains[:,10:10,:], renamed\\_posterior\\_chains[:,10:10,:]) # Visualize the true alpha value vline!([data[3000,:Alpha]], line=:dash, color = :darkorange2, label = \"Generative Alpha\") ✝\n```\n\n☎\n\n✆", - "page_start": 26, - "page_end": 26, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "B\n\n", - "page_start": 107, - "page_end": 107, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "office-pdf.pdf", - "query": "What are msodocexMetadataComments ?", - "target_page": 35, - "target_passage": "Miscellaneous comments relevant to the document.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "The metadatatype parameter specifies the type of metadata represented by the string. The metadatatype parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nTable 8. Enumerated values of MSODOCEXMETADATA\n\n\n\nExpand table\n\n| Value | Description |\n|--------------------------|--------------------------------------------------------------------------------------------------------------------------------|\n| msodocexMetadataTitle | The title of the document. |\n| msodocexMetadataAuthor | The author of the document |\n| msodocexMetadataSubject | String that describes the subject matter of the document (for example, business or science). |\n| msodocexMetadataKeywords | Keyword relevant to the document content. |\n| msodocexMetadataCreator | The creator of the document, possibly distinct from the author. |\n| msodocexMetadataProducer | The producer of the document, possibly distinct from the author or creator. |\n| msodocexMetadataCategory | String that describes the type of document (for example, memo, article, or book). |\n| msodocexMetadataStatus | Status of the document. This field can reflect where the document is in the publication process (for example, draft or final). |\n| msodocexMetadataComments | Miscellaneous comments relevant to the document. |\n\nFor a given document, each metadata type can have only one string associated with it. So, for example, if the document has multiple keywords, they are passed to the add-in as one concatenated string.\n\nThe pwchValue parameter specifies a Unicode string that contains the metadata itself.\n\nHow the add-in incorporates the text-string metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n## HrAddDocumentMetadataDate\n\nPublisher calls the HrAddDocumentMetadataDate method to specify document metadata in the form of a FILETIME structure.", - "page_start": 34, - "page_end": 34, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nC++ HRESULT HrAddDocumentMetadataDate( MSODOCEXMETADATA metadataType, const FILETIME* pftLocalTime );\n```\n\nThe metadatatype parameter specifies the type of metadata represented by the FILETIME structure. The metadatatype parameter must be one of the following values from the MSODOCEXMETADATA enumeration type.\n\nﾉ\n\nExpand table\n\nTable 9. Enumerated values of MSODOCEXMETADATA\n\n| Value | Description |\n|------------------------------|------------------------------------------|\n| msodocexMetadataCreationDate | The creation date for the document. |\n| msodocexMetadataModDate | The last-modified date for the document. |\n\nThe pftLocalTime parameter specifies a pointer to a FILETIME structure that contains the date and time information for the metadata. The following code snippet demonstrates how to extract this information from the structure.\n\n```\nC++ SYSTEMTIME st = { 0 }; WCHAR s[100]; FileTimeToSystemTime(pfiletime, &st); swprintf(s, 99, L\" %04d-%02d-%02dT%02d:%02d:%02dZ\", st.wYear % 10000, st.wMonth % 100, st.wDay % 100, st.wHour % 100, st.wMinute % 100, st.wSecond % 100);\n```\n\nHow the add-in incorporates the date and time metadata into the exported document depends on the implementation details of the export code and the type of fixed-format used in the exported document.\n\n## HrFinalize\n\nPublisher calls the HrFinalize method at the end of the document-export process.\n\n```\nC++\n```", - "page_start": 35, - "page_end": 35, - "source_file": "office-pdf.pdf" - }, - { - "text": "- iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEndTextRun.\n\n## DocExComment\\_UnicodeForNextTextOut\n\nThe DocExComment\\_UnicodeForNextTextOut structure functions similarly to the DocExComment\\_BeginTextRun and DocExComment\\_EndTextRun structures. However, DocExComment\\_UnicodeForNextTextOut specifies Unicode code points for only the following EMF TextOut record, rather than for a block of EMF content bounded by begin and end structures.\n\n```\nC++ struct DocExComment\\_UnicodeForNextTextOut { DWORD ident {}; DWORD iComment {}; int cGlyphIndex {}; int cwchActualText {}; };\n```\n\nThe members of the DocExComment\\_UnicodeForNextTextOut structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentUnicodeForNextTextOut.\n - cGlyphIndex Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph.\n - cwchActualText Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility.\n\n## DocExComment\\_EPSColor\n\nThe DocExComment\\_EPSColor structure specifies color information for an encapsulated PostScript (EPS) file embedded in the EMF. For more information about this structure,", - "page_start": 25, - "page_end": 25, - "source_file": "office-pdf.pdf" - }, - { - "text": "| Type Value | Description |\n|-----------------------------------|-----------------------------------|\n| msodocexStructTypeTOC | A table of contents. |\n| msodocexStructTypeTOCI | An item in a table of contents. |\n| msodocexStructTypeExtLink | A link to an external resource. |\n| msodocexStructTypeIntLink | A link to an internal resource. |\n| msodocexStructTypeFootnote | A footnote. |\n| msodocexStructTypeEndnote | An endnote. |\n| msodocexStructTypeTextbox | A text box. |\n| msodocexStructTypeHeader | A block of text forming a header. |\n| msodocexStructTypeFooter | A footer. |\n| msodocexStructInlineShape | An inline shape. |\n| msodocexStructAnnotation | An annotation. |\n| msodocexStructTypeSpanBlock | A block of text. |\n| msodocexStructTypeWorkbook | A workbook. |\n| msodocexStructTypeWorksheet | A worksheet. |\n| msodocexStructTypeMacrosheet | A macrosheet. |\n| msodocexStructTypeDialogsheet | A dialogsheet. |\n| msodocexStructTypeSlide | A slide. |\n| msodocexStructTypeChart | A chart. |\n| msodocexStructTypeDiagram | A SmartArt diagram. |\n| msodocexStructTypeBulletText | Buller text. |\n| msodocexStructTypeTextLine | A line of text. |\n| msodocexStructTypeDropCap | A drop cap. |\n| msodocexStructTypeSection | A section. |\n| msodocexStructTypeAnnotationBegin | The beginning of an annotation. |\n| msodocexStructTypeAnnotationEnd | The end of an annotation. |", - "page_start": 21, - "page_end": 21, - "source_file": "office-pdf.pdf" - }, - { - "text": "## DocExComment\\_EndStructNode\n\nThe DocExComment\\_EndStructNode structure marks the end of the content that is decorated by the information in the DocExComment\\_BeginStructNode .\n\n```\nC++ struct DocExComment\\_EndStructNode { DWORD ident {}; DWORD iComment {}; };\n```\n\nThe members of the DocExComment\\_EndStructNode structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEndStructNode.\n\n## DocExComment\\_BeginTextRun\n\nThe DocExComment\\_BeginTextRun structure identifies the language of a sequence of text in the document and provides the Unicode code points for the text.\n\nAlthough some text-rendering EMF records use Unicode as the text representation, others use the glyphs that are drawn on the screen, rather than the original source text. A glyph is the index of a given shape in the font, which can be different from font to font.\n\nThere can be cases where several Unicode code points are combined into a single glyph or where a single Unicode code point is broken into multiple glyphs. Because the mapping from code points to glyphs is context-dependent, a user cannot text search or copy/paste in a document that contains only glyphs. Therefore, Publisher sometimes provides the Unicode text as well as the glyphs.\n\n```\nC++ struct DocExComment\\_BeginTextRun { DWORD ident {}; DWORD iComment {}; DWORD lcid {}; int cGlyphIndex {};\n```", - "page_start": 23, - "page_end": 23, - "source_file": "office-pdf.pdf" - }, - { - "text": "## ﾉ Expand table\n\n| Comment Value | Structure Type |\n|-----------------------------------------|------------------------------------|\n| msodocexcommentExternalHyperlink | DocExComment\\_ExternalHyperlink |\n| msodocexcommentExternalHyperlinkRctfv | DocExComment\\_ExternalHyperlink |\n| msodocexcommentInternalHyperlink | DocExComment\\_InternalHyperlink |\n| msodocexcommentInternalHyperlinkRctfv | DocExComment\\_InternalHyperlink |\n| msodocexcommentColorInfo | DocExComment\\_ColorInfo |\n| msodocexcommentColorMapEnable | DocExComment\\_ColorEnable |\n| msodocexcommentBeginTextRun | DocExComment\\_BeginTextRun |\n| msodocexcommentBeginTextRunRTL | DocExComment\\_BeginTextRun |\n| msodocexcommentEndTextRun | DocExComment\\_EndTextRun |\n| msodocexcommentBeginStructNode | DocExComment\\_BeginStructNode |\n| msodocexcommentEndStructNode | DocExComment\\_EndStructNode |\n| msodocexcommentUnicodeForNextTextOut | DocExComment\\_UnicodeForNextTextOut |\n| msodocexcommentUnicodeForNextTextOutRTL | DocExComment\\_UnicodeForNextTextOut |\n| msodocexcommentEPSColor | DocExComment\\_EPSColor |\n| msodocexcommentEPSCMYKJPEG | DocExComment\\_EPSColorCMYKJPEG |\n| msodocexcommentEPSSpotImage | DocExComment\\_EPSColorSpotImage |\n| msodocexcommentEPSStart | DocExComment\\_EPSStart |\n| msodocexcommentPageName | DocExComment\\_PageName |\n| msodocexcommentTransparent | DocExComment\\_Transparent |\n\n## DocExComment\\_ExternalHyperlink(Rctfv)\n\nThe DocExComment\\_ExternalHyperlink(Rctfv) structure describes a hyperlink that links to outside of the document, for example to a Web site on the Internet.", - "page_start": 14, - "page_end": 14, - "source_file": "office-pdf.pdf" - }, - { - "text": "see the section Extended Color Support.\n\n```\nC++ typedef struct { DWORD ident {}; DWORD iComment {}; BYTE colorInfo[]; } DocExComment\\_EPSColor;\n```\n\nThe members of the DocExComment\\_EPSColor structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSColor.\n - colorInfo[] Specifies the color information for the EPS file. The add-in should pass this information to Publisher using the IMsoDocExporterSite::SetEPSInfo method.\n\n## DocExComment\\_EPSColorCMYKJPEG\n\nThe DocExComment\\_EPSColorCMYKJPEG structure specifies the start, in the EMF, of a binary object that is a CMYKJPEG file stream. For more information about this structure, see the section Extended Color Support.\n\n```\nC++ typedef struct { DWORD ident {}; DWORD iComment {}; } DocExComment\\_EPSColorCMYKJPEG;\n```\n\nThe members of the DocExComment\\_EPSColorCMYKJPEG structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentEPSCMYKJPEG;\n\n## DocExComment\\_EPSColorSpotImage", - "page_start": 26, - "page_end": 26, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nint cwchActualText {}; };\n```\n\nThe members of the DocExComment\\_BeginTextRun structure are as follows:\n\n - Ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.\n - iComment Specifies the MSODOCEXCOMMENT value, msodocexcommentBeginTextRun.\n - lcid Specifies the LCID for the text sequence.\n - cGlyphIndex Specifies the size of an array that follows this structure. This array implements a glyph index table that maps Unicode code points in the actual text to the corresponding glyphs in the EMF. Each element of the array corresponds to a code point in the text. The value of that element specifies the first glyph used to render that code point in the EMF. Two or more adjacent code points may have the same value in the array, which means that they both resolve to the same glyph. The value can also be 0 , which means that this code point does not map to any glyph.\n - cwchActualText Specifies the size of the sequence of Unicode code points that follow the glyph index table. This is the text that a consumer of the document can use for searching, copying/pasting, and accessibility. The value of this member can be 0 , which means that no Unicode text is provided.\n\n## DocExComment\\_EndTextRun\n\nThe DocExComment\\_EndTextRun structure marks the end of a text sequence, the beginning of which was marked by a DocExComment\\_BeginTextRun structure.\n\n```\nC++ struct DocExComment\\_EndTextRun { DWORD ident {}; DWORD iComment {}; };\n```\n\nThe members of the DocExComment\\_EndTextRun structure are as follows:\n\n - ident Specifies the constant value, msodocexsignature, which identifies this EMF comment as containing semantic information.", - "page_start": 24, - "page_end": 24, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\ntypedef struct \\_MsoDocexStructNode { int idNode; MSODOCEXSTRUCTTYPE nodetype; WCHAR* pwchAltText; union { int iHeadingLevel; ULONG idPara; ULONG idDropCap; int iPage; WCHAR* pwchActualText; MSODOCEXLINEBREAKTYPE bt; int iListLevel; MSODOCEXLISTTYPE listType; ULONG idAtn; long cpLim; int shapeProperty; MsoDocexTableAttr tableAttr; WCHAR* idTableHeader; int iTargetParentId; }; } MSODOCEXSTRUCTNODE;\n```\n\nThe idNode member specifies the ID of the node being passed in the call to HrBeginStructNode . This member may not have a value of 0 . A value of -1 indicates that child nodes do not use the idNodeParent parameter to specify this node as their parent. Instead, this node can be a parent only by enclosing child nodes in the EMF. Multiple nodes can have an ID of -1 . If the ID is not -1 , the value is unique across the document.\n\nThe embedded union at the end of the MSODOCEXSTRUCTNODE is interpreted differently depending on the type of node:\n\n- iHeadingLevel is the heading level for an msodocexStructTypeHeading.\n- idPara is the paragraph id for a P, TOCI, or ListBody.\n- idDropCap is the id of an msodocexStructTypeDropCap.\n- iPage is the page number for an msodocexStructTypePage.\n- bt is the line break type for an msodocexStructTypeTextLine.\n- iListLevel is the list level for an msodocexStructTypeList or msodocexStructTypeListItem.\n- listType is the list type for an msodocexStructTypeListItem.\n- idAtn is the id of an msodocexStructTypeAnnotationBegin or msodocexStructTypeAnnotationEnd.\n- cpLim is used to determine the nesting order of tables within tables for an msodocexStructTypeTable, msodocexStructTypeTOC, or msodocexStructTypeListBody.", - "page_start": 8, - "page_end": 8, - "source_file": "office-pdf.pdf" - }, - { - "text": "```\nint idNode {}; WCHAR rgwchNodeText[cwchMaxNodeText]; int iDestPage {}; float dytfvDestPage {}; float dxtfvDestOffset {}; float dytfvDestOffset {}; } MSODOCEXOUTLINENODE;\n```\n\nThe members of the MSODOCEXOUTLINENODE are described as follows:\n\n - idNode The ID for the node. A value of -1 indicates that this node cannot have child nodes in the outline. Otherwise, this member has a value that is unique across the document.\n - rgwchNodeText A Unicode string that represents the title text for each node. This text is not required to be unique across the outline.\n - iDestPage The page number of the page that contains the destination location within the document.\n - dytfvDestPage The height of the destination page in points. The offset specified by the dytfvDestOffset member is relative to the upper-left corner of the page. However, some fixed-format types use a coordinate system that is relative to the bottom-left corner of the page. For these types of documents, the page height is required to convert the offset.\n - dxtfvDestOffset The horizontal offset of the destination location on the destination page.\n - dytfvDestOffset The vertical offset of the destination location on the destination page.\n\n## HrAddDocumentMetadataString\n\nPublisher calls the HrAddDocumentMetadataString method to specify document metadata in the form of a Unicode string.\n\n```\nC++ HRESULT HrAddDocumentMetadataString( MSODOCEXMETADATA metadataType, const WCHAR* pwchValue );\n```", - "page_start": 33, - "page_end": 33, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What are the total operating expenses of Wikimedia foundation in 2024 ?", - "target_page": 6, - "target_passage": "178,471,109", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\ndirect costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the programs benefited and supporting services for the years ended June 30, 2024 and 2023, as follows:\n\n| | 2024 | 2024 | 2024 | 2024 |\n|-------------------------------|---------------|----------------------------|-------------|-------------|\n| | Programs | General and administrative | Fundraising | Total |\n| Salaries and benefits | $ 83,645,901 | 14,018,534 | 9,129,525 | 106,793,960 |\n| Awards and grants | 26,820,080 | - | - | 26,820,080 |\n| Internet hosting | 3,116,257 | 188 | - | 3,116,445 |\n| In-kind service expenses | 228,338 | 35,138 | - | 263,476 |\n| Donation processing expenses | - | - | 7,547,718 | 7,547,718 |\n| Professional service expenses | 9,670,261 | 1,870,513 | 1,549,266 | 13,090,040 |\n| Other operating expenses | 6,420,517 | 3,808,725 | 568,898 | 10,798,140 |\n| Travel and conferences | 4,979,409 | 536,887 | 308,683 | 5,824,979 |\n| Depreciation and amortization | 3,471,509 | 744,762 | - | 4,216,271 |\n| | $ 138,352,272 | 21,014,747 | 19,104,090 | 178,471,109 |\n\n| | 2023 | 2023 | 2023 | 2023 |\n|-------------------------------|---------------|----------------------------|-------------|-------------|\n| | Programs | General and administrative | Fundraising | Total |\n| Salaries and wages | $ 77,845,272 | 14,486,209 | 8,974,225 | 101,305,706 |\n| Awards and grants | 24,426,682 | 7,000 | - | 24,433,682 |\n| Internet hosting | 3,119,234 | 1,585 | - | 3,120,819 |\n| In-kind service expenses | 998,857 | 41,596 | - | 1,040,453 |\n| Donation processing expenses | - | - | 6,855,680 | 6,855,680 |\n| Professional service expenses | 11,785,153 | 2,297,431 | 1,382,051 | 15,464,635 |\n| Other operating expenses | 2,752,153 | 4,102,006 | 539,823 | 7,393,982 |\n| Travel and conferences | 3,799,260 | 530,517 | 548,583 | 4,878,360 |\n| Depreciation and amortization | 3,837,307 | 764,757 | - | 4,602,064 |\n| | $ 128,563,918 | 22,231,101 | 18,300,362 | 169,095,381 |\n\nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and individuals in projects that further the mission of the Foundation. Chapters are independent organizations that share the goals of the Foundation and support the goals within a specified geographical region. In addition to this work, which is reflected above in the awards and grants line, an overwhelming majority of the Foundation's project activities are carried out by an international network of volunteers, whose activity is not reflected in the tables above.", - "page_start": 16, - "page_end": 16, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## For example (unaudited):\n\n - · Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n - · For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n - · For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n - · Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## (7) Operating Leases\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | Lease payments |\n|------------------------------|------------------|\n| Year ending June 30: | |\n| 2025 | 419,791 |\n| Total minimum lease payments | $ 419,791 |\n\n## (8) Retirement Plan\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "\n\n## WIKIMEDIA FOUNDATION, INC.\n\nConsolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n(With Independent Auditors' Report Thereon)", - "page_start": 0, - "page_end": 0, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nand free to everyone in the world, the Foundation's cost related to this collaborative arrangement is included within awards and grants in the statement of activities. The amount included within awards and grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively.\n\n## (p) Use of Estimates\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and accompanying notes. Items subject to such estimates and assumptions include the investment valuations, useful lives of fixed assets, and the valuation of contributed services. Accordingly, actual results could differ from those estimates.\n\n## (q) Reclassifications\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the 2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and losses on investments separately from investment income, net. This resulted in a reclassification of $3,547,510 from investment income, net to unrealized gains on investments within the statement of activities. The Foundation also had a change in accounting policy to no longer present the Wikimania event as special event expense, net in the statement of activities. Revenue from registration sales is now reported within other income, net, and expenses are reported within travel and conference expenses. This resulted in a reclassification of $698,141 from special event expenses to travel and conference expenses in the statement of activities.\n\n## (2) Contributions Receivable\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents contributions receivable from two grants, as well as contributions receivable from payment processors.", - "page_start": 12, - "page_end": 12, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n## (11) Contingencies and Commitments\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n## (12) Subsequent Events\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## (9) Liquidity and Availability of Financial Assets\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| | 2024 | 2023 |\n|----------------------------------------------------------------------------------------|---------------|-------------|\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Current contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Total financial assets | 199,776,579 | 208,025,068 |\n| Less: | | |\n| Restricted by donors for programs | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for general expenditures within one year | $ 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n## (10) Related Party Transactions\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation ' s expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n| | 2024 | 2023 |\n|---------------------------------------------------------------------------|---------------|-------------|\n| Net assets without donor restrictions: | | |\n| Support and revenue: | | |\n| Contributions of cash and other financial assets | $ 168,212,977 | 164,121,185 |\n| Contributions of nonfinancial assets and services | 263,476 | 1,040,453 |\n| Foreign currency losses | (300,907) | (94,868) |\n| Other income, net | 5,629,773 | 3,824,240 |\n| Investment income, net | 5,096,842 | 3,002,929 |\n| Release of net assets with donor restrictions | 6,481,350 | 4,732,654 |\n| Total support and revenue | 185,383,511 | 176,626,593 |\n| Operating expenses: | | |\n| Salaries and benefits | 106,793,960 | 101,305,706 |\n| Awards and grants | 26,820,080 | 24,433,682 |\n| Internet hosting | 3,116,445 | 3,120,819 |\n| In-kind service expenses | 263,476 | 1,040,453 |\n| Donation processing expenses | 7,547,718 | 6,855,680 |\n| Professional service expenses | 13,090,040 | 15,464,635 |\n| Other operating expenses | 10,798,140 | 7,393,982 |\n| Travel and conferences | 5,824,979 | 4,878,359 |\n| Depreciation and amortization | 4,216,271 | 4,602,064 |\n| Total operating expenses | 178,471,109 | 169,095,380 |\n| Change in net assets without donor restrictions from operating activities | 6,912,402 | 7,531,213 |\n| Nonoperating activities: | | |\n| Unrealized gains on investments, net | 9,858,001 | 3,547,510 |\n| Change in net assets without donor restrictions | 16,770,403 | 11,078,723 |\n| Net assets with donor restrictions: | | |\n| Contributions with donor restrictions | 6,295,000 | 9,273,736 |\n| Net assets released from restrictions | (6,481,350) | (4,732,654) |\n| Increase (decrease) in net assets with donor restrictions | (186,350) | 4,541,082 |\n| Increase in net assets | 16,584,053 | 15,619,805 |\n| Net assets at beginning of year | 254,971,337 | 239,351,532 |\n| Net assets at end of year | $ 271,555,390 | 254,971,337 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Consolidated Statements of Cash Flows\n\nYears ended June 30, 2024 and 2023", - "page_start": 6, - "page_end": 6, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## (4) Property and Equipment, Net\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n| | 2024 | 2023 |\n|------------------------------------------------|--------------|--------------|\n| Furniture | $ 72,042 | 737,143 |\n| Leasehold improvements | - | 2,074,581 |\n| Computer equipment | 22,821,120 | 21,941,684 |\n| Internal use software | 2,507,701 | 5,198,574 |\n| Total | 25,400,863 | 29,951,982 |\n| Less accumulated depreciation and amortization | (13,574,727) | (15,906,843) |\n| Property and equipment, net | $ 11,826,136 | 14,045,139 |\n\n## (5) Net Assets\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n| | 2024 | 2023 |\n|----------------------------------------------|-------------|-----------|\n| Restricted to future periods: | $ 50,000 | 100,000 |\n| Restricted by purpose: | | |\n| Abstract Wikipedia | 861,008 | 1,249,004 |\n| Artificial intelligence | 239,878 | - |\n| Endowment support | - | 1,297,620 |\n| Future Audiences | 500,000 | - |\n| Knowledge equity | 965,910 | 2,228,134 |\n| Machine learning | 24,528 | 860,620 |\n| Media Wiki | 1,500,000 | - |\n| Other | 125,000 | 147,295 |\n| Restricted to future periods and by purpose: | | |\n| Artificial intelligence | 1,430,000 | - |\n| Net assets with donor restrictions | $ 5,696,324 | 5,782,673 |\n\n## (6) Functional Allocation of Expenses\n\nCosts of providing the Foundation's activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Consolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n| Assets | 2024 | 2023 |\n|-------------------------------------------|---------------|-------------|\n| Current assets: | | |\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Prepaid expenses and other current assets | 5,722,457 | 5,569,485 |\n| Total current assets | 205,499,036 | 213,594,553 |\n| Restricted cash | 1,428,542 | 1,396,717 |\n| Long-term investments | 67,291,224 | 43,265,786 |\n| Right of use asset - operating lease, net | - | 1,821,174 |\n| Property and equipment, net | 11,826,136 | 14,045,139 |\n| Contributions receivable | 715,000 | - |\n| Total assets | $ 286,759,938 | 274,123,369 |\n| Liabilities and Net Assets | | |\n| Current liabilities: | | |\n| Accounts payable | $ 4,009,582 | 2,783,904 |\n| Accrued expenses | 7,959,558 | 6,922,259 |\n| Lease liability | 417,756 | 1,640,735 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Other liabilities | 2,292,045 | 2,124,939 |\n| Total current liabilities | 15,204,548 | 18,746,285 |\n| Lease liability | - | 405,748 |\n| Total liabilities | $ 15,204,548 | 19,152,033 |\n| Net assets: | | |\n| Net assets without donor restrictions | 265,859,067 | 249,088,663 |\n| Net assets with donor restrictions | 5,696,323 | 5,882,673 |\n| Total net assets | 271,555,390 | 254,971,336 |\n| Total liabilities and net assets | $ 286,759,938 | 274,123,369 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 4, - "page_end": 4, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What external events can affect Wikimedia Fundation in raising funds ?", - "target_page": 8, - "target_passage": "External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds.", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n## (11) Contingencies and Commitments\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n## (12) Subsequent Events\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## For example (unaudited):\n\n - · Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n - · For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n - · For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n - · Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## (7) Operating Leases\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | Lease payments |\n|------------------------------|------------------|\n| Year ending June 30: | |\n| 2025 | 419,791 |\n| Total minimum lease payments | $ 419,791 |\n\n## (8) Retirement Plan\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n## (l) Contributions of Nonfinancial Assets and Services\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n## (m) Revenue Recognition - Contracts With Customers\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## (9) Liquidity and Availability of Financial Assets\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| | 2024 | 2023 |\n|----------------------------------------------------------------------------------------|---------------|-------------|\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Current contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Total financial assets | 199,776,579 | 208,025,068 |\n| Less: | | |\n| Restricted by donors for programs | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for general expenditures within one year | $ 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n## (10) Related Party Transactions\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation ' s expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\ndirect costs incurred for the relevant activities. Accordingly, certain costs have been allocated among the programs benefited and supporting services for the years ended June 30, 2024 and 2023, as follows:\n\n| | 2024 | 2024 | 2024 | 2024 |\n|-------------------------------|---------------|----------------------------|-------------|-------------|\n| | Programs | General and administrative | Fundraising | Total |\n| Salaries and benefits | $ 83,645,901 | 14,018,534 | 9,129,525 | 106,793,960 |\n| Awards and grants | 26,820,080 | - | - | 26,820,080 |\n| Internet hosting | 3,116,257 | 188 | - | 3,116,445 |\n| In-kind service expenses | 228,338 | 35,138 | - | 263,476 |\n| Donation processing expenses | - | - | 7,547,718 | 7,547,718 |\n| Professional service expenses | 9,670,261 | 1,870,513 | 1,549,266 | 13,090,040 |\n| Other operating expenses | 6,420,517 | 3,808,725 | 568,898 | 10,798,140 |\n| Travel and conferences | 4,979,409 | 536,887 | 308,683 | 5,824,979 |\n| Depreciation and amortization | 3,471,509 | 744,762 | - | 4,216,271 |\n| | $ 138,352,272 | 21,014,747 | 19,104,090 | 178,471,109 |\n\n| | 2023 | 2023 | 2023 | 2023 |\n|-------------------------------|---------------|----------------------------|-------------|-------------|\n| | Programs | General and administrative | Fundraising | Total |\n| Salaries and wages | $ 77,845,272 | 14,486,209 | 8,974,225 | 101,305,706 |\n| Awards and grants | 24,426,682 | 7,000 | - | 24,433,682 |\n| Internet hosting | 3,119,234 | 1,585 | - | 3,120,819 |\n| In-kind service expenses | 998,857 | 41,596 | - | 1,040,453 |\n| Donation processing expenses | - | - | 6,855,680 | 6,855,680 |\n| Professional service expenses | 11,785,153 | 2,297,431 | 1,382,051 | 15,464,635 |\n| Other operating expenses | 2,752,153 | 4,102,006 | 539,823 | 7,393,982 |\n| Travel and conferences | 3,799,260 | 530,517 | 548,583 | 4,878,360 |\n| Depreciation and amortization | 3,837,307 | 764,757 | - | 4,602,064 |\n| | $ 128,563,918 | 22,231,101 | 18,300,362 | 169,095,381 |\n\nThe Foundation has a program of awarding grants to support chapters, affiliates, user groups, and individuals in projects that further the mission of the Foundation. Chapters are independent organizations that share the goals of the Foundation and support the goals within a specified geographical region. In addition to this work, which is reflected above in the awards and grants line, an overwhelming majority of the Foundation's project activities are carried out by an international network of volunteers, whose activity is not reflected in the tables above.", - "page_start": 16, - "page_end": 16, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\nNotes to Consolidated Financial Statements June 30, 2024 and 2023\n\n## (1) Organization and Summary of Significant Accounting Policies\n\n## (a) Organization and Purpose\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n## (b) Risks and Uncertainties\n\nThe Foundation's operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n## (c) Income Taxes\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n## (d) Financial Statement Presentation\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, Not-for-Profit Entities .\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nand free to everyone in the world, the Foundation's cost related to this collaborative arrangement is included within awards and grants in the statement of activities. The amount included within awards and grants was $6.1 million and $4.1 million for the years ended June 30, 2024 and 2023, respectively.\n\n## (p) Use of Estimates\n\nThe preparation of financial statements in conformity with U.S. generally accepted accounting principles requires management to make estimates and assumptions that affect the amounts reported in the consolidated financial statements and accompanying notes. Items subject to such estimates and assumptions include the investment valuations, useful lives of fixed assets, and the valuation of contributed services. Accordingly, actual results could differ from those estimates.\n\n## (q) Reclassifications\n\nCertain reclassifications have been made in the financial statements to conform 2023 information to the 2024 presentation. The Foundation had a change in accounting policy to present unrealized gains and losses on investments separately from investment income, net. This resulted in a reclassification of $3,547,510 from investment income, net to unrealized gains on investments within the statement of activities. The Foundation also had a change in accounting policy to no longer present the Wikimania event as special event expense, net in the statement of activities. Revenue from registration sales is now reported within other income, net, and expenses are reported within travel and conference expenses. This resulted in a reclassification of $698,141 from special event expenses to travel and conference expenses in the statement of activities.\n\n## (2) Contributions Receivable\n\nAs of June 30, 2024 and 2023, contributions receivable is $1,571,657 and $0, respectively, and represents contributions receivable from two grants, as well as contributions receivable from payment processors.", - "page_start": 12, - "page_end": 12, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n| | 2024 | 2023 |\n|---------------------------------------------------------------------------|---------------|-------------|\n| Net assets without donor restrictions: | | |\n| Support and revenue: | | |\n| Contributions of cash and other financial assets | $ 168,212,977 | 164,121,185 |\n| Contributions of nonfinancial assets and services | 263,476 | 1,040,453 |\n| Foreign currency losses | (300,907) | (94,868) |\n| Other income, net | 5,629,773 | 3,824,240 |\n| Investment income, net | 5,096,842 | 3,002,929 |\n| Release of net assets with donor restrictions | 6,481,350 | 4,732,654 |\n| Total support and revenue | 185,383,511 | 176,626,593 |\n| Operating expenses: | | |\n| Salaries and benefits | 106,793,960 | 101,305,706 |\n| Awards and grants | 26,820,080 | 24,433,682 |\n| Internet hosting | 3,116,445 | 3,120,819 |\n| In-kind service expenses | 263,476 | 1,040,453 |\n| Donation processing expenses | 7,547,718 | 6,855,680 |\n| Professional service expenses | 13,090,040 | 15,464,635 |\n| Other operating expenses | 10,798,140 | 7,393,982 |\n| Travel and conferences | 5,824,979 | 4,878,359 |\n| Depreciation and amortization | 4,216,271 | 4,602,064 |\n| Total operating expenses | 178,471,109 | 169,095,380 |\n| Change in net assets without donor restrictions from operating activities | 6,912,402 | 7,531,213 |\n| Nonoperating activities: | | |\n| Unrealized gains on investments, net | 9,858,001 | 3,547,510 |\n| Change in net assets without donor restrictions | 16,770,403 | 11,078,723 |\n| Net assets with donor restrictions: | | |\n| Contributions with donor restrictions | 6,295,000 | 9,273,736 |\n| Net assets released from restrictions | (6,481,350) | (4,732,654) |\n| Increase (decrease) in net assets with donor restrictions | (186,350) | 4,541,082 |\n| Increase in net assets | 16,584,053 | 15,619,805 |\n| Net assets at beginning of year | 254,971,337 | 239,351,532 |\n| Net assets at end of year | $ 271,555,390 | 254,971,337 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Consolidated Statements of Cash Flows\n\nYears ended June 30, 2024 and 2023", - "page_start": 6, - "page_end": 6, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Consolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n| Assets | 2024 | 2023 |\n|-------------------------------------------|---------------|-------------|\n| Current assets: | | |\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Prepaid expenses and other current assets | 5,722,457 | 5,569,485 |\n| Total current assets | 205,499,036 | 213,594,553 |\n| Restricted cash | 1,428,542 | 1,396,717 |\n| Long-term investments | 67,291,224 | 43,265,786 |\n| Right of use asset - operating lease, net | - | 1,821,174 |\n| Property and equipment, net | 11,826,136 | 14,045,139 |\n| Contributions receivable | 715,000 | - |\n| Total assets | $ 286,759,938 | 274,123,369 |\n| Liabilities and Net Assets | | |\n| Current liabilities: | | |\n| Accounts payable | $ 4,009,582 | 2,783,904 |\n| Accrued expenses | 7,959,558 | 6,922,259 |\n| Lease liability | 417,756 | 1,640,735 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Other liabilities | 2,292,045 | 2,124,939 |\n| Total current liabilities | 15,204,548 | 18,746,285 |\n| Lease liability | - | 405,748 |\n| Total liabilities | $ 15,204,548 | 19,152,033 |\n| Net assets: | | |\n| Net assets without donor restrictions | 265,859,067 | 249,088,663 |\n| Net assets with donor restrictions | 5,696,323 | 5,882,673 |\n| Total net assets | 271,555,390 | 254,971,336 |\n| Total liabilities and net assets | $ 286,759,938 | 274,123,369 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 4, - "page_end": 4, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf", - "query": "What include Wikimedia Fundation restricted cash ?", - "target_page": 9, - "target_passage": "Restricted cash includes standby letters of credit for (1) the Foundation’s headquarters office lease and (2) one of the Foundation’s Employer of Record responsible for administering compensation and benefits for non-US personnel.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nGifts of cash and other assets are reported as contributions with donor restrictions if they are received with donor stipulations that limit the use of the donated assets or are restricted as to time. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, net assets with donor restrictions are reclassified to net assets without donor restrictions and reported in the consolidated statement of activities as net assets released from restrictions.\n\n## (l) Contributions of Nonfinancial Assets and Services\n\nContributions of nonfinancial assets and services include contributed services, as described below.\n\nContributed services are reported at fair value in the consolidated financial statements for voluntary donations of services when those services (1) create or enhance nonfinancial assets, (2) require specialized skills provided by individuals possessing those skills and are services that would be typically purchased if not provided by the donation, and (3) are professional in nature, and have been explicitly agreed to in advance. Contributed services are reported as contributions of nonfinancial assets and services revenue and in-kind service expenses in the consolidated statements of activities. Fair value is estimated based on current local rates for similar services.\n\nA substantial number of volunteers make significant contributions of their time in the furtherance of the Foundation's projects. The value of this contributed time is not reflected in the accompanying consolidated financial statements, as the criteria above are not met.\n\nContributed service revenue and expenses recorded in the consolidated statements of activities consist of contributed legal services, engineering services, subscription services, and internet hosting services and bandwidth. The amounts of specialized contributed legal services as revenue and expenses are $82,638 and $493,315 for the years ended June 30, 2024 and 2023, respectively. The value of specialized engineering services as revenue and expenses are $0 and $498,800 for the years ended June 30, 2024 and 2023, respectively. The value of donated subscription services as revenue and expenses was $124,738 and $0 for the years ended June 30, 2024 and 2023, respectively. The amounts of contributed internet hosting services and bandwidth for the years ended June 30, 2024 and 2023 is $56,100 and $48,338, respectively. Included in the 2024 and 2023 amounts are donated hosting services and bandwidth from the following companies: (1) FiberRing, (2) Tele2, (3) Datahop, (4) LibertyGlobal, (5) Init7, and (6) Arelion.\n\n## (m) Revenue Recognition - Contracts With Customers\n\nThe Foundation recognizes revenue from contracts with customers related to Wikimedia, LLC under Accounting Standards Codification Topic 606, Revenue from Contracts with Customers, which establishes a principle that revenue is recognized upon transfer of control of promised products and services to customers in an amount that reflects the consideration the Foundation expects to receive in exchange for those products or services.\n\nThe Foundation determines the amount of revenue to be recognized through the application of the following 5-step process: 1) identification of the contract, or contracts, with a customer; 2) identification of the performance obligations in the contract; 3) determination of the transaction price; 4) allocation of the transaction price to the performance obligations in the contract; and 5) recognition of revenue when or as the Foundation satisfies the performance obligations.", - "page_start": 10, - "page_end": 10, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nThe Foundation also receives donations on behalf of the Wikimedia Endowment as well as transfers additional Foundation donations to the Endowment monthly. Donations that are donor-specified for the Wikimedia Endowment are not recognized as revenue to the Foundation, whereas donations that are not donor-specified for the Wikimedia Endowment are recognized both as contributions revenue and awards and grants expense to the Foundation. The Foundation transferred $10,706,812 donor-designated gifts and $624,137 Foundation gifts to the Wikimedia Endowment during the year ended June 30, 2024. As of June 30, 2024, the Foundation owed the Wikimedia Endowment $525,607 for donations to be transferred to the Wikimedia Endowment for the month of June 2024.\n\nDuring the fiscal year ended June 30, 2024, the Wikimedia Endowment also provided the Foundation with grants of $1,500,000 for MediaWiki improvements, $600,000 for the Abstract Wikipedia project, and $500,000 for exploring strategies for expanding beyond the Foundation's existing audiences of consumers and contributors. The grants are recorded as contributions with donor restrictions and within net assets with donor restrictions as of June 30, 2024.\n\n## (11) Contingencies and Commitments\n\nIn the normal course of business, the Foundation receives various threats of litigation. In the opinion of management, the outcome of the pending lawsuits will not materially affect operations or the financial position of the Foundation.\n\n## (12) Subsequent Events\n\nThe Foundation has evaluated its subsequent events through October 8, 2024, the date at which the consolidated financial statements were available to be issued, and determined there are no items to disclose.", - "page_start": 19, - "page_end": 19, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## (9) Liquidity and Availability of Financial Assets\n\nThe Foundation's financial assets available for general expenditure within one year of the balance sheet date, June 30, 2024 and 2023, are as follows:\n\n| | 2024 | 2023 |\n|----------------------------------------------------------------------------------------|---------------|-------------|\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Current contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Total financial assets | 199,776,579 | 208,025,068 |\n| Less: | | |\n| Restricted by donors for programs | 5,696,323 | 5,882,673 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Financial assets available to meet cash needs for general expenditures within one year | $ 193,554,649 | 196,867,947 |\n\nThe Foundation's liquidity management includes a policy of structuring its financial assets to be available to meet its general expenditures, liabilities, grant-making, and other obligations as they come due. Cash and cash equivalents as reported on the consolidated balance sheet at June 30, 2024 and 2023, are the primary liquid resources used by the Foundation to meet these obligations. Financial assets invested in the short-term and long-term investments can be liquidated at any time as needed.\n\n## (10) Related Party Transactions\n\nThe Wikimedia Endowment began operations as a standalone tax-exempt 501(c)(3) organization on September 30, 2023, with the mission to act as a permanent fund that can support in perpetuity the operations and activities of current and future Wikimedia projects, which are projects that are approved by and advance the purposes of the Foundation or its successor if the Foundation ceases to exist. The Foundation does not have control or controlling financial interest in the Wikimedia Endowment and the Wikimedia Endowment has a separate Board of Directors, but the Wikimedia Endowment is considered a related party to the Foundation because Wikimedia Endowment management is also management at the Foundation.\n\nDuring the fiscal year ended June 30, 2024, the Foundation recognized revenue of $2,063,195 related to services provided to the Wikimedia Endowment, primarily for fundraising and general and administrative support under the terms of a cost sharing agreement. These costs are included within the Foundation ' s expenses based on the nature of the cost. The revenue from the Wikimedia Endowment reimbursing the costs is recorded within other income, net.", - "page_start": 18, - "page_end": 18, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\nOnce such stipulations are satisfied, the associated net assets are released from net assets with donor restrictions and recognized as net assets without donor restrictions.\n\nContributions received are recorded as net assets without donor restriction or net assets with donor restrictions depending on the existence and/or nature of any donor restrictions.\n\n## (e) Cash and Cash Equivalents\n\nThe Foundation manages its cash through major financial institutions. At June 30, 2024 and 2023, the carrying amount of the Foundation's general ledger cash held primarily in nationally recognized financial institutions is $60.0 million and $63.9 million, respectively. Cash balances are insured by the Federal Deposit Insurance Corporation (FDIC) up to the applicable limits. Cash balances held in these financial institutions at June 30, 2024 and 2023 exceed the applicable FDIC insurance limits. The Foundation's current practice is to maintain at least four months of cash and cash equivalents to support a combination of operating cash and a current reserve fund. The Foundation considers all highly liquid investments with an original maturity of three months or less when purchased to be cash equivalents. Cash equivalents of $22.8 million and $12.0 million as of June 30, 2024 and 2023, respectively, are considered Level 1 under ASC Topic 820, Fair Value Measurement .\n\n## (f) Restricted Cash\n\nRestricted cash includes standby letters of credit for (1) the Foundation's headquarters office lease and (2) one of the Foundation's Employer of Record responsible for administering compensation and benefits for non-US personnel. As of June 30, 2024, neither letter of credit has been used.\n\n## (g) Contributions Receivable\n\nContributions receivable represent gift amounts due from various entities, which are occasionally directed at specific activities. Contributions receivable due more than one year from the contribution date are discounted to present value using a fair value rate based on the U.S. Treasury bond rate and reflect the risks inherent in these cash flows. Contributions receivable are subject to review and adjustment by management should amounts be deemed uncollectible.\n\n## (h) Investments\n\nThe Foundation's policy regarding investments is to invest cash in short-term, intermediate-term, and long-term fixed income, and equity instruments without assuming material undue risk to principal. Preservation of principal and maintenance of liquidity are priorities over yield. Investments are reported at fair value with realized and unrealized gains and losses, and accrued interest included as a component of the change in net assets. Additionally, the Foundation holds no shares of donated stock as of June 30, 2024 or 2023, consistent with its policy to sell stock received through donations as soon as possible.\n\nThe Foundation presents its investment portfolios as short-term and long-term based on expectations of the holding period of the investment in line with the investment guidelines stipulated in the investment policy.\n\nASC Topic 820 establishes a fair value hierarchy that prioritizes observable inputs to valuation techniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted", - "page_start": 8, - "page_end": 8, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\nNotes to Consolidated Financial Statements June 30, 2024 and 2023\n\n## (1) Organization and Summary of Significant Accounting Policies\n\n## (a) Organization and Purpose\n\nThe accompanying consolidated financial statements present the financial position, change in net assets and cash flows of the Wikimedia Foundation, Inc. (the Foundation) and Wikimedia, LLC.\n\nThe Foundation is the nonprofit organization that operates Wikipedia, a free online encyclopedia. Based in San Francisco, California, the Foundation is a 501(c)(3) charity that is funded primarily through donations and contributions.\n\nThe Foundation also operates Wikimedia, LLC, a Delaware Limited Liability Company, with the Foundation as its Sole Member. The Wikimedia, LLC is organized and operated exclusively for charitable and educational purposes within the meaning of section 501(c)(3) of the Internal Revenue Code and is a disregarded entity for tax purposes.\n\n## (b) Risks and Uncertainties\n\nThe Foundation's operations are funded primarily by public donations from individuals as well as gifts from foundations and corporations. External factors such as global geopolitics, recession, and currency markets may impact our ability to raise funds. As of the date of this report, the Foundation has not experienced an adverse impact on its business operations.\n\n## (c) Income Taxes\n\nThe Foundation is exempt from federal income tax under Section 501(c)(3) of the Internal Revenue Code and from state income tax under Chapter 220.13 of the Florida Statutes and Sections 23701d of Revenue and Taxation Code of the State of California. The Internal Revenue Service has determined that the Foundation is not a private foundation and contributions to it qualify as charitable contributions.\n\nThe Foundation has evaluated the financial statement impact of positions taken or expected to be taken in its tax returns. The Foundation is subject to income taxes on any net income that is derived from a trade or business, regularly carried on, and not in furtherance of the purposes for which it was granted exemption. Net income from any unrelated trade or business, in the opinion of management, is not material to the consolidated financial statements taken as a whole.\n\n## (d) Financial Statement Presentation\n\nNet assets, support and revenue, expenses, gains, and losses are classified based on the existence or absence of donor-imposed restrictions in accordance with Accounting Standards Codification (ASC) Topic 958, Not-for-Profit Entities .\n\nNet assets without donor restrictions represent unrestricted resources available to support operations and also include previously temporarily restricted resources, which have become available for use by the Foundation in accordance with the intentions of donors.\n\nNet assets with donor restrictions represent contributions that are limited in use by the Foundation in accordance with donor-imposed stipulations. The stipulations may expire with time or may be satisfied and removed by the actions of the Foundation according to the terms of the contribution by the donor.", - "page_start": 7, - "page_end": 7, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Consolidated Statements of Financial Position\n\nJune 30, 2024 and 2023\n\n| Assets | 2024 | 2023 |\n|-------------------------------------------|---------------|-------------|\n| Current assets: | | |\n| Cash and cash equivalents | $ 82,845,159 | 75,808,401 |\n| Contributions receivable | 856,657 | - |\n| Short-term investments | 116,074,763 | 132,216,667 |\n| Prepaid expenses and other current assets | 5,722,457 | 5,569,485 |\n| Total current assets | 205,499,036 | 213,594,553 |\n| Restricted cash | 1,428,542 | 1,396,717 |\n| Long-term investments | 67,291,224 | 43,265,786 |\n| Right of use asset - operating lease, net | - | 1,821,174 |\n| Property and equipment, net | 11,826,136 | 14,045,139 |\n| Contributions receivable | 715,000 | - |\n| Total assets | $ 286,759,938 | 274,123,369 |\n| Liabilities and Net Assets | | |\n| Current liabilities: | | |\n| Accounts payable | $ 4,009,582 | 2,783,904 |\n| Accrued expenses | 7,959,558 | 6,922,259 |\n| Lease liability | 417,756 | 1,640,735 |\n| Donations payable to Wikimedia Endowment | 525,607 | 5,274,448 |\n| Other liabilities | 2,292,045 | 2,124,939 |\n| Total current liabilities | 15,204,548 | 18,746,285 |\n| Lease liability | - | 405,748 |\n| Total liabilities | $ 15,204,548 | 19,152,033 |\n| Net assets: | | |\n| Net assets without donor restrictions | 265,859,067 | 249,088,663 |\n| Net assets with donor restrictions | 5,696,323 | 5,882,673 |\n| Total net assets | 271,555,390 | 254,971,336 |\n| Total liabilities and net assets | $ 286,759,938 | 274,123,369 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 4, - "page_end": 4, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## Restricted Cash\n\nOur total cash and cash equivalents and restricted cash, as presented in the consolidated statements of cash flows, was as follows (in millions):\n\n| | September 30, 2024 | December 31, 2023 | September 30, 2023 | December 31, 2022 |\n|-----------------------------------------------------------------------|----------------------|---------------------|----------------------|---------------------|\n| Cash and cash equivalents | $ 18,111 | $ 16,398 | $ 15,932 | $ 16,253 |\n| Restricted cash included in prepaid expenses and other current assets | 483 | 543 | 453 | 294 |\n| Restricted cash included in other non-current assets | 380 | 248 | 205 | 377 |\n| Total as presented in the consolidated statements of cash flows | $ 18,974 | $ 17,189 | $ 16,590 | $ 16,924 |\n\n## Accounts Receivable and Allowance for Doubtful Accounts\n\nDepending on the day of the week on which the end of a fiscal quarter falls, our accounts receivable balance may fluctuate as we are waiting for certain customer payments to clear through our banking institutions and receipts of payments from our financing partners, which can take up to approximately two weeks based on the contractual payment terms with such partners. Our accounts receivable balances associated with sales of energy storage products are dependent on billing milestones and payment terms negotiated for each contract, and our accounts receivable balances associated with our sales of regulatory credits are dependent on contractual payment terms. Additionally, government rebates can take up to a year or more to be collected depending on the customary processing timelines of the specific jurisdictions issuing them. These various factors may have a significant impact on our accounts receivable balance from period to period. As of September 30, 2024 and December 31, 2023, government rebates receivable was $315 million and $378 million, respectively, in Accounts receivable, net for the current portion and an immaterial amount and $207 million, respectively, in Other non-current assets for the longterm portion in our consolidated balance sheets.\n\n## Financing Receivables\n\nAs of September 30, 2024 and December 31, 2023, the vast majority of our financing receivables were at current status with an immaterial balance being past due. As of September 30, 2024 and December 31, 2023, the majority of our financing receivables, excluding MyPower notes receivable, were originated in 2023 and 2022.", - "page_start": 16, - "page_end": 16, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## For example (unaudited):\n\n - · Wikipedia and the other projects operated by the Foundation receive more than 19.4 billion pageviews per month, making them one of the most popular Web properties worldwide. Wikipedia is available in more than 332 languages and contains more than 63 million articles contributed by a global volunteer community.\n - · For the year ended June 30, 2024, the educational content of the Foundation's largest project, Wikipedia, grew by approximately 1.9 million articles to approximately 63.4 million articles.\n - · For the year ended June 30, 2024, volunteers added approximately 12.2 million images, movies, and sound files to the Foundation's multimedia repository, making the total 106.7 million files.\n - · Volunteers also contribute in several ways to the Foundation's wiki software: volunteer software developers add new functionality to the code base, and volunteer language specialists add to the code base by translating the wiki interface into different languages. During the year ended June 30, 2024, there were 47,773 commits merged, through the efforts of approximately 511 authors/contributors, of which 8,161 commits were through the efforts of approximately 244 volunteers.\n\n## (7) Operating Leases\n\nOur operating lease relates to the Foundation's headquarters in San Francisco and has a non-cancelable remaining term of 3 months as of June 30, 2024. The discount rate is 2.9%, the risk-free rate based on daily U.S. Treasury with a term comparable to the lease term. The lease provides the Foundation the option to extend the lease term for one additional period of five years. The Foundation determined during the year ended June 30, 2024 not to renew the lease. Operating lease expense was $1,859,383 and $1,489,134 for the year ended June 30, 2024 and 2023, respectively.\n\nUndiscounted lease payments as of June 30, 2024 were as follows:\n\n| | Lease payments |\n|------------------------------|------------------|\n| Year ending June 30: | |\n| 2025 | 419,791 |\n| Total minimum lease payments | $ 419,791 |\n\n## (8) Retirement Plan\n\nThe Foundation offers a 401(k) plan (the Plan) to all of its employees residing in the United States. Employees are eligible to participate in the Plan upon employment. The Foundation matches employee contributions on a dollar-for-dollar basis up to 4% of the employee's compensation. The Foundation contributed $1,859,839 and $1,859,012 to the Plan for the years ended June 30, 2024 and 2023, respectively.", - "page_start": 17, - "page_end": 17, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\nConsolidated Statements of Activities\n\nYears ended June 30, 2024 and 2023\n\n| | 2024 | 2023 |\n|---------------------------------------------------------------------------|---------------|-------------|\n| Net assets without donor restrictions: | | |\n| Support and revenue: | | |\n| Contributions of cash and other financial assets | $ 168,212,977 | 164,121,185 |\n| Contributions of nonfinancial assets and services | 263,476 | 1,040,453 |\n| Foreign currency losses | (300,907) | (94,868) |\n| Other income, net | 5,629,773 | 3,824,240 |\n| Investment income, net | 5,096,842 | 3,002,929 |\n| Release of net assets with donor restrictions | 6,481,350 | 4,732,654 |\n| Total support and revenue | 185,383,511 | 176,626,593 |\n| Operating expenses: | | |\n| Salaries and benefits | 106,793,960 | 101,305,706 |\n| Awards and grants | 26,820,080 | 24,433,682 |\n| Internet hosting | 3,116,445 | 3,120,819 |\n| In-kind service expenses | 263,476 | 1,040,453 |\n| Donation processing expenses | 7,547,718 | 6,855,680 |\n| Professional service expenses | 13,090,040 | 15,464,635 |\n| Other operating expenses | 10,798,140 | 7,393,982 |\n| Travel and conferences | 5,824,979 | 4,878,359 |\n| Depreciation and amortization | 4,216,271 | 4,602,064 |\n| Total operating expenses | 178,471,109 | 169,095,380 |\n| Change in net assets without donor restrictions from operating activities | 6,912,402 | 7,531,213 |\n| Nonoperating activities: | | |\n| Unrealized gains on investments, net | 9,858,001 | 3,547,510 |\n| Change in net assets without donor restrictions | 16,770,403 | 11,078,723 |\n| Net assets with donor restrictions: | | |\n| Contributions with donor restrictions | 6,295,000 | 9,273,736 |\n| Net assets released from restrictions | (6,481,350) | (4,732,654) |\n| Increase (decrease) in net assets with donor restrictions | (186,350) | 4,541,082 |\n| Increase in net assets | 16,584,053 | 15,619,805 |\n| Net assets at beginning of year | 254,971,337 | 239,351,532 |\n| Net assets at end of year | $ 271,555,390 | 254,971,337 |\n\nSee accompanying notes to consolidated financial statements.", - "page_start": 5, - "page_end": 5, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - }, - { - "text": "## WIKIMEDIA FOUNDATION, INC.\n\n## Notes to Consolidated Financial Statements\n\nJune 30, 2024 and 2023\n\n## (4) Property and Equipment, Net\n\nProperty and equipment at June 30, 2024 and 2023 consist of the following:\n\n| | 2024 | 2023 |\n|------------------------------------------------|--------------|--------------|\n| Furniture | $ 72,042 | 737,143 |\n| Leasehold improvements | - | 2,074,581 |\n| Computer equipment | 22,821,120 | 21,941,684 |\n| Internal use software | 2,507,701 | 5,198,574 |\n| Total | 25,400,863 | 29,951,982 |\n| Less accumulated depreciation and amortization | (13,574,727) | (15,906,843) |\n| Property and equipment, net | $ 11,826,136 | 14,045,139 |\n\n## (5) Net Assets\n\nNet assets with donor restrictions at June 30, 2024 and 2023 are available for the following purposes:\n\n| | 2024 | 2023 |\n|----------------------------------------------|-------------|-----------|\n| Restricted to future periods: | $ 50,000 | 100,000 |\n| Restricted by purpose: | | |\n| Abstract Wikipedia | 861,008 | 1,249,004 |\n| Artificial intelligence | 239,878 | - |\n| Endowment support | - | 1,297,620 |\n| Future Audiences | 500,000 | - |\n| Knowledge equity | 965,910 | 2,228,134 |\n| Machine learning | 24,528 | 860,620 |\n| Media Wiki | 1,500,000 | - |\n| Other | 125,000 | 147,295 |\n| Restricted to future periods and by purpose: | | |\n| Artificial intelligence | 1,430,000 | - |\n| Net assets with donor restrictions | $ 5,696,324 | 5,782,673 |\n\n## (6) Functional Allocation of Expenses\n\nCosts of providing the Foundation's activities have been summarized below on a functional basis. Programs comprise various initiatives that focus on (1) building the technological and operating platform that enables the Foundation to function sustainably as a top global internet organization, (2) strengthening, growing, and increasing diversity of the Wikimedia communities, and (3) accelerating impact by investing in key geographic areas, mobile application development, and bottom-up innovation, all of which support Wikipedia and other wiki-based projects. This also includes costs related to the Wikimedia Endowment for which the Foundation is reimbursed. The allocation between programs, general and administrative, and fundraising expenses is based on personnel and related costs and other operating expenses such as rent and office expenses using estimates of time spent or percentage of utilization by headcounts, as well as", - "page_start": 15, - "page_end": 15, - "source_file": "Wikimedia_Foundation_2024_Audited_Financial_Statements.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "What is the price of the The Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 8, - "target_passage": "£6.90", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 471\n\n## EDUCATION, ENGLAND\n\nThe Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n28th April 2020\n\nLaid before Parliament\n\n30th April 2020\n\nComing into force\n\n-\n\n-\n\n1st May 2020\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014( a ) and sections 29(3) and 569(4) of the Education Act 1996( b ).\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## Review and expiry\n\n- 2. -(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n- (2) These Regulations cease to have effect on 25th September 2020.\n\n## Amendment of the Special Educational Needs and Disability Regulations 2014\n\n- 3. The Special Educational Needs and Disability Regulations 2014( c ) are amended as follows.\n- 4. In regulation 2(1) (interpretation), at the appropriate place insert-\n- ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n- 5. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations make amendments to secondary legislation relating to special educational needs and disability in order to provide exceptions to time limits set out in that legislation where they cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review the effectiveness of the Regulations during the period in which they have effect. The Regulations cease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 ('the SEND Regulations 2014').\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain requirements in those Regulations for actions to be taken within specified time limits where it is not reasonably practicable for a person to meet those requirements for a reason relating to the incidence or transmission of coronavirus. Instead, any such requirement is to be read as a requirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 ('the Personal Budgets Regulations 2014').\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as regulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) Regulations 2015 ('the Detained Persons Regulations 2015').\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to the ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal Budgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax time limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 ('the First-tier Tribunal Regulations 2017').\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to those in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency measure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- (2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.'.\n\n## Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015\n\n - 18. The Special Educational Needs and Disability (Detained Persons) Regulations 2015( a ) are amended as follows.\n - 19. In regulation 2(1) (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 20. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(1) and (4) (needs assessments which are not completed);\n - (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n - (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n - (d) regulation 19 (requirement to consider mediation);\n - (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n - (f) regulation 21 (mediation);\n - (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n - (h) regulation 27(3) (steps to be taken by a home authority);\n - (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n - (j) regulation 30(3) and (6) (unopposed appeals).'.\n - 21. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 22. In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n', or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## PART 6\n\n## Final provisions\n\n## Review of need for requirements\n\n24. The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n## Expiry of Regulations\n\n25. These Regulations expire at the end of 16th May 2022.\n\n## Revocations, transitional provision consequential amendments and savings\n\n26. -(1) The following Regulations are revoked-\n\n - (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020( a );\n - (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations')( b ); and\n - (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021( c ).\n - (2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n - (3) Schedule 16 makes transitional provisions.\n - (4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\nAt 10.32 a.m. on 14th May 2021\n\nRobert Courts Parliamentary Under Secretary of State Department for Transport", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 582\n\n## PUBLIC HEALTH, ENGLAND\n\nThe Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\nat 10.32 a.m. on 14th May 2021\n\nLaid before Parliament\n\nat 2.30 p.m. on 14th May 2021\n\nComing into force\n\n- -\n\nat 4.00 a.m. on 17th May 2021\n\n## CONTENTS\n\n## PART 1\n\n## Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n|---------------------------|----------------------------------------------------------------------------|---------------------------|\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n| PART 2 | PART 2 | PART 2 |\n| 3. | Requirement on passengers to provide information | 5 |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n| PART 3 | PART 3 | PART 3 |\n| Enforcement | Enforcement | Enforcement |\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| 12. | Power of entry | 19 |\n| PART 4 | PART 4 | PART 4 |\n| Requirements on operators | Requirements on operators | Requirements on operators |\n| 13. | Passenger information requirement | 19 |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n - (b) regulation 16(2) and (3) (change of responsible commissioning body);\n - (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n - (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n - (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n - (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n - (g) regulation 33 (requirement to consider mediation);\n - (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n - (i) regulation 35(2), (3) and (4) (mediation - health care issues);\n - (j) regulation 36(2) (mediation - no health care issues);\n - (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n - (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n - (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n - (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n - (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n - (p) regulation 56(3) (publication of comments on the local offer).'.\n - 6. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)-\n - (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 8. In regulation 8(2) (duty to co-operate in EHC needs assessments)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 9. In regulation 10(4) (decision not to secure an EHC plan)-", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations'), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 23. In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 24. In regulation 10(4) (decision not to secure an EHC plan)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 25. In regulation 13(3) (timescales for EHC plans), for '(c)' substitute '(d)'.\n - 26. In regulation 29 (compliance with the orders of the First-tier Tribunal)-\n - (a) after paragraph (6) insert-\n - '(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.'.\n - (b) in paragraph (7)(c) after '10(4)(a)' insert 'or (d)'.\n - 27. In regulation 30(7)(c) (unopposed appeals), after '10(4)(a)' insert 'or (d)'.\n\n## Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017\n\n28. The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017( a ) are amended as follows.\n\n - 29. In regulation 2 (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 30. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 6(3) and (6) (responding to health care recommendations); and\n - (b) regulation 7(1) and (4) (responding to social care recommendations).'.\n\nVicky Ford Parliamentary Under Secretary of State Department for Education\n\n28th April 2020", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## Transitional provision\n\n - 1. Passenger information provided before 4.00 a.m. on 17th May 2021 by a person pursuant to regulation 3 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the 2020 Regulations') in advance of arrival in England is treated as passenger information provided for the purposes of these Regulations where the person arrives in England on or after that date.\n - 2. Confirmation given by the Foreign, Commonwealth and Development Office that a person is not required to comply with regulation 3B of the 2020 Regulations is treated as confirmation that the person is not required to comply with regulation 6 of these Regulations where the person arrives in England on or after 4.00 a.m. on 17th May 2021.\n - 3. A designation by the Secretary of State of a person as an authorised person under regulation 5(7) of the 2020 Regulations has effect as a designation of that person as an authorised person under of regulation 11(11)(c) of these Regulations.\n - 4. Regulation 5A of the 2020 Regulations continues to have effect in relation to a constable who exercises the powers in that regulation in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021.", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 438\n\n## TAXES\n\n## The International Tax Compliance (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n20th April 2020\n\nLaid before the House of Commons\n\n21st April 2020\n\nComing into force\n\n- -\n\n13th May 2020\n\nThe Treasury make these Regulations in exercise of the powers conferred by section 222 of the Finance Act 2013( a ):\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the International Tax Compliance (Amendment) Regulations 2020 and come into force on 13th May 2020.\n\n## Amendments to the International Tax Compliance Regulations 2015\n\n- 2. -(1) The International Tax Compliance Regulations 2015( b ) are amended as follows.\n- (2) In regulation 1(3)(b)(i), for '16th May 2019' substitute '19th April 2020'( c ).\n- (3) In regulation 3(4A)(a), at the beginning insert 'subject to regulation 24(3)'.\n- (4) In regulation 24-\n- (a) in the table in paragraph (2), in the column headed 'the CRS'-\n- (i) at the beginning of the entry for 'new account' insert 'subject to paragraph (3)', and\n- (ii) at the beginning of the entry for 'pre-existing account' insert 'subject to regulation 3(4A)(a) and paragraph (3)', and\n- (b) after paragraph (2) insert-\n- '(3) In respect of the accounts listed in paragraph (4)-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200438_en.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20200471_en.pdf", - "query": "When come into force the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 ?", - "target_page": 1, - "target_passage": "These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2020 No. 471\n\n## EDUCATION, ENGLAND\n\nThe Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n28th April 2020\n\nLaid before Parliament\n\n30th April 2020\n\nComing into force\n\n-\n\n-\n\n1st May 2020\n\nThe Secretary of State makes the following Regulations in exercise of the powers conferred by sections 30(8), 31(4), 36(11), 37(4), 44(7)(b) and (c), 47, 49(3), 51(4), 56(1), 71(11), 73(4), 74(3) and 135(2) and (3) of the Children and Families Act 2014( a ) and sections 29(3) and 569(4) of the Education Act 1996( b ).\n\n## Citation and commencement\n\n- 1. These Regulations may be cited as the Special Educational Needs and Disability (Coronavirus) (Amendment) Regulations 2020 and come into force on 1st May 2020.\n\n## Review and expiry\n\n- 2. -(1) The Secretary of State must review the effectiveness of these Regulations during the period for which they have effect.\n- (2) These Regulations cease to have effect on 25th September 2020.\n\n## Amendment of the Special Educational Needs and Disability Regulations 2014\n\n- 3. The Special Educational Needs and Disability Regulations 2014( c ) are amended as follows.\n- 4. In regulation 2(1) (interpretation), at the appropriate place insert-\n- ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n- 5. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "- (2) The coronavirus exception applies where it is not reasonably practicable for the local authority to meet the requirement specified in regulation 11(2)(a) for a reason relating to the incidence or transmission of coronavirus.'.\n\n## Amendment of the Special Educational Needs and Disability (Detained Persons) Regulations 2015\n\n - 18. The Special Educational Needs and Disability (Detained Persons) Regulations 2015( a ) are amended as follows.\n - 19. In regulation 2(1) (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 20. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(1) and (4) (needs assessments which are not completed);\n - (b) regulation 16(2), (3) and (4) (transfer of a kept EHC plan);\n - (c) regulation 17(1) and (2) (restriction on disclosure of EHC plans);\n - (d) regulation 19 (requirement to consider mediation);\n - (e) regulation 20(1) and (2) (where the appropriate person does not wish to or fails to pursue mediation);\n - (f) regulation 21 (mediation);\n - (g) regulation 24(1) and (3) (mediation certificate under section 55(5) of the Act);\n - (h) regulation 27(3) (steps to be taken by a home authority);\n - (i) regulation 29(2) and (6) (compliance with the orders of the First-tier Tribunal); and\n - (j) regulation 30(3) and (6) (unopposed appeals).'.\n - 21. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 22. In regulation 5(4) (decision whether or not to conduct a detained person's EHC needs assessment)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n', or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.", - "page_start": 3, - "page_end": 3, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations make amendments to secondary legislation relating to special educational needs and disability in order to provide exceptions to time limits set out in that legislation where they cannot be met because of a reason relating to the incidence or transmission of coronavirus.\n\nRegulation 2 contains review and expiry provisions. The Secretary of State is required to review the effectiveness of the Regulations during the period in which they have effect. The Regulations cease to have effect on 25th September 2020.\n\nRegulations 3 to 14 amend the Special Educational Needs and Disability Regulations 2014 ('the SEND Regulations 2014').\n\nRegulation 5 inserts a glossing provision into the SEND Regulations 2014 which relaxes certain requirements in those Regulations for actions to be taken within specified time limits where it is not reasonably practicable for a person to meet those requirements for a reason relating to the incidence or transmission of coronavirus. Instead, any such requirement is to be read as a requirement for such action to be taken as soon as reasonably practicable.\n\nRegulations 6 to 14 make textual amendments to the SEND Regulations 2014 to relax time limits.\n\nRegulations 15 to 17 amend the Special Educational Needs (Personal Budgets) Regulations 2014 ('the Personal Budgets Regulations 2014').\n\nRegulation 17 inserts a similar glossing provision into the Personal Budgets Regulations 2014 as regulation 5 does in respect of the SEND Regulations 2014.\n\nRegulations 18 to 27 amend the Special Educational Needs and Disability (Detained Persons) Regulations 2015 ('the Detained Persons Regulations 2015').\n\nRegulation 20 inserts a glossing provision into the Detained Persons Regulations 2015 similar to the ones in regulations 5 and 17 in relation to the SEND Regulations 2014 and the Personal Budgets Regulations 2014 respectively.\n\nRegulations 21 to 27 make textual amendments to the Detained Persons Regulations 2015 to relax time limits.\n\nRegulations 28 to 30 amend the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017 ('the First-tier Tribunal Regulations 2017').\n\nRegulation 30 inserts a glossing provision into the First-tier Tribunal Regulations 2017 similar to those in regulations 5, 17 and 20.\n\nAn impact assessment has not been produced for this instrument as this is a temporary, emergency measure and no significant impact on business, charities or voluntary bodies is foreseen.\n\nAn Explanatory Memorandum is published alongside this instrument on www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 5, - "page_end": 5, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 582\n\n## PUBLIC HEALTH, ENGLAND\n\nThe Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\nat 10.32 a.m. on 14th May 2021\n\nLaid before Parliament\n\nat 2.30 p.m. on 14th May 2021\n\nComing into force\n\n- -\n\nat 4.00 a.m. on 17th May 2021\n\n## CONTENTS\n\n## PART 1\n\n## Introductory\n\n| 1. | Citation, commencement, extent and application | 3 |\n|---------------------------|----------------------------------------------------------------------------|---------------------------|\n| 2. | Interpretation and introduction of Schedules 1 to 4 | 3 |\n| PART 2 | PART 2 | PART 2 |\n| 3. | Requirement on passengers to provide information | 5 |\n| 4. | Requirement to possess notification of negative test result | 6 |\n| 5. | Requirements relating to tests | 7 |\n| 6. | Requirement to book and undertake tests | 9 |\n| 7. | Requirement to undertake workforce tests | 10 |\n| 8. | Test requirements: offshore installation workers | 12 |\n| 9. | Further requirements on arrivals from category 2 countries and territories | 13 |\n| 10. | Further requirements on arrivals from category 3 countries or territories | 17 |\n| PART 3 | PART 3 | PART 3 |\n| Enforcement | Enforcement | Enforcement |\n| 11. | Enforcement of requirement to self-isolate | 17 |\n| 12. | Power of entry | 19 |\n| PART 4 | PART 4 | PART 4 |\n| Requirements on operators | Requirements on operators | Requirements on operators |\n| 13. | Passenger information requirement | 19 |\n| 14. | Required information and manner | 20 |", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## PART 6\n\n## Final provisions\n\n## Review of need for requirements\n\n24. The Secretary of State must review the need for the requirements imposed by these Regulations by 14th June 2021 and at least once every 28 days thereafter.\n\n## Expiry of Regulations\n\n25. These Regulations expire at the end of 16th May 2022.\n\n## Revocations, transitional provision consequential amendments and savings\n\n26. -(1) The following Regulations are revoked-\n\n - (a) the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020( a );\n - (b) the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations')( b ); and\n - (c) the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021( c ).\n - (2) Schedule 15 makes consequential amendments to other instruments specified in that Schedule.\n - (3) Schedule 16 makes transitional provisions.\n - (4) Nothing in these Regulations applies in relation to a person who arrived in England before 4.00 a.m. on 17th May 2021 (and accordingly, the regulations mentioned in paragraph (1) continue to have effect in relation to such a person).\n\nSigned by authority of the Secretary of State\n\nAt 10.32 a.m. on 14th May 2021\n\nRobert Courts Parliamentary Under Secretary of State Department for Transport", - "page_start": 30, - "page_end": 30, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 15(2) (transfer of EHC plans) (in relation to the second reference to 15 working days), (4), (5), (7) (in relation to the second reference to 15 working days) and (8);\n - (b) regulation 16(2) and (3) (change of responsible commissioning body);\n - (c) regulation 20(9) and (10) (review where the child or young person attends a school or other institution);\n - (d) regulation 21(7), (8) and (9) (review of EHC plan where the child or young person does not attend a school or other institution);\n - (e) regulation 25(1) (notification of decision whether it is necessary to re-assess educational, health care and social care provision);\n - (f) regulation 27(4) (amending or replacing an EHC plan following a re-assessment);\n - (g) regulation 33 (requirement to consider mediation);\n - (h) regulation 34(1) and (2) (where a parent or young person does not wish to or fails to pursue mediation);\n - (i) regulation 35(2), (3) and (4) (mediation - health care issues);\n - (j) regulation 36(2) (mediation - no health care issues);\n - (k) regulation 39(1) and (3) (mediation certificate under section 55(5));\n - (l) regulation 42(3) and (4) (steps to be taken by a local authority);\n - (m) regulation 44(2)(d), (e), (f) and (h) (compliance with the orders of the First-tier Tribunal);\n - (n) regulation 45(4), (5) and (6A) (unopposed appeals);\n - (o) regulation 47 (disclosure of EHC plans in relation to higher education); and\n - (p) regulation 56(3) (publication of comments on the local offer).'.\n - 6. In regulation 4 (determination whether or not special educational provision may be necessary), after paragraph (2) insert-\n - '(3) The local authority need not comply with the time limit referred to in paragraph (1) if it is impractical to do so because of a reason relating to the incidence or transmission of coronavirus.'.\n - 7. In regulation 5(4) (decision whether or not to conduct an EHC needs assessment)-\n - (a) at the end of sub-paragraph (c) omit 'or'; and\n - (b) at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 8. In regulation 8(2) (duty to co-operate in EHC needs assessments)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 9. In regulation 10(4) (decision not to secure an EHC plan)-", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "18. Guidance issued by the Secretary of State pursuant to paragraph 4(2) of Schedule 2D to the 2020 Regulations has effect as guidance issued pursuant to paragraph 4(2) of Schedule 9 to these Regulations.\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations replace the Health Protection (Coronavirus, International Travel) (England) Regulations 2020 ('the International Travel Regulations'), the Health Protection (Coronavirus, Public Health Information for International Passengers) (England) Regulations 2020 and the Health Protection (Coronavirus, Pre-Departure Testing and Operator Liability) (England) (Amendment) Regulations 2021.\n\nThey impose requirements on certain categories of person to provide information upon arrival in England, to take coronavirus tests before and after arrival and to self-isolate in order to prevent the spread of infection or contamination from coronavirus or coronavirus disease. They also impose obligations on operators to ensure that passengers receive information and comply with the requirements.\n\nAn impact assessment has not been produced for this instrument. An explanatory memorandum has been published alongside this instrument at www.legislation.gov.uk.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 90, - "page_end": 90, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 23. In regulation 8(2) (duty to co-operate in a detained person's EHC needs assessment), at the end of sub-paragraph (d) insert-\n\n'; or\n\n - (e) of a reason relating to the incidence or transmission of coronavirus'.\n - 24. In regulation 10(4) (decision not to secure an EHC plan)-\n - (a) at the end of sub-paragraph (b) omit 'or'; and\n - (b) at the end of sub-paragraph (c) insert-\n\n'; or\n\n - (d) of a reason relating to the incidence or transmission of coronavirus'.\n - 25. In regulation 13(3) (timescales for EHC plans), for '(c)' substitute '(d)'.\n - 26. In regulation 29 (compliance with the orders of the First-tier Tribunal)-\n - (a) after paragraph (6) insert-\n - '(6A) The home authority need not comply with the time limits specified in paragraph (3) if it is impractical to do so because the circumstances referred to in regulation 10(4)(d) apply.'.\n - (b) in paragraph (7)(c) after '10(4)(a)' insert 'or (d)'.\n - 27. In regulation 30(7)(c) (unopposed appeals), after '10(4)(a)' insert 'or (d)'.\n\n## Amendment of the Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017\n\n28. The Special Educational Needs and Disability (First-tier Tribunal Recommendations Power) Regulations 2017( a ) are amended as follows.\n\n - 29. In regulation 2 (interpretation), at the appropriate place insert-\n - ''coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2); '.\n - 30. After regulation 2 (interpretation) insert-\n\n## ' Relaxation of time periods due to coronavirus exception\n\n - 2A. -(1) Where the coronavirus exception applies, any requirement in any of the regulations specified in paragraph (3) for action to be taken within a specified period of time or by a certain day is to be read instead as a requirement for such action to be taken as soon as reasonably practicable.\n - (2) The coronavirus exception applies where it is not reasonably practicable for a person to meet a requirement referred to in paragraph (1) for a reason relating to the incidence or transmission of coronavirus.\n - (3) The following regulations are specified for the purposes of paragraphs (1) and (2)-\n - (a) regulation 6(3) and (6) (responding to health care recommendations); and\n - (b) regulation 7(1) and (4) (responding to social care recommendations).'.\n\nVicky Ford Parliamentary Under Secretary of State Department for Education\n\n28th April 2020", - "page_start": 4, - "page_end": 4, - "source_file": "uksi_20200471_en.pdf" - }, - { - "text": "The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 45B, 45F(2) and 45P(2) of the Public Health (Control of Disease) Act 1984( a ).\n\n## PART 1\n\n## Introductory\n\n## Citation, commencement, extent and application\n\n1. -(1) These Regulations may be cited as the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021.\n\n- (2) These Regulations come into force at 4.00 a.m. on 17th May 2021.\n- (3) These Regulations extend to England and Wales and apply in relation to England only.\n\n## Interpretation and introduction of Schedules 1 to 4\n\n## 2. -(1) In these Regulations-\n\n'category 1 arrival' means person who has arrived in England from a category 1 country or territory, and has not been in a category 2 country or territory or a category 3 country or territory in the period beginning with the 10th day before the date of their arrival in England;\n\n'category 1 country or territory' means a country or territory, or part of a country or territory, specified in Schedule 1( b );\n\n'category 2 country or territory' means a country or territory or part of a country or territory specified in Schedule 2( c );\n\n'category 3 country or territory' means a country or territory or part of a country or territory specified in Schedule 3( d );\n\n'child' means a person under the age of 18;\n\n'the common travel area' has the meaning given in section 1(3) of the Immigration Act 1971( e );\n\n'coronavirus' means severe acute respiratory syndrome coronavirus 2 (SARS-CoV-2);\n\n'coronavirus disease' means COVID-19 (the official designation of the disease which can be caused by coronavirus);\n\n'designated port' means a port designated for the purposes of Schedule 11;\n\n'device' means an in vitro diagnostic medical device within the meaning given in regulation 2(1) of the Medical Devices Regulations 2002( f );\n\n- 'disability' has the meaning given in the Equality Act 2010( g ) (see section 6 of, and Schedule 1 to, that Act);\n- 'immigration officer' means a person appointed by the Secretary of State as an immigration officer under paragraph 1 of Schedule 2 to the Immigration Act 1971( h );", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- 2. -(1) The Health Protection (Coronavirus, Restrictions) (Self-Isolation) (England) Regulations 2020( a ) are amended as follows.\n - (2) In regulation 2D(1)(c), for 'regulation 4 of the Health Protection (Coronavirus, International Travel) (England) Regulations 2020' substitute 'regulation 9 of the Health Protection (Coronavirus, International Travel and Operator Liability) (England) Regulations 2021'.\n - (3) In regulation 6(1)-\n - (a) in the definitions of 'designated place', 'isolation requirements' and 'self-isolating worker', for 'regulation 4' substitute 'regulation 9';", - "page_start": 88, - "page_end": 88, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "Who is Daniel Casali ?", - "target_page": 12, - "target_passage": " Daniel Casali is a Thought Leader Information Technology Specialist working for 15 years at IBM with Power Systems, high-performance computing, big data, and storage. His role at IBM is to bring to reality solutions that address client’s needs by exploring new technologies for different workloads. He is also fascinated by real multicloud implementations, always trying to abstract and simplify the new challenges of the heterogeneous architectures that are intrinsic to this new consumption model, be that on-premises or in the public cloud. ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Danny Games\n\nFelipe Garcia\n\nMelissa Gardner\n\nBilly Gary\n\nDon Gatewood\n\nTodd Gatewood\n\nBill Gee\n\nMatthew Gelnar\n\nJoseph Genovese Jr.\n\nMarissa Gibbs\n\nChristi Gibson\n\nJonathan Gill\n\nEric Gillespie\n\nBrian Gilliam\n\nDaniel Gilmore\n\nDavid Gilmore\n\nShane Glassey\n\nBarry Gober\n\nNeva Godwin\n\nAmy Gonzales\n\nAlfonso Gonzalez Jr.\n\nFrancisco Gonzalez\n\nHector Gonzalez Jr.\n\nBill Goode\n\nCarl Goodnight\n\nDavid Gordon\n\nAshlynn Gosnell\n\nCody Goss\n\nJacob Grafa\n\nZach Gragg\n\nDavid Graham\n\nJane Graham\n\nTim Graham\n\nLee Grampp\n\nKenneth C. Graves\n\nKevin Graves\n\nD'Angelo Gray\n\nKevin Gray\n\nTyler Gray\n\nMarcus A. Green\n\nRandy W. Green\n\nRichard Green\n\nCara Greenhaw\n\nBruce Griffin\n\nDevyn Griffin\n\nBrooke Grossman\n\nDave Grumieaux\n\nRoy Guerra\n\nBrianne Gungoll\n\nDonald Gunnoe II\n\nGilbert Gutierrez Jr.\n\nJose R. Gutierrez\n\nSummer Gwinn\n\nCharles Gerlich\n\nTimothy Haack\n\nGreg Haddock\n\nClarence Hadley\n\nJosh Halbert\n\nLindsay Hale\n\nTrey Hale\n\nRob Hall\n\nRobert Ham\n\nZaid Hamdokh\n\nJeremy Hamill\n\nErin Hamilton\n\nHeather Hamilton\n\nWeston Hamilton\n\nCarolyn Hancock\n\nMelanie Harless\n\nMichael Harman\n\nCharlie Harrington\n\nAaron Harris\n\nAmy Harris\n\nJeff A. Harris\n\nJohn Harris\n\nMichael Harris\n\nMark E. Harrison\n\nDaniel Hart\n\nDavid Hart\n\nDavid Hatton\n\nJerry Hausman\n\nShane Hayden\n\nCharles Hayes\n\nKelly Hayes\n\nPatrick Hayes\n\nStephanie Hayes\n\nDoug Haymaker\n\nMike Haynes\n\nDustin Hays\n\nSara Hays\n\nThomas Hays\n\nTyler Hays\n\nJames Head\n\nGary Heinen\n\nLindsey Heintz\n\nChristopher Heiskill\n\nKelly Helm\n\nKim Helvey\n\nRob Hembree\n\nKim Henderson Kristi Henderson\n\nTJ Henderson II\n\nDave Henson\n\nAlvaro Hernandez\n\nFrancisco L. Hernandez\n\nMario Hernandez\n\nMarisol Hernandez\n\nRomualdo Hernandez Jr.\n\nJude Herring\n\nRichard Hess\n\nJosh Hicks\n\nWilliam Higginbotham\n\nHillary Higgins\n\nShane Hilliard\n\nAngelo Hilton\n\nWeston Hinton\n\nKeasha Hobbs\n\nCharles Hodges\n\nJoe Hofer\n\nDuston Hoffman\n\nEric Holcomb\n\nDan Holden\n\nAdam Holland\n\nJanice Holloway\n\nAdrianne Holmes\n\nDennis Holmes\n\nDon Holt\n\nKyle Holt\n\nTiffany Hopkins\n\nGreg Hopper\n\nRyan Horn\n\nTim Horne\n\nMatthew Horton\n\nBud Hoselton\n\nNicole Howard\n\nJoe Howell\n\nJohn Howell\n\nRonnie Hubbard\n\nMelissa Huddleston\n\nTara Hudson\n\nBarry Huggins\n\nKeystone Hughes\n\nOmar Huizar\n\nTracy Hulsey\n\nMatthew Humphrey\n\nJoe Hunley\n\nDanny Hunt\n\nSteven Hutchens Jr.\n\nDaniel Hyatt\n\nSteven Hyatt\n\nAngela Ibara\n\nKaty Igarta\n\nGerald Irwin III\n\nErnie Isenhart\n\nKate Ivey\n\nMonsuru Iyanda\n\nAlan Jackson\n\nAngela Jackson\n\nBeverly Jackson\n\nKristine Jackson\n\nLarry Jacobs\n\nCody Jacoway\n\nJeremy James\n\nKen James\n\nTommy Jamison\n\nVictor Jaramillo\n\nStephanie Jaronek\n\nBilly Jeffers\n\nClint Jennings\n\nLi Jett\n\nPablo Jimenez\n\nBilly Johnson\n\nBrenda Johnson\n\nDannie Johnson\n\nJason Johnson\n\nKyle Johnson\n\nKyle R. Johnson\n\nRandell Johnson\n\nStephen Johnson\n\nTyler Johnson\n\nPerry Johnston\n\nAaron Jones\n\nAnne Jones\n\nJeff L. Jones\n\nScott Jones\n\nChad Jongeling\n\nChris Jordan\n\nRigo Juarez\n\nAndy Kapchinske\n\nAndrew Karber\n\nTiffanie Karber\n\nDoug Kathol\n\nRita Keary\n\nBradley Keech\n\nClayton Keenan\n\nBill Keller\n\nKim Keller\n\nAmber Kelley\n\nJason Kelley\n\nPamela Kerr\n\nFreddie King Jr.\n\nLanney King\n\nNelson King\n\nRyan Kintner\n\nDayna Kirk\n\nDale Kisner\n\nRobert Kitchens\n\nKasey Kliewer\n\nRobert Kline\n\nMark Knight\n\nTiffany Kordic\n\nMichael Koss\n\nAllison Krittenbrink\n\nRyan Krittenbrink\n\nDan Kucab\n\nMiranda Lacey\n\nSteve Ladner\n\nMiranda Lair\n\nTodd Lamb\n\nKelly Lamoreaux\n\nMindy Lamprich\n\nClay Lancon\n\nNikki Landsberger\n\nLaura Lanford\n\nDustin Langley\n\nAbel Lara\n\nLindel Larison Jr.\n\nToby Lattea\n\nEugene Lauricella\n\nAndy Lawrence\n\nWallace Lawrence\n\nCheryl Lawson\n\nToni Lawson\n\nLuke Lawver\n\nReagan Lea\n\nGreg Ledbetter\n\nMelissa Lee\n\nTony Lee\n\nWarren Lee\n\nJeremy Leger\n\nBranden Lehoski\n\nTim Leierer\n\nDan Leiphart\n\nLogan Lemley\n\nLuis Lerma\n\nChrista Levescy\n\nChelsea Lewis\n\nGreg Lewis\n\nStacey Lewis\n\nJohn Libhart\n\nChuck Lilly\n\nLaura Linn\n\nCory Listen\n\nJeremy Litton\n\nBrian Lockart\n\nNicole Logsdon\n\nAngie Lohner\n\nEthel Long\n\nJames Long\n\nAlfred Loper\n\nJavier Lopez\n\nEric Loudenslager\n\nT.D. Louis\n\nShirley Lovelady\n\nBrandon Lovell\n\nMichael Lovell\n\nLu Lovett-Voss\n\nBenjamin Lucas Jr.\n\nDustin Lucas", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Daniel Stanton\n\nSteve Stapleton\n\nAlbert Stapp Jr.\n\nJoshua Stapp\n\nGregory Starcher\n\nBrian Stark Jr.\n\nChris Stark\n\nMichael Starkey\n\nKevin Starks Jr.\n\nJim Starr Jr.\n\nJason Statham\n\nBrian Statler\n\nEmerson Steele\n\nMike Steele\n\nZachary Stell\n\nGary Stephens Jr.\n\nLynn Stephens\n\nTasha Stephens\n\nTodd Stephenson\n\nCalvin Stevens\n\nJimmy Stevens\n\nHomer Stewart\n\nJeremy Stewart\n\nLarry Stewart\n\nMarlon Stewart\n\nJake Stippel\n\nJonathon Stitt\n\nAllison Stone\n\nChris Stone\n\nNate Stone\n\nRussell Storch\n\nMarianna Storozyszyn\n\nJason Stovall\n\nRob Stover\n\nRichard Strachan\n\nSaxby Stradinger\n\nTravis Strawbridge\n\nSteven Street\n\nShay Stricklin\n\nKim Stroh\n\nJoe Strotman\n\nMarty Stroud\n\nStephanie Stroud\n\nTommy Stroud\n\nTracy Stroup Jr.\n\nCody Stuart\n\nJames Stuart\n\nTimothy Studer\n\nMichael Sturgis\n\nJessica Suazo\n\nJenni Sudduth\n\nPeter Sulak\n\nKimberly Sullivan\n\nPaula Sullivan\n\nShawn Sullivan\n\nWill Sullivan\n\nKaren Summers\n\nRobert Summers\n\nKim Sutton\n\nDanny Swain\n\nMitchell Swartz\n\nDan Sweeney\n\nRory Sweeney\n\nAlex Swisher\n\nAmanda Syed\n\nMark Szollosy\n\nPaul Tackett\n\nAfshean Talasaz\n\nMichael Talbert\n\nMichael Talbott\n\nLandon Tanner\n\nTony Tarpenning\n\nShawn Tarron\n\nDavid Tarwater\n\nReid Tausch\n\nCole Taylor\n\nDavid A. Taylor\n\nElvin Taylor Jr.\n\nJason Taylor\n\nJustin Taylor\n\nMelissa Taylor\n\nMichael Taylor\n\nMichele Taylor\n\nRobert D. Taylor\n\nSteven Taylor\n\nSusie Taylor\n\nZachariah Taylor\n\nCasey Teachman\n\nDoyle Tenney\n\nCameron Tenorio\n\nCynthia Terbush\n\nMarlena Terrana\n\nCarlos Terrazas\n\nFrederick Terrell\n\nAdam Terry\n\nJacob Terry\n\nMelanie Terry\n\nRick Thacker\n\nBrittany Thomas\n\nChristopher Thomas\n\nDanny Thomas\n\nJim Thomas\n\nJosh Thomas\n\nKimberly Thomas\n\nLevi Thomas\n\nTodd Thomas\n\nTravis Thomas\n\nBen Thompson\n\nBrad Thompson\n\nCameron R. Thompson\n\nChase Thompson\n\nGavin Thompson\n\nHolly Thompson\n\nJack Thompson III\n\nJeff D. Thompson\n\nJoe Thompson\n\nKim Thompson\n\nNathan Thompson\n\nPaul Thompson\n\nRichard G. Thompson\n\nRobbie Thompson\n\nRonald Thompson II\n\nRobert Thoms\n\nKen Thorne\n\nJoey Thornton\n\nScott Throckmorton\n\nScott Tidwell\n\nTodd Tidwell\n\nJustin Tikhonoff\n\nTodd Tilford\n\nVernon Tillery Jr.\n\nAllen Timmons\n\nAubrey Timmons\n\nMichael Tinline\n\nAllen Tinsley\n\nLou Tinucci\n\nJesse Tippitt\n\nBrent Tipton\n\nVearl Tolbert Jr.\n\nDavid Tollison\n\nJohn M. Tomascik Jr.\n\nJohn M. Tomascik III\n\nAngel Torres\n\nAntonio Torres\n\nRolando Torres\n\nAngelo Torrey\n\nLin Tovar\n\nDarren Townley\n\nBill Townson Jr.\n\nScotty Trahan\n\nStephen Trahan\n\nJamye Trammell\n\nTyler Trammell\n\nAndy Travis\n\nJames Travis\n\nNick Traylor\n\nCorey Treadway\n\nThomas Treece\n\nEddie Trevino\n\nJuan Trevino\n\nVictor Trigo\n\nPaul Trimble\n\nAaron Tripi\n\nBrandon Triplett\n\nJoshua Triplett\n\nStephen Trosclair\n\nBilly Trout\n\nCortney Trumbly\n\nBrian Tschider\n\nValerie Tubbs\n\nKody Tucker\n\nAlan Tullius\n\nZack Turlington\n\nBrian Turner\n\nDonald Turner\n\nEric Turner\n\nHeather Turner\n\nMichele Turner\n\nNicole Turner\n\nPatricia Turner\n\nTodd Turner\n\nJoe Turpin\n\nSkyler Tuter\n\nRichard Tuttle\n\nZachary Twist\n\nDavid Tyree\n\nBrooke Unruh\n\nFelix Urbina\n\nMelissa Vahlberg\n\nGeorgi Vajarov\n\nMax Vangieson\n\nFrank Van Alstyne III\n\nGeorge Van Deusen\n\nCaleb Van Dolah\n\nTom Van Kirk\n\nDavid Van Winkle\n\nRubenia Vasquez\n\nMellisa Vasquez Cancino\n\nDavid Vassar\n\nRobert Vaughn\n\nAmber Vawter\n\nJenifer Veach\n\nCorey Veer\n\nRafael Vela\n\nRicardo Vela Jr.\n\nGary Velardo\n\nMaria Velez\n\nTimothy Venable\n\nRaymond E. Verhoeven\n\nPete Vermillion\n\nChris Verner\n\nChuck Vessey Jr.\n\nJames Vest\n\nKate Via\n\nMike Viator\n\nJohn Vick Jr.\n\nDanny Vickery\n\nCoral Viezcas\n\nJose Villalobos\n\nOrlando Villarreal\n\nBrad Vinsek\n\nDerek Vinyard\n\nAllyson Vistica\n\nJohn Voda\n\nLarry Vogel\n\nRobert Vogelgesang\n\nNathan Voorhees\n\nJason Voreis\n\nKenneth Wade\n\nNikki Wade\n\nRob Wade\n\nBrad Waggoner\n\nRobert Wagner\n\nRich Wagoner\n\nBrent Waidmann\n\nDennis Walden\n\nTodd Waldron\n\nMichael Wales\n\nBilly Walker\n\nBritt Walker\n\nDouglas Walker\n\nFloyd Walker\n\nGreg Walker\n\nJason Walker\n\nJulie Walker\n\nMitch Walker\n\nRyan Walker\n\nChris Walla\n\nDeborah Wallace\n\nJoshua Wallace\n\nLindsey Wallace\n\nNolan Wallace\n\nJames Walley\n\nDoyle Walls\n\nHenry Walston\n\nBret Walters\n\nClinton Walton\n\nBrooke Waltrip", - "page_start": 45, - "page_end": 45, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "| | Jared Howerton Chloe Howlett | Kristopher Killman | |\n| | Clay Hubbard | | Rico Manjarrez |\n| Brett Hargrove | | Aaron King Jr. | Jonathan Manning |\n| | Mark Huckaby | Justin King | Mike Mannschreck Joe Manshack |\n| | Levon Hudman | Leah King | |\n| Jimmie Hargrove Loretta Harkins | Chris Huey | Kyle Kinney Timothy Kirl | Matt Mantell |\n| Christopher Harman Jennifer Harms Casey Harrell | | Jade Kingcade Bruce Kirkland | |\n| Ben Harris | Brian Huff John Huff | | Tyler Manwell Michael Mapp |\n| | Bryan Huffaker | | Alberto Manzano |", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Cody Eakle\n\nMark Earl\n\nReed Early\n\nBrian Earnest\n\nZach Eastham\n\nGarry Eastwood\n\nJoshua Eaton\n\nJose Echavarria\n\nDustin Eck\n\nJason Eddy\n\nWesley Eddy\n\nChance Edge\n\nDave Edgmon\n\nLanese Edmond\n\nMandy Edmonds\n\nMichael Edmonds\n\nChad Edmondson\n\nCody Edwards\n\nEric R. Edwards\n\nJohnson Edwards\n\nJonathan Edwards\n\nMike Edwards\n\nSamantha Edwards\n\nSeth Edwards\n\nWyatt Edwards\n\nAngela Eicholz\n\nDarius Ekhtiar\n\nTim Eklund\n\nRania Elghazi\n\nMario Elizondo\n\nTrey Ellers\n\nBrad Elliott\n\nMichael Emanis\n\nJerry Embrey\n\nMichael Embrey\n\nKevin Emfinger\n\nRoger Emmelhainz\n\nTerry Endicott\n\nJames Epley\n\nAdam Eppes\n\nDerrick Erb\n\nJustin Erskine\n\nAntone Erve\n\nWade Erwin\n\nDerek Esau\n\nAaron Escobedo\n\nVictor Escobedo\n\nBruce Escovedo\n\nNick Esker\n\nEnrique Espinoza\n\nDennis Espy\n\nDelfino Esquivel\n\nPhillip Estepp\n\nKirk Estes\n\nMartin Etem\n\nDebbye Eubanks\n\nRobert Eutsey\n\nBrandon Evans\n\nDavid E. Evans II\n\nDonald Evans\n\nJeffrey Evans\n\nKevin Evans\n\nLesley Evans\n\nMark K. Evans\n\nRoy Evans\n\nSteve Evans\n\nBryan Eveland\n\nRobert Evers Jr.\n\nRichard Ewald\n\nKristin Ewert\n\nJustin Ezell\n\nStacy Ezell\n\nEric Ezzolo\n\nAnthony Falkowski\n\nRicky Farmer\n\nDavid Farnsworth\n\nJon Fason\n\nDwight Faux\n\nSammy Feagin\n\nHeather Felder\n\nLori Felder\n\nAbraham Felix\n\nJacob Fellenz\n\nWilliam Feltner\n\nAlex Fennema\n\nDavid Fenton\n\nRyan Fenton\n\nJames Ferguson\n\nJonathan Ferguson\n\nKevin Ferguson\n\nNeeley Ferguson\n\nPatrick Ferrebee Jr.\n\nHeather Ferrin\n\nTrevor Fessler\n\nBobby Ficco\n\nClara Fidalgo\n\nShelby Fidler\n\nDaniel Fieker\n\nJon Filbert\n\nClint Filson\n\nMark Fimple\n\nLawrence Finch\n\nIsaac Finkbeiner\n\nJeremy Finkbeiner\n\nLezli Finsterwald\n\nNick Fischietto\n\nKurtis Fish\n\nAngela Fisher\n\nCharles Fisher\n\nClay Fisher\n\nJeremy Fisher\n\nRobert Fisher\n\nAdam Fitzgibbon\n\nJason Flaherty\n\nJody Fletcher\n\nFrankie Flores\n\nMark Flores\n\nToby Floyd\n\nJed Foley\n\nAlexander Fontaine\n\nPete Foradori Jr.\n\nAshley Ford\n\nDarren Ford\n\nSloane Ford\n\nTara Ford\n\nGary Fordyce Jr.\n\nElwood Foreman Jr.\n\nMatue Forh\n\nJames Forney\n\nChristina Forth\n\nShawn Fortney\n\nAndrew Foshee\n\nDanny Foster\n\nGlen Foster\n\nJason Foster\n\nStephany Foutch\n\nCarl Fowler\n\nSacia Fowler\n\nGreg Fox\n\nHoward Fox\n\nLogan Franklin\n\nBrandon Frazier\n\nChase Frazier\n\nMichelle Frazier\n\nKeith Free\n\nLindsey Free\n\nJames Freeman\n\nMichael Freeman\n\nDonnie French\n\nJames Fretwell\n\nKristin Friday\n\nJames Friend Jr.\n\nFrank Frieri\n\nShawn Fromille\n\nBrian Fuentes\n\nBryant Fulk\n\nAl Fuller\n\nJosh Fuller\n\nRoland Fuller\n\nTerry Fuller\n\nBrett Fullmer\n\nChristi Fulton\n\nJoAnn Fulton\n\nRussell Fultz Jr.\n\nKevin Furr\n\nKyle Gabb\n\nWilliam Gaddy\n\nDrue Gage\n\nDrew Gagliardi\n\nJill Gagliardi\n\nKyle Gagliardi\n\nSarah Gainer\n\nKristi Galbraith\n\nBrad Gale\n\nRandall Gall\n\nRandis Gallaway\n\nBilly Galloway\n\nEileen Galvan\n\nGerardo Galvan\n\nCurtis Gambill\n\nJake Gamboa\n\nStephanie Gannaway\n\nDeborah Garbark\n\nAntonia Garcia\n\nGuadalupe Garcia\n\nHeriberto Garcia\n\nJesus Garcia Jr.\n\nMario Garcia\n\nMartin Garcia Jr.\n\nJordan Gardner\n\nRodolfo Garduno\n\nLoni Garis\n\nDavid R. Garner\n\nDavid Garner\n\nDaNeil Garner\n\nPhillip Garner\n\nStan Garner\n\nChelsea Garrapy\n\nBryan Garrett\n\nNick Garrison\n\nStephanie Garrison\n\nTammy Garvin\n\nMatthew Garwood\n\nDolores Garza\n\nEduardo Garza\n\nMary Gaskill\n\nBeth Gaston\n\nTim Gaston\n\nBlaine Gatian\n\nJustin Gauthier\n\nTravis Gay\n\nAlbert Gaylord III\n\nJeff Gearhart\n\nJohn Gebhardt\n\nBrad Geer\n\nWarren Geionety\n\nJerry Gentry Jr.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jimmy Cyrus\n\nTiffany Dailey\n\nJeffery Daniel\n\nBecky Danker\n\nJoe Darnell\n\nAdam Daugherty\n\nBrian Daugherty\n\nJoe Daugherty\n\nPat Davenport\n\nOrin David\n\nAndrew Davis\n\nDarryl Davis\n\nDustin A. Davis\n\nGary Davis\n\nJoel Davis\n\nLandon Davis\n\nSteven Davis\n\nWilliam Davis\n\nRyan V. Dean\n\nShane Dean\n\nEric Deeter\n\nDavid Dehn Jr.\n\nBradley Deines\n\nBillie Demott\n\nGregory Desper\n\nFnu Dezvita\n\nValente Diaz\n\nChase Dickens\n\nBentley Dill\n\nJerry Dilley II\n\nNicholas Dimauro\n\nDrew Dixon\n\nLee Dixon\n\nAmy Dobkin\n\nRenee Dollar\n\nCrystal Doty\n\nMarshall Dougherty\n\nKarl Doughty Jr.\n\nTerry Doughty\n\nIrene Dougrey\n\nAnna Dovedan\n\nCheryl Dowis\n\nJohn Dozer Jr.\n\nMichael Drake\n\nWilliam Draper\n\nGreg Duffy\n\nWill Duffy\n\nConnie Duke\n\nJustin Dulaney\n\nChad Duncan\n\nJIm Dunham\n\nChris Dunton\n\nCory Durig\n\nChris Duroy\n\nChase Dwiggins\n\nGreg Dykes Sr.\n\nJoe Eades", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "| Paul Hartman Brett Harvey Keith Harvey | |\n|--------------------------------------------------------------------------------------------------------------------------------------------------------|-----------------------------------|\n| Rick Harvey Nathan Hassinger | |\n| Christopher Harville Kenneth Haskey Jr. | |\n| Kelly Hastings Matt Hastings | |\n| Cody Hasty Timothy Hatesaul | |\n| Alan Hatter Franklin Hawes Jr. | |\n| Jeff Hayden | |\n| James Hay | |\n| Daniel Hayes | |\n| Dennis Hester Erin Hettman David Hewitt Clark Hickman Alston Hicks Jaime Hicks Jordan Hicks Scott Hicks Tracy Hicks Destery Hidlebaugh Ryan Hidlebaugh | |\n| Arrin Hill Elgie Hill Geno Hill Jr. | |\n| Scott Hinman | |\n| Geoffrey Himmelreich Tommy Hinchman Jr. Freddie Hines Daniel Hinton Kevin Hlatky | Russell L. Hogue II |\n| Steve Hoaglund Damieon Hodges Sarah Hoffman | |\n| David Hensley Laura Hensley Austin Henson | Tacha Heron Fernando Herrera |\n| Juan Hernandez Jake Herod | Christian Hernandez Shelley Herod |\n| James Higgins Tiffany Hight Jaron Hill Jeanette Hill Mike Hill Stephen Hill Kristen Hillis | |\n| Brent Herring Matthew Herring Christi Herrington Kimberly Hesse Charles Hester | |\n| Jimmy Higginbotham Amy Higgins | Michael Higginbottom |", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Tim Deal\n\nAshley Dean\n\nRobert Dean\n\nPhillip Deaton\n\nBelinda Debter\n\nTim Dehan II\n\nNick Dell'Osso Jr.\n\nToney Dempsey\n\nBenjamin Deville\n\nMichael Dew\n\nCurt Dewbre\n\nSam DeFoor\n\nPam DeLong\n\nDrew DeLozier\n\nKenneth DeMoney\n\nKolby DeVille\n\nDavid DeWitt\n\nDonald Diamond\n\nRaquel Diaz Hicks\n\nMichael Dickinson\n\nRobert Dickson\n\nWade Dietzman\n\nChad Diffey\n\nTiffany Diggins\n\nKevin Digney\n\nScottie Dill\n\nR.B. Dillard Jr.\n\nTom Divine\n\nShane Dixon\n\nAllen Doan\n\nDwayne Dockens\n\nKen Dodson\n\nJimmy Doolittle Jr.\n\nJames Dorsey\n\nZach Dorsey\n\nJerry Dotson Jr.\n\nJosette Doughty\n\nEric Douglas\n\nBobby Downs\n\nBrett Dreyer\n\nOscar Duarte\n\nMichelle Dugan\n\nAmy Duke\n\nDana Duke\n\nRichard Dunagan\n\nVallie Dunklin\n\nJason Dunlap\n\nJean Ann Dunn\n\nLesley Dunnagan\n\nTadd Dunnahoe\n\nEricka Durham\n\nChris Dybvig\n\nAlicia Dye\n\nBenjamin Dyne\n\nRon Dysart\n\nCody D'Alessandro\n\nErick Eads\n\nJonathan Easter\n\nMonte Eastman\n\nTravis Edds\n\nJacob Edster\n\nJames Edwards II\n\nPaul Edwards\n\nTyler Eilers\n\nJanna Ellenburg\n\nBrad Ellett\n\nShane Elli\n\nJake Elliott\n\nStephen Elliott\n\nTroy Elliott\n\nErin Ellis\n\nShawn Ellis\n\nBo Embrey\n\nMyron Emmons Jr.\n\nMatthew Enkoff\n\nEmil Enoff Jr.\n\nTonya Enriquez\n\nLaura Ensminger\n\nWilliams Espino\n\nChristian Estep\n\nJeremy Estep\n\nCrystal Evans\n\nAlisha Fagala\n\nFred Farndon\n\nDonovan Farrow\n\nJonathan Faughtenberry\n\nGary Favor\n\nErin Fay\n\nRob Fell\n\nCarl Fenderson\n\nEdgar Fernandez\n\nGabe Ferrell\n\nPaul Fesler\n\nKeri Fieno\n\nMatt Finney\n\nNeil Fisher\n\nChad Fitzgerald\n\nDerek Flesner\n\nKevin Flores\n\nMara Flores\n\nPete Flores\n\nDavid Floyd\n\nChristopher Forcucci\n\nLeonard Foreman\n\nPatrick Foreman\n\nDebbie Forester\n\nDavid Foshee\n\nJonathan Fouse\n\nCassidy Fouts\n\nBill Fowler\n\nPhil Fox\n\nMike Franklin\n\nBelinda Franko\n\nGordon Frayne Jr.\n\nGregory Frazier\n\nAllen Frederick\n\nMelissa Freeman\n\nArmando Frias\n\nNorris Friend\n\nPhilip Friesen\n\nPaula Friess\n\nSteve Frost\n\nGilberto Fuentes-Perez\n\nBobby Furr\n\nBlaine Galbreath\n\nKasha Galla\n\nAngi Gallaway\n\nCole Gallaway\n\nNicole Ganaway\n\nKevin Gant\n\nFrancisco Gaona\n\nEliseo Garcia\n\nLeonel Garcia\n\nDan Gardner\n\nTim Garey\n\nMatt Garlington\n\nJennifer Garner\n\nJohnny Garrard Jr.\n\nBryant Garrett\n\nDonny Garrett\n\nAsael Garza\n\nHerman Garza\n\nAustin Gaspard\n\nSarah Gately\n\nCody Gates\n\nYelena Gatewood\n\nKatie Genovese\n\nMel George\n\nMike Gialousis\n\nMike Gibson\n\nMike Gile\n\nDavid Gilley\n\nTom Gilmore\n\nTrasey Gipson\n\nTyler Gizzi\n\nBlake Gladhill\n\nBrent Glasgow", - "page_start": 37, - "page_end": 37, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Brandi Wallis\n\n| Kent Warfield Doug Warminski Brian Warren |\n|------------------------------------------------------------------------------------------------------------------------------|\n| BJ Warren |\n| Christian Warren John Warren Ray Warren Britni Watson Cody Watson |\n| Mike Watson Kelli Waxman Jeff Weaver Michael Webb Nathan Weber Ryan Weber |\n| Cody Weiss |\n| George Weissman |\n| Glen Wolford Luke Wood Kim Woodall Travis Woodard Mike Woodfin Kevin Woods Kyle Woods Monty Woods |\n| Bill Welch |\n| David Witte |\n| Brandon Welch Brent Welch Kip Welch Melanie Welch Geff Welsh Drew West Scott West |\n| Colt Westbrook Buck Wheaton Jeric Wheeler Shawn Whitaker Dennis White |\n| Forest Willis Adam Wilson |\n| B.C. Wilson Darrel Wilson Erica Wilson Jonathan Wilson Kayla Wilson Kendal Wilson |\n| Lisa White Suzy White Todd C. White Danny Whitehead Darien Whitehurst Gary Whitley Kody Whitley Kyra Whitt |\n| Kevin Wilson Lance Wilson Sugar Ray Wilson Todd Wilson Clayton Winkler Gary Winn Keith Winsauer Rhett Winter Crystal Witcher |\n| Ray Wolf |\n| Richard Woodbeck |\n| David Wools |\n| Emily Worthen |\n| Lindsey Wortham |\n| Daniel Wortham |\n| Becky Wooten Billy Wooten Jamie Word |\n\nBrandon J. Wright\n\nDan Wright\n\nKandice Wright\n\nMike R. Wright\n\nRyan Wright\n\nTom Wright\n\nChad Wyatt\n\nCarolynn Wylder\n\nJennifer Yeahquo\n\nTonya York\n\nAndrew Yost\n\nKevin Yost\n\nScot Young\n\nTerri Young\n\nTammi Yount\n\nJuan Zapata Jr.\n\nRobert Zeiler\n\nDebra Zimmerman\n\nLinda Zimmerman\n\nMelvin Zinke\n\nGerry Ziriaxe\n\n## 2009 (1,323)\n\nTimothy O. Abshire\n\nTimothy Abshire Jr.\n\nDaman Ackerman\n\nJoshua Ackley\n\nJeremy Adam\n\nChristopher Adams\n\nDeAnn Adams\n\nHeath Adams\n\nKyle Adams\n\nPeter Adams\n\nMark Adkins\n\nMichael Adkinson\n\nDavid Adkison\n\nAaron Aguilar\n\nDavid Ainsworth\n\nEdward Ainsworth\n\nTasha Akers\n\nGavin Albright\n\nMarco Aleman\n\nCurtis Alexander\n\nAlbert Allen III\n\nCathy Allen\n\nJames M. Allen\n\nJared Allen\n\nKane Allen\n\nMike Allen\n\nPaul Allen\n\nTommy Allen\n\nSondra Allison\n\nJacob Alvarez\n\nJames Alvis\n\nJoe E. Aly\n\nBrandon Amato\n\nMatt Andersen\n\nAndrew Anderson\n\nJeremy Anderson\n\nRondal Anderson Jr.\n\nTyler Anderson\n\nVictor Anderson\n\nAustin Andrews\n\nDustin Andrews\n\nJames Andrews Jr.\n\nBradly Andrus\n\nTony Angelo\n\nChristopher Anglin", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "| | | Jeffrie Davidson |\n| Steve Beeson | Octavio Carpio Deborah Carroll | |\n| | | David Danley Beverly Dart |\n| Danny Beets Bo Bekendam Robyn Belew | Stephan Carroll James Carter | Betsy Davis Chad Davis |\n| Paige Benedict Cheryl Bennett | Alex Casias | Garry Davis |\n| | Bernardino Castaneda Jr. Jose Castelo Aaron Casto | Kathy Davis Megan Davis Rodger Davis Ron Davis |\n| Garrett Benton John Bergman Sharon Berkley | Charles Castelli | Kenny Dawson |\n| Eric Bess Robert Bevel | Brandon Cates Scott Cavner | Robert Day Landon Dean |\n| Amar Bhakta | Gregory Cavness Cassie Cawyer Rosa Chacon | Stanley Dean Kevin Deeds Matthew Deel |\n| Randy Bickel Jr. Liz Bicoy Jacob Biernacki | Tim Chaloupek Paul Charles | Tim Deffenbaugh Gary Dennis |\n| Pam Billingsley | Harvey Chambliss | Mark Deshazo |\n| Matthew Birch Jeremy Black David Black Jr | David Chavarria Oscar Chavez | |\n| Willis Blaker III | Kathy Cheesman James Cheshire | Karl Dexter Donald DeForest Jr. |\n| Phillip Blankenship Emily Blaschke Tony Blasier | Henry Childress Richard Childress | Gianny Diaz Andrew Dickins |\n| Jimmy Blevins Doug Bohlen Brandi Bonner | Stephanie Choate Twila Christy Kerry Clapp Suzanne Clapper | Ed Dillard Robert Dison Linda Dixon |\n| | David Clark | |\n| | | Michelle Dodd Gary Donley |\n| Richard Bolding | | |\n| Daniel Borowski | Brandon Clark | |\n| John Bottrell II | | Nicolas Dominguez |\n| | Dustin Clark James Clark | Stephanie Doty |\n| | Leon Clark | |\n| Brian Bounds Barbara Bowersox | | Dawn Douglas Greg Douglas Johnny Dowdy |\n| Deven Bowles Donald Bowman | Steve Clark | Lorie Douglas |", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Yemi Ajijolaiya\n\nClint Ake\n\nRaymond Akins\n\nAdrian Alaniz\n\nIsrael Alaniz Jr.\n\nLeonardo Alcantar-Lopez\n\nJohn Alcorta\n\nDebbie Allen\n\nRonnie Allen\n\nTucker Allen\n\nJacob Allyn\n\nArdy Amin\n\nJeff Amos\n\nBoz Anderson\n\nCody Anderson\n\nDusty Anderson\n\nMaribeth Anderson\n\nRick Anderson\n\nWayne Anderson\n\nClenda Andrews\n\nSteve Archer\n\nKolby Arnold\n\nRoger Arnold Jr.\n\nJerry Ashley\n\nRobert Atchison\n\nRickey Avery\n\nNoa Avila\n\nWilliam Aycock\n\nWilliam Bagley Jr.\n\nKevin N. Bailey\n\nDavid Baker\n\nGarrett Baker\n\nJoe Baker\n\nLeslie Baker\n\nTeddy Baker\n\nDavid Baker-Lattie\n\nChad Bakke\n\nRick Ball\n\nRobert Ball\n\nCindy Balsly\n\nJeremy Banes\n\nAmy Banu\n\nFreddie Barela\n\nJudson Barker\n\nBeata Barna\n\nCraig Barnard\n\nSharon Barnett\n\nMerrilee Barone\n\nJorge Barron\n\nJulie Barron\n\nRedmond Barry\n\nWayne Bartlett\n\nTravis Basinger\n\nStacey Baty\n\nLaura Bauer\n\nKimberly Beal\n\nDavid Beard\n\nJustin Beatty\n\nCory Beck\n\nLarry Beckwith\n\nArianna Bedell\n\nSam Bedri\n\nRodney Belcher\n\nBen Bell\n\nChristy Bell\n\nBrooks Bennett\n\nLaura Bennett\n\nNathan Berg\n\nBarry Bergstrom\n\nTy Bermea\n\nPam Bert\n\nJon Biegel\n\nMarvin Biggar\n\nBryce Biggs\n\nRandy Billings\n\nEd Birdshead\n\nJeremy Birkes\n\nWes Bishop\n\nRobert Bitner\n\nQuinton Black\n\nShawn Black\n\nCraig Blackburn\n\nTimothy Blackmon\n\nJerry Blair\n\nJohn Blake Jr.\n\nJared Blakley\n\nBrandon L. Blevins\n\nSammie Blevins\n\nBlake Boecking\n\nDebbie Boggs\n\nMercedes Bolen\n\nRichard Bolt\n\nGreg Bommer\n\nJustin Bond\n\nDustin Boone\n\nJared Boren\n\nRyan Bose\n\nRonald Bowden\n\nClayton Bowerman\n\nLesley Bowman\n\nMike Bownds\n\nChris Boyd\n\nDiana Boyd\n\nKyle G. Bradford\n\nCasey Brady\n\nDanny Branch\n\nJordan Brandenburg\n\nEugene Branham\n\nJoe Branham\n\nErika Braver\n\nDennis Breakfield\n\nDarryl Breland\n\nLance Breland\n\nJeff Bridgwater\n\nEric Britton\n\nKeri Brock\n\nTanner Broomfield\n\nDeanna Brouillette\n\nAaron Brown\n\nEddie Brown\n\nJason O. Brown\n\nKenneth Brown Jr.\n\nScott Brown\n\nJeff Browning\n\nJames Brumley\n\nKasey Bryan\n\nJoshua Bryant\n\nRusty Bryce\n\nJonathan Bryson\n\nTanna Buie\n\nKenton Bulson\n\nShannon Bunner\n\nTracy Burleson\n\nTom Burnett\n\nJerry Burnham\n\nJerry Burns\n\nSundee Busby\n\nLouis Bushiey\n\nRocky Butler\n\nDavid Byrne\n\nMatt Cagigal\n\nRaymond Cagle\n\nAlan Callahan\n\nAndria Campbell\n\nIan Campbell\n\nJeffrey Campbell\n\nRichard Campbell\n\nAdrianne Cannon\n\nJon Cantu\n\nChris Carender\n\nAlicia Carey\n\nTerry Cariker\n\nGrant Carlisle\n\nJohn Carney\n\nMark Carpenter\n\nEarl Carr\n\nAmanda Carroll\n\nDarry Carter Sr.\n\nHolly Cary\n\nBen Case\n\nAlex Castaneda\n\nJose Castellano\n\nRicardo Castillo\n\nJohn Casto\n\nJeremy Caywood\n\nCurtis Celestine Jr.\n\nCrystal Celsur\n\nWilliam Chambers\n\nKathy Chandler\n\nGordon Channel\n\nPhilip Chapman\n\nRyan Chappell\n\nWard Chase Jr.\n\nJamie Chastain\n\nLisa Chastain\n\nArmando Chavez Jr.\n\nSteve Chipera\n\nPhillip Chism\n\nMorgan Chrisman\n\nRonnie Christopher\n\nRichard Chumley\n\nJohn Churchwell\n\nRosa Cisneros\n\nBeth Clanton\n\nDarin Clanton\n\nMatt Clark\n\nSheridan Clark\n\nDusty Clayton\n\nCharles Clevenger\n\nColt Clinesmith\n\nThomas Clouette II\n\nWayne Cloutet\n\nAndrew Cludius\n\nRyan Coalmer\n\nTobie Coffey\n\nDon Cogar\n\nStephanie Coil\n\nKyle Coldiron\n\nAdam Cole\n\nAshley Cole\n\nDustin Cole\n\nBob Coleman\n\nRobert T. Coleman\n\nMark Collier\n\nJoshua Collins\n\nStephen Collins\n\nBrad Collison\n\nDenise Condos\n\nDustin Conley\n\nSteven Conn\n\nDustin Connor\n\nWilliam Connor\n\nBrandon Cook\n\nNathan Cook\n\nDouglas Cooper\n\nMisty Cooper\n\nCatie Coppage\n\nIsmael Correa\n\nChad Corwin\n\nDennis Cottrill Jr.\n\nMichael Counts Jr.\n\nTodd Courson\n\nBrian K. Cox\n\nJennifer Cox\n\nRobert Crank\n\nRex Cravens\n\nTracy Crawford\n\nGary Crenshaw\n\nDaniel Crihfield\n\nJeffrey Crihfield\n\nTimothy Criner\n\nHeath Criss\n\nSteve Crocker\n\nJade Crockett\n\nZachary Cromer\n\nK.W. Cryer\n\nRobert Cumberland Jr\n\nTerry Cumberledge\n\nJered Cunningham\n\nTimothy Curnutte\n\nTasie Dahl\n\nMonte Dain\n\nSteve Daniel\n\nJohn Daniels\n\nHaley Dark\n\nJosh Darr\n\nDavid C. Davis\n\nDavy Davis\n\nDonald Davis\n\nGayl Davis\n\nKiley Davis\n\nLynsey Davis\n\nNathan Davis\n\nNicole Davis\n\nDuane Decker\n\nNick Delaloye\n\nJeff Delancy\n\nEric Denneny\n\nWilliam Denny\n\nJerry Derr\n\nTracey Devera\n\nDewey Deville\n\nTrey Dewald\n\nHolly DeRousse\n\nLisa DeSpain\n\nAdam DeVries\n\nRoque De La Torre\n\nBryan Dilger", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "When does IBM close its acquisition of Red Hat ?", - "target_page": 20, - "target_passage": " On July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "This publication describes how Red Hat and IBM can advance your cloud journey and speed growth and innovation for your business by using Red Hat OpenShift on IBM Power Systems.\n\nNote: Red Hat joins IBM as a distinct unit, preserving the independence and neutrality of Red Hat's open source development heritage and unique development culture. Red Hat's unwavering commitment to open source remains unchanged and it continues to offer customers choice and flexibility.", - "page_start": 20, - "page_end": 20, - "source_file": "sg248459.pdf" - }, - { - "text": "\n\nIBM Redbooks\n\nRed Hat OpenShift and IBM Cloud Paks on IBM Power Systems: Volume 1\n\nMarch 2020", - "page_start": 2, - "page_end": 2, - "source_file": "sg248459.pdf" - }, - { - "text": "Note: Before using this information and the product it supports, read the information in 'Notices' on page vii.\n\n## First Edition (March 2020)\n\nThis edition applies to:\n\n- /SM590000 Red Hat OpenShift Container Platform for Power Enterprise V3.11\n- /SM590000 Red Hat Enterprise Linux Server release V7.6 (Maipo) for ppc64le\n- /SM590000 IBM Virtual I/O Server V3.1.1.0\n- /SM590000 IBM Cloud PowerVC Manager V1.4.3.1\n- /SM590000 Terraform V0.12.9\n- /SM590000 provider.null V2.1.2\n- /SM590000 provider.openstack V1.22.0\n\n' Copyright International Business Machines Corporation 2020. All rights reserved.\n\nNote to U.S. Government Users Restricted Rights -- Use, duplication or disclosure restricted by GSA ADP Schedule Contract with IBM Corp.", - "page_start": 3, - "page_end": 3, - "source_file": "sg248459.pdf" - }, - { - "text": "Front cover\n\n\n\n## Red Hat OpenShift and IBM Cloud Paks on IBM Power Systems Volume 1\n\nDino Quintero\n\nRicardo Dobelin Barros\n\nDaniel Casali\n\nLuis Ferreira\n\nAlain Fisher\n\nFederico Fros\n\nLuis Daniel Gonzalez\n\nMiguel Gomez Gonzalez\n\nMahesh Gurugunti\n\nRogelio Rivera Gutierrez\n\nNicolas Joly\n\nBoris Litichevsky\n\nIsmael Solis Moreno\n\nGabriel Padilla\n\n\n\nSudipto Pal\n\nBogdan Savu\n\nRichard Wale\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "sg248459.pdf" - }, - { - "text": "- /SM590000 Private cloud:\n - - Red Hat OpenShift\n - - IBM Cloud Private", - "page_start": 207, - "page_end": 207, - "source_file": "sg248459.pdf" - }, - { - "text": "## 1.1 Introduction\n\nMost companies started or are contemplating their journey to cloud. Although in recent years the adoption of cloud became much more common place, the scope of what a cloud is or can be also increased. This broadening of possibilities unfortunately added confusion and can result in companies being unsure of how their existing application estate can change to integrate with the cloud model.\n\nAs such, doubts still exist around how to start and progress on this journey. It is also true that although people understand traditional enterprise applications and more modern cloud-hosted applications, the integration or co-existence of both can prove equally confusing and contradicting.\n\nRecent industry trends, combined with the new partnership between Red Hat and IBM, seek to bring some clarity to the landscape while providing new modernization opportunities for existing enterprise applications and familiar environments.\n\nThe main focus of this IBM Redbooks publication relates to IBM Cloud Paks and Red Hat OpenShift, which is hosted on IBM Power Systems. Although individually much can be written about either topic, the relationship this publication highlights is between Red Hat OpenShift and IBM Power Systems.\n\nWe show what Red Hat OpenShift brings to the IBM Power Systems platform specifically discuss how it can be deployed and added into existing familiar Power System environments, and the benefits that integration and co-existence can provide from an existing enterprise application viewpoint.\n\nThis publication is a first volume in a planned multi-volume publication over the next 12 - 18 months. Within this initial volume, we explain the fundamental perspective (which is accurate as of the time of this writing) while providing pointers to future direction that will be discussed in future volumes.\n\nNote: This initial publication relates to Red Hat OpenShift 3.11, because this release was the current OpenShift Container Platform (OCP) release for IBM Power Systems at the time of this writing. IBM and Red Hat intend to deliver Red Hat OpenShift 4 for IBM POWERfi to accelerate agility for enterprise clients through integrated tooling and a feature-rich Kubernetes container platform for cloud-native development on POWER9 and IBM POWER8fi processor-based servers.\n\n## 1.2 Red Hat and IBM\n\nOn July 9th, 2019, IBM closed its acquisition of Red Hat, a leader in enterprise Linux and open source technology.\n\nThis acquisition puts Red Hat and IBM in a unique position to unlock the true value of hybrid cloud for your business. By combining the power and flexibility of Red Hat's open hybrid cloud technologies with the scale and depth of IBM innovation and industry expertise, you now have the tools to accelerate your cloud journey.\n\nIBM and Red Hat worked together for more than 20 years in making open source a competitive advantage for businesses on x86, IBM Power Systems, and IBM z Systemsfi. Together, we are both on a mission to improve open source technology and help your companies capture the business value of the cloud.", - "page_start": 19, - "page_end": 19, - "source_file": "sg248459.pdf" - }, - { - "text": "## Related publications\n\nThe publications that are listed in this section are considered particularly suitable for a more detailed discussion of the topics that are covered in this book.\n\n## IBM Redbooks\n\nThe IBM Redbooks publication IBM PowerVM Best Practices , SG24-8062 , provides more information about the topic in this document. Note that this publication might be available in softcopy only.\n\nYou can search for, view, download or order this documents and other Redbooks, Redpapers, Web Docs, draft, and other materials, at the following website:\n\nibm.com /redbooks\n\n## Online resources\n\nThe following websites are also relevant as further information sources:\n\n - /SM590000\n - Deploying Red Hat OpenShift Container Platform 3.11 on Red Hat OpenStack Platform 13\n\nhttps://red.ht/2pEFNpV", - "page_start": 264, - "page_end": 264, - "source_file": "sg248459.pdf" - }, - { - "text": "https://ibm.co/34Cko06\n\n - /SM590000\n - Red Hat OpenShift Container Platform 3.11 CLI Reference https://red.ht/2XZGBmz\n\n## Help from IBM\n\nIBM Support and downloads\n\nibm.com /support\n\nIBM Global Services\n\nibm.com /services", - "page_start": 264, - "page_end": 264, - "source_file": "sg248459.pdf" - }, - { - "text": "## Trademarks\n\nIBM, the IBM logo, and ibm.com are trademarks or registered trademarks of International Business Machines Corporation, registered in many jurisdictions worldwide. Other product and service names might be trademarks of IBM or other companies. A current list of IBM trademarks is available on the web at 'Copyright and trademark information' at http://www.ibm.com/legal/copytrade.shtml\n\nThe following terms are trademarks or registered trademarks of International Business Machines Corporation, and might also be trademarks or registered trademarks in other countries.\n\nAIXfi\n\nCognosfi\n\nDB2fi\n\nGuardiumfi\n\nIBMfi\n\nIBM Cloud™\n\nIBM Cloud Pak™\n\nIBM Services™\n\nIBM Spectrumfi\n\nIBM Zfi\n\nIBM z Systemsfi\n\nOpenCAPI™\n\nPOWERfi\n\nPOWER8fi\n\nPOWER9™\n\nPowerHAfi\n\nPowerVMfi\n\nQRadarfi\n\nRedbooksfi\n\nRedbooks (logo)\n\nfi\n\nSystemMirrorfi\n\nTivolifi\n\nWebSpherefi\n\nXIVfi\n\nz Systemsfi\n\n\n\nThe following terms are trademarks of other companies:\n\nThe registered trademark Linuxfi is used pursuant to a sublicense from the Linux Foundation, the exclusive licensee of Linus Torvalds, owner of the mark on a worldwide basis.\n\nWindows, and the Windows logo are trademarks of Microsoft Corporation in the United States, other countries, or both.\n\nJava, and all Java-based trademarks and logos are trademarks or registered trademarks of Oracle and/or its affiliates.\n\nAnsible, Gluster, JBoss, OpenShift, Red Hat, are trademarks or registered trademarks of Red Hat, Inc. or its subsidiaries in the United States and other countries.\n\nUNIX is a registered trademark of The Open Group in the United States and other countries.\n\nVMware, and the VMware logo are registered trademarks or trademarks of VMware, Inc. or its subsidiaries in the United States and/or other jurisdictions.\n\nOther company, product, or service names may be trademarks or service marks of others.", - "page_start": 9, - "page_end": 9, - "source_file": "sg248459.pdf" - }, - { - "text": "## Notices\n\nThis information was developed for products and services offered in the US. This material might be available from IBM in other languages. However, you may be required to own a copy of the product or product version in that language in order to access it.\n\nIBM may not offer the products, services, or features discussed in this document in other countries. Consult your local IBM representative for information on the products and services currently available in your area. Any reference to an IBM product, program, or service is not intended to state or imply that only that IBM product, program, or service may be used. Any functionally equivalent product, program, or service that does not infringe any IBM intellectual property right may be used instead. However, it is the user's responsibility to evaluate and verify the operation of any non-IBM product, program, or service.\n\nIBM may have patents or pending patent applications covering subject matter described in this document. The furnishing of this document does not grant you any license to these patents. You can send license inquiries, in writing, to:\n\nIBM Director of Licensing, IBM Corporation, North Castle Drive, MD-NC119, Armonk, NY 10504-1785, US\n\nINTERNATIONAL BUSINESS MACHINES CORPORATION PROVIDES THIS PUBLICATION 'AS IS' WITHOUT WARRANTY OF ANY KIND, EITHER EXPRESS OR IMPLIED, INCLUDING, BUT NOT LIMITED TO, THE IMPLIED WARRANTIES OF NON-INFRINGEMENT, MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE. Some jurisdictions do not allow disclaimer of express or implied warranties in certain transactions, therefore, this statement may not apply to you.\n\nThis information could include technical inaccuracies or typographical errors. Changes are periodically made to the information herein; these changes will be incorporated in new editions of the publication. IBM may make improvements and/or changes in the product(s) and/or the program(s) described in this publication at any time without notice.\n\nAny references in this information to non-IBM websites are provided for convenience only and do not in any manner serve as an endorsement of those websites. The materials at those websites are not part of the materials for this IBM product and use of those websites is at your own risk.\n\nIBM may use or distribute any of the information you provide in any way it believes appropriate without incurring any obligation to you.\n\nThe performance data and client examples cited are presented for illustrative purposes only. Actual performance results may vary depending on specific configurations and operating conditions.\n\nInformation concerning non-IBM products was obtained from the suppliers of those products, their published announcements or other publicly available sources. IBM has not tested those products and cannot confirm the accuracy of performance, compatibility or any other claims related to non-IBM products. Questions on the capabilities of non-IBM products should be addressed to the suppliers of those products.\n\nStatements regarding IBM's future direction or intent are subject to change or withdrawal without notice, and represent goals and objectives only.\n\nThis information contains examples of data and reports used in daily business operations. To illustrate them as completely as possible, the examples include the names of individuals, companies, brands, and products. All of these names are fictitious and any similarity to actual people or business enterprises is entirely coincidental.\n\n## COPYRIGHT LICENSE:", - "page_start": 14, - "page_end": 14, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "sg248459.pdf", - "query": "What does an ITMS service provide ?", - "target_page": 30, - "target_passage": "An IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## IT Service Management and orchestration\n\nAn IT Service Management (ITSM) perspective can provide automation and a global management view, and incorporate the necessary software disciplines that are required to build a solid infrastructure for an enterprise, commercial or not.\n\nThe missing point was the orchestration and the orchestration of all containers and resources around them. Many people think that orchestration and automation are the same thing, but the orchestration is more complex. Automation often is discussed in the context of specific tasks, whereas orchestration refers to the automation of processes and workflows.\n\nOrchestration deals with the end-to-end process simplify the automation and the administration across specific machines and diverse dependencies (see Figure 2-3). Automation attempts to move people out of the equation whereas orchestration is not about rigid planning, but arranging and coordination of automated tasks, which ultimately results in a consolidated process or workflow. Parts can be automated, but the decision is still human-centric; for example, the definition of which tasks must run, the order of the tasks, role assignments, permission, post-deployment, failure recovery, and scaling.\n\nFigure 2-3 Where orchestration fits\n\n\n\nFor more information about automation, see 2.4, 'Kubernetes: An open source container orchestration' on page 24.", - "page_start": 29, - "page_end": 29, - "source_file": "sg248459.pdf" - }, - { - "text": "- /SM590000 Content Federation Services for Content Manager OnDemand architecture\n - /SM590000 Deployment considerations", - "page_start": 388, - "page_end": 388, - "source_file": "sg246915.pdf" - }, - { - "text": "- - Monitor the configuration to see whether it meets the best practices.\n - - System resource management; that is, is the system being overly taxed and provide proactive recommendations to fix it.\n - /SM590000 Storage Insights provides advanced customer service with an event filter to that allows:\n - - The ability for you and support to view support tickets and open and close them and to track trends.\n - - Auto log collection capability to allow you to collect the logs and send to IBM before support start looking into the problem. This feature can save as much as 50% of the time to resolve the case.", - "page_start": 104, - "page_end": 104, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Content Federation Services for Content Manager OnDemand and IBM Enterprise Records overview\n - /SM590000 Administration of Content Federation Services for Content Manager OnDemand for Enterprise Records", - "page_start": 388, - "page_end": 388, - "source_file": "sg246915.pdf" - }, - { - "text": "Figure 5-77 Call Home Settings\n\n\n\n## /SM590000 Support assistance\n\nThis option enables support personnel to access the system to complete troubleshooting and maintenance tasks. You can configure e local support assistance, where support personnel visit your site to fix problems with the system, or remote support assistance. Both local and remote support assistance use secure connections to protect data exchange between the support center and system. More access controls can be added by the system administrator.\n\n - /SM590000 Support Package\n\nIf support assistance is configured on your systems, you can automatically or manually upload new support packages to the support center to help analyze and resolve errors on the system.", - "page_start": 201, - "page_end": 201, - "source_file": "sg247938.pdf" - }, - { - "text": "## Cloud engineering\n\nIn the same line of ITSM, the application of an engineering approach on cloud infrastructures helped the clients and system administrators to integrate better and manage their day-to-day business.\n\nCloud engineering focuses on cloud services, such as SaaS, PaaS, and IaaS. It is a multidisciplinary method that includes the foundation of cloud, implementation, cloud development-delivery lifecycle, and management.\n\nAn orchestrator normally includes a range of technologies, products, and components, as shown in Figure 2-4.\n\nFigure 2-4 Example of Orchestration Components\n\n\n\nThe following cloud engineering disciplines are addressed by an orchestrator:\n\n - /SM590000 Platform management\n - /SM590000 Virtualization services\n - /SM590000 Authentication and authorization services\n - /SM590000 Resources management\n - /SM590000 Disaster recovery\n - /SM590000 Workload resilience\n - /SM590000 Monitoring, usage, and accounting\n - /SM590000 Configuration services\n - /SM590000 Application lifecycle\n - /SM590000 Service automation\n - /SM590000 Service catalog", - "page_start": 30, - "page_end": 30, - "source_file": "sg248459.pdf" - }, - { - "text": "The ARSSUPPORT utility generates information about a Content Manager OnDemand server. This information includes information about its configuration and system environment.", - "page_start": 428, - "page_end": 428, - "source_file": "sg246915.pdf" - }, - { - "text": "## Service IP information\n\nTo view the Service IP information of your IBM Spectrum Virtualize, select Settings → Network , as shown in Figure 5-56 on page 166. Click the Service IP Address option to view the properties, as shown in Figure 5-58.\n\nFigure 5-58 Viewing service IP address\n\n\n\nThe service IP address is commonly used to provide access to the network interfaces on each individual node of the control enclosure.\n\nInstead of reaching the Management IP address, the service IP address directly connects to each individual node canister for service operations. You can select a node canister of the control enclosure from the drop-down list and then click any of the ports that are shown in the GUI. The service IP address can be configure to support IPv4 or IPv6.\n\n## iSCSI information\n\nFrom the iSCSI pane in the Settings menu, you can display and configure parameters for the system to connect to iSCSI-attached hosts, as shown in Figure 5-59 on page 168.", - "page_start": 188, - "page_end": 188, - "source_file": "sg247938.pdf" - }, - { - "text": "If the system is authenticated, it can then access cloud storage to copy data to the cloud storage or restore data that is copied to cloud storage back to the system. The system supports one cloud account to a single cloud service provider. Migration between providers is not supported.", - "page_start": 199, - "page_end": 199, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Content Manager OnDemand for i - Planning and Installation Guide , SC19-2790", - "page_start": 432, - "page_end": 432, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What are the two distinct public domain tools support by Creative Commons ?", - "target_page": 1, - "target_passage": "Creative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\nThis is a frame from 'Twenty Years of Creative Commons (in Sixty Seconds)' by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n## Creative Commons\n\nPO Box 1866 Mountain View CA 94042 USA +1 415 429 6753 info@creativecommons.org\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "When CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\n\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't change the copyright status of a work.\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\n## Public Domain Mark\n\nUse this tool if you have identified a work that is free of known copyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "## 6. Cross-cutting design questions\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n## Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative 'opt-in' consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of 'opt-out' could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about who can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 5. Examining approaches to building a books data commons\n\nThere are many possible permutations for building a books data commons. To structure our exploration, we focused on two particular tracks, discussed below. We chose these tracks mindful of the above legal issues, and because there are already existence proofs that help to illuminate tradeoffs, challenges and potential paths forward for each.\n\n## 5a. Public domain and permissively licensed books\n\n## Existing Project Example : The Pile v2 27\n\nIn 2020, the nonprofit research group EleutherAI constructed and released The Pile - a large, diverse, open dataset for AI training. EleutherAI developed it not only to support their own training of LLMs, but also to lower the barriers for others. 28\n\nAlong with data drawn from the web at large, The Pile included books from three datasets. The first dataset was the Books3 corpus referenced at the outset of this paper. The second and third books datasets were smaller: BookCorpus2, which is a collection of 17,868 books by otherwise unpublished authors; and a 28,752 books in the public domain and published prior to 1919, drawn from a volunteer effort to digitize public domain works called Project Gutenberg.\n\nAs the awareness about The Pile dataset grew, certain rightsholders began sending copyright notices to have the dataset taken down from various websites.\n\nDespite the takedown requests, the importance of books to EleutherAI and the broader community's AI research remained. In hoping to forge a path forward EleutherAI announced in 2024 that they would create a new version of the dataset, which they will call The Pile v2. 29 Among other things, v2 would 'have many more books than the original Pile had, for example, and more diverse representation of non-academic non-fiction domains.' At the same time, it would only seek to include public domain books and permissively licensed content. As before, this corpus focuses on English language books.", - "page_start": 12, - "page_end": 12, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "with. The vast majority of in-copyright books are out-of-print or out-of-commerce, and most are not actively managed by their rightsholders. There is no official registry of copyrighted works and their owners, and existing datasets can be incomplete or erroneous. 16\n\nAs a result, there may be no way to license the vast majority of in-copyright books, especially those that have or have had limited commercial value. Put differently, the barrier to using 17 most books is not simply to pay publishers; even if one had significant financial resources, licensing would not enable access to most works.\n\n## Permissively licensed works\n\nThere are books that have been permissively licensed in an easily identifiable way, such as works placed under Creative Commons (CC) licenses. Such works explicitly allow particular uses of works subject to various responsibilities (e.g., requiring attribution by the user in their follow-on use).\n\nWhile such works could be candidates for inclusion in a books data commons, their inclusion depends on whether the license's terms can be complied with in the context of AI training. For instance, in the context of CC licensed works, there are requirements for proper attribution across all licenses (the CC tools Public Domain Dedication (CC0) and Public Domain Mark (PDM) are not licenses and do not require attribution). 18", - "page_start": 9, - "page_end": 9, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Implications of the The Overall Approach\n\nStepping back from The Pile v2 specifically, or any particular existing collection of books or dataset built on their basis, we want to understand the implications of relying on public domain works and expressly licensed works in building a books commons.\n\nThe benefits are relatively straightforward. Both categories, by definition come with express permission to use the books in AI training. The cost of acquiring the books for this use may be effectively zero or close to it, when considering public domain and 'openly' licensed books that allow redistribution and that have already been digitized.\n\nBut this approach comes with some clear limitations. First, as noted above, for many books in the public domain, their status as such is not always clear. And with respect to permissively licensed books, it is not always clear whether and how to comply with the license obligations in this context.\n\nSetting aside those challenges, the simple fact is that relying on public domain and existing permissively licensed books would limit the quantity and diversity of data available for training, impacting performance along different dimensions. Only a small fraction of books ever published fall into this category, and the corpus of books in this category is likely to be skewed heavily towards older public domain books. This skew would, in turn, impact the content available for AI training. For instance, relying on books from before 1929 would not 30 only incorporate outdated language patterns, but also a range of biases and misconceptions about race and gender, among other things. Efforts could be made to get people to permissively license more material - a book drive for permissive licensing, so to speak; this approach would still not encompass most books, at least when it comes to past works. 31\n\n## 5b. Limitations & Exceptions\n\n## Existing Project Example: HathiTrust Research Center (HTRC)\n\nThe HathiTrust Research Center provides researchers with the ability to perform computational analysis across millions of books. While it is not suited specifically for AI training, it is an existence proof for what such a resource might look like.", - "page_start": 13, - "page_end": 13, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## Who would get to use the books data commons? For what?\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n - · Defining and ensuring acceptable and ethical use: Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of 'gated access' are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside 'sticks' like legal penalties, this would be a 'carrot' that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, 'good behavior' would constitute a significant challenge.\n - · Charging for use to support sustainability of the training corpus itself: While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others). 40\n - · Ensuring benefits of AI are broadly shared, including with book authors or publishers: The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in 'winner takes all-or-most' markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "What is Creative Commons ?", - "target_page": 1, - "target_passage": " Creative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Guide to using public domain tools\n\n## What Is Creative Commons?\n\nCreative Commons is a global nonprofit organization dedicated to supporting an open and accessible Internet that is enriched with free knowledge and creative resources for people around the world to use, share, and cultivate.\n\nOur easy-to-use licenses provide a simple, standardized way to give the public permission to share and use your creative work - on conditions of your choice. CC licenses let you change your copyright terms from the default of 'all rights reserved' to 'some rights reserved.'\n\nMillions of people use CC licenses on some of the world's most popular platforms for user-generated content. When you use a CC license to share your photos, videos, or blog, your creation joins a globally accessible pool of resources that includes the work of artists, educators, scientists, and governments.\n\n\n\nCreative Commons has waived all copyright and related or neighboring rights to this guide using the CC0 Public Domain Dedication.\n\n\n\nPublic domain works are valuable because anyone can freely build upon, enhance, and reuse them for any purposes without restriction under copyright or database law.\n\nThat's why it's important for creators to have a clear and legally robust way to place their works in the public domain as completely as possible, and it's also important for publishers and archives to have a standardized way to identify works that are already in the public domain.\n\nCreative Commons supports two distinct public domain tools, the CC0 Public Domain Dedication and the Public Domain Mark . Creative Commons copyright licenses help authors manage their copyright on terms they choose. Conversely, CC0 enables authors and copyright owners who want to dedicate their works to the worldwide public domain to do so, and PDM facilitates the labeling and discovery of works that are already free of known copyright restrictions.\n\n## Where public domain tools fit in the copyright spectrum\n\n\n\n## The CC0 Public Domain Dedication\n\nUse this universal tool if you are a holder of copyright or database rights, and wish to waive all your rights to the work worldwide.\n\n\n\n\n\nBy using CC0, you waive all copyright and related rights together with all associated claims and causes of action with respect to this work to the extent possible under the law.\n\nApplying CC0 to your work is easy. Simply visit the CC0 chooser (http://creativecommons.org/choose/zero) which will lead you through the process. When completed, you will be provided with HTML code that you can copy and paste into your website.\n\nYou let others copy, modify, distribute, and perform the work, even for commercial purposes, all without asking permission.\n\nWorks marked with the Public Domain Mark have been identified as being free of known restrictions under copyright law, including all related and neighboring rights. Anyone can copy, modify, distribute, and perform such works, even for commercial purposes, all without asking permission.\n\nApplying the PDM to a work is easy. Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.\n\nCreative Commons does not recommend this tool for works that are restricted by copyright laws in one or more jurisdictions. Consult with your legal advisor if you are unsure whether you should use the PDM for a certain work.\n\n## What is the di/fference between CC0 and the Public Domain Mark?\n\n\n\nCC0 ('CC Zero') is intended for use only by authors or holders of copyright and related rights (including database rights), in connection with works that are still subject to those rights in one or more countries.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "\n\n\"great colors of nature\" by marcostetter is published under Public Domain Mark 1.0.\n\n## About Us\n\nCreative Commons (CC) is the global nonprofit organization behind the CC Licenses and public domain tools, which power open sharing on popular platforms like Wikipedia, Flickr, YouTube, Medium, Vimeo, and Khan Academy. Since 2002, the CC Licenses have served as an alternative to traditional copyright, providing a simple, standardized, and legal way for individuals and institutions to freely share images, music, research, educational resources, and cultural artifacts.\n\n## Chief Executive Officer\n\nAnna Tumadóttir\n\nGeneral Counsel Kat Walsh\n\n## Board of Directors\n\nMarta Belcher Glenn Otis Brown Delia Browne James Grimmelmann\n\nLawrence Lessig * Emeritus\n\nAngela Oduor Lungati Bilal Randeree Alek Tarkowski Jeni Tennison Luis Villa\n\nExcept where otherwise noted, 'Annual Report 2023' by Creative Commons is licensed under CC BY 4.0.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\n## Creative Commons license\n\n## Understanding\n\nbefore licensing your work\n\n## THREE-LAYER DESIGN\n\nCreative Commons (CC) license has three layers:\n\n- \"Legal Code\" (base layer): contains terms and conditions to be used by lawyers and legally applicable in court.\n- \"Human Readable\" (commons deeds): contain the summary of the legal code and key terms.\n- \"Machine Readable\": contains HTML or codes for machines to recognize a work is available under a Creative Commons license.\n\n\n\n## FOUR ELEMENTS\n\n- BY (\"Attribution\"): users must credit the author of the work they are using.\n- SA (\"ShareAlike\"): adaptations based on this work must be licensed under the same license.\n- NC (\"NonCommercial\"): the work is only available to be used for noncommercial purposes.\n- ND (\"NoDerivative\"): reusers making cannot share adaptations of the work.\n\n\n\n## SIX LICENSES\n\n- CC BY (\"Attribution\") allows people to use the work for any purpose (even commercially and even in modified form) as long as they give attribution to the creator.\n- CC BY-SA (\"Attribution-ShareAlike\") allows people to use the work for any purpose (even commercially and even in modified form), as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-NC (\"Attribution-NonCommercial\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator.\n- CC BY-NC-SA (\"Attribution-NonCommercial-ShareAlike\") allows people to use the work for noncommercial purposes only, and only as long as they give attribution to the creator and make any adaptations they share with others available under the same or a compatible license.\n- CC BY-ND (\"Attribution-NoDerivative\") allows people to use the unadapted work for any purpose (even commercially), as long as they give attribution to the creator.\n- CC BY-NC-ND (\"Attribution-NonCommercial-NoDerivative\") allows people to use the unadapted work for noncommercial purposes only, and only as long as they give attribution to the licensor.\n\n## REMIND THAT…\n\nCC license only applicable to the work that is within the scope of copyright law. CC license can be used when …\n\n- you want to give others permissions to freely copy and redistribute your work, and\n- you want to give others permission to freely transform, alter, or otherwise create derivative works based on your work.\n\n\n\n\n\n## CC LICENSE CAN'T BE USED FOR …\n\nfair use, fair dealing, or some other limitation and exception to copyright applies the the work.\n\n## ALSO FOR …\n\nthe work that is already in the Public Domain.\n\nFor those who want to waive their rights from copyright protection, use CC0 (\"CC Zero\").\n\n## NOW, SHARE YOUR WORK!\n\nhttps://creativecommons.org/choose/\n\n\n\n\n\nBY\n\n\n\nSA\n\n\n\nND\n\nNC", - "page_start": 0, - "page_end": 0, - "source_file": "Understanding_Creative_Commons_license_(infographic).pdf" - }, - { - "text": "\n\nThis is a frame from 'Twenty Years of Creative Commons (in Sixty Seconds)' by Ryan Junell and Glenn Otis Brown for Creative Commons licensed under CC BY 4.0. It includes adaptations of multiple open and public domain works. View full licensing and attribution information about all works included in the video on Flickr.\n\n## Creative Commons\n\nPO Box 1866 Mountain View CA 94042 USA +1 415 429 6753 info@creativecommons.org\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "## A Note from Leadership\n\nCC staff photos are licensed under CC BY 4.0.\n\n\n\n2023 was a busy year at Creative Commons. Our Open Culture program and Open Climate Campaign entered their third and second years, respectively. We hosted our first in-person CC Global Summit since 2019 in Mexico City. We held critical consultations and open panels on AI, copyright, and the CC Licenses, cultural heritage, education, and science; and we launched our Open Infrastructure Circle in an effort to ensure the CC Licenses are funded well into the future.\n\nWe also marked transitions in leadership. At the end of December, Catherine Stihler concluded her time as Chief Executive Officer (CEO) at Creative Commons, and I transitioned in as Interim. In March 2024, I was appointed CC's permanent CEO. I look forward to working closely with our Board of Directors, staff, and larger community on the critical work that awaits us in 2024 .\n\n## Anna Tumadóttir, CEO\n\n\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "\n\nThe first CC License was created in 2002. Today, we boast six CC Licenses and two public domain tools, setting a global standard for sharing.\n\n## We've estimated that over 2.5 billion pieces of content were CC Licensed by the end of 2023.\n\n\n\n\n\n\"The great growling engine of change - technology. Alvin Toffler\" by katerha is licensed under CC BY 2.0.\n\nOur legal and technology staff continued to make key infrastructure updates and manage daily maintenance to ensure these Licenses work for everyone.\n\n## In 2023, we launched the Open Infrastructure Circle (OIC) to ensure consistent funding for this work.\n\nWe're grateful to the early supporters of the OIC, including the William + Flora Hewlett Foundation, Bill & Melinda Gates Foundation, Filecoin Foundation for the Decentralized Web, Robert Wood Johnson Foundation, Chan Zuckerberg Initiative, Endless, Siegel Family Endowment, Flickr, Microsoft, and Paul and Iris Brest.\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "different rightsholders and authors. Managing opt-outs for so many different interests within one book may get overly complicated very fast.\n\nIn any event, creating an opt-out system will need some ways of authenticating whether someone has the relevant authority to make choices about inclusion of a work.\n\n## Who would get to use the books data commons? For what?\n\nA commons might be made publicly available to all, as has been done with datasets like The Pile. Another possible design choice is to restrict access only to authorized users and to enforce particular responsibilities or obligations in return for authorization. Three particular dimensions of permitted uses and users came up in our discussions:\n\n - · Defining and ensuring acceptable and ethical use: Participants discussed to what extent restrictions should be put on use of the resource. In the case of HathiTrust, acceptable use is implicitly ensured by limiting access to researchers from member institutions; other forms of 'gated access' are possible, allowing access only to certain types of users and for certain uses. One can imagine more fine-grained 39 mechanisms, based on a review of the purpose for which datasets are used. This imagined resource could become a useful lever to demand responsible development and use of AI; alongside 'sticks' like legal penalties, this would be a 'carrot' that could incentivize good behavior. At the same time, drawing the lines around, let alone enforcing, 'good behavior' would constitute a significant challenge.\n - · Charging for use to support sustainability of the training corpus itself: While wanting to ensure broad access to this resource, it is important to consider economic sustainability, including support for continuing to update the resource with new works and appropriate tooling for AI training. Requiring some form of payment to use the resource could support sustainability, perhaps with different requirements for different types of users (e.g., differentiating between non-commercial and commercial users, or high-volume, well-resourced users and others). 40\n - · Ensuring benefits of AI are broadly shared, including with book authors or publishers: The creation of a training resource might lower barriers to the development of AI tools, and in that way support broadly shared benefits by facilitating greater competition and mitigating concentration of power. On the other hand, just as concentration of technology industries is already a significant challenge, AI might not look much different, and the benefits of this resource may still simply go to a few large firms in 'winner takes all-or-most' markets. The workshops discussed how, for instance, large commercial users might be expected to contribute to a fund that supported contributors of training data, or more generally to fund writers, to ensure everyone contributing to the development of AI benefits.", - "page_start": 18, - "page_end": 18, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "content repositories, like libraries, with that of AI developers. A 'books data commons' needs to be both responsibly managed, and useful for developers of AI models.\n\nWe use 'commons' here in the sense of a resource that is broadly shared and accessible, and thus obviates the need for each individual actor to acquire, digitize, and format their own corpus of books for AI training. This resource could be collectively and intentionally managed, though we do not mean to select a particular form of governance in this paper. 4\n\nThis paper is descriptive, rather than prescriptive, mapping possible paths to building a books data commons as defined above and key questions relevant to developers, repositories, and other stakeholders, building on our workshop discussions. We first explain why books matter for AI training and how broader access could be beneficial. We then summarize two tracks that might be considered for developing such a resource, highlighting existing projects that help foreground both the potential and challenges. Finally, we present several key design choices, and next steps that could advance further development of this approach. 5", - "page_start": 2, - "page_end": 2, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## 6. Cross-cutting design questions\n\nThe workshops briefly touched on several cross-cutting design questions. While most relevant for approaches that depend on limitations and exceptions, considerations of these questions may be relevant across both tracks.\n\n## Would authors, publishers, and other relevant rightsholders and creators have any ability to exclude their works?\n\nOne of the greatest sources of controversy in this area is the extent to which rightsholders of copyrighted works, as well as the original creators of such works (e.g., book authors in this context), should be able to prevent use of their works for AI training.\n\nWhile a system that required affirmative 'opt-in' consent would limit utility significantly (as discussed above in the context of directly licensing works), a system that allowed some forms of 'opt-out' could still be quite useful to some types of AI development. In the context of use cases like development of LLMs, the performance impact may not be so significant. Since most in-copyright books are not actively managed, the majority of books would remain in the corpus by default. The performance of LLMs can still be improved across various dimensions without including, for example, the most famous writers or those who continue to commercially exploit their works and may choose to exercise an opt-out. Perhaps the potential for licensing relationships (and revenue) may induce some rightsholders to come forward and begin actively managing their works. In such a case, uses that do require a license may once again become more feasible once the rightsholder can be reached.\n\nWorkshop participants discussed different types of opt-outs that could be built. For example, opt-outs could be thought of not in blanket terms, but only as applied to certain uses, for example to commercial uses of the corpus, but not research uses. This could build on or mirror the approach that the EU has taken in its text and data mining exceptions to copyright. Opt-outs might be more granular, by focusing on allowing or forbidding particular 38 uses or other categories of users, given that rights holders have many different sets of preferences.\n\nAnother question is about who can opt-out particular works from the dataset. This could solely be an option for copyright holders, although authors might be allowed to exercise an opt-out for their books even if they don't hold the copyrights. This might create challenges if the author and rightsholder disagree about whether to opt a particular book out of the corpus. Another related issue is that individual books, such as anthologies, may comprise works created (and rights held) by many different entities. The images in a book may have come from third-party sources, for instance, or a compendium of poetry might involve many", - "page_start": 17, - "page_end": 17, - "source_file": "creative_common_ai.pdf" - }, - { - "text": "## Areas of Exploration\n\n## Support for Creators in the Time of Artificial Intelligence\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. MozFest , Wikimania ), and public events (e.g. symposium on Generative AI & Creativity )to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted community-driven principles on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n'The Pillars of Creation' by James Webb Space Telescope is licensed under CC BY 2.0.\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - } - ] - }, - { - "references": { - "source_file": "Publicdomain.pdf", - "query": "How to apply the PDM to my work ?", - "target_page": 1, - "target_passage": "Simply visit the PDM chooser (http://creativecommons.org/choose/mark) which will lead you through the proces. When completed, you will be provided with the HTML code that you can copy and paste into your website.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "When CC0 is applied to a work, copyright and related rights are relinquished worldwide, making the work free from those restrictions to the greatest extent possible.\n\n\n\nThe Public Domain Mark (PDM) is used to label works that are already free of known copyright restrictions. Unlike CC0, PDM doesn't change the copyright status of a work.\n\nPDM can be used by anyone, and is intended for use with works that are already free of known copyright restrictions throughout the world.\n\n## Public Domain Mark\n\nUse this tool if you have identified a work that is free of known copyright restrictions.", - "page_start": 0, - "page_end": 0, - "source_file": "Publicdomain.pdf" - }, - { - "text": "## 10.6 Submit inventory (PM)\n\nThis section describes on how the PM submits the inventory by selecting tables for the general submission after being approved by the NFP (See section 10.5).\n\n## 10.6.1 Submit select tables for preparing the general submission\n\n - 1. Log in as PM.\n - 2. Click on 'View Inventories Progress' under sub menu 'Submission Management'.\n - 3. The 'View Inventories Progress' screen appears.\n - 4. Select the appropriate inventory by clicking the box under column 'Working inventory' (figure 68, a).\n - *** Note: The selected inventory year to be submitted should be in status 'approved' (figure 68, b).\n - 5. Click on 'Work on Inventories' under Submission Management (figure 68, c).\n - This opens the Submit Inventory initial screen (figure 69).\n - 6. Click the inventory year to be submitted (figure 69, a).\n - 7. Press the 'Generate Official Submission' button (figure 69, c).\n\nFigure 69. Submit select tables for the preparation for the general submission\n\n\n\nFigure 68. View Inventories Progress screen - select inventory for the preparation for the general submission\n\n", - "page_start": 41, - "page_end": 41, - "source_file": "maiis-user-manual.pdf" - }, - { - "text": "http://www.adobe.com/content/dam/Adobe/en/devnet/acrobat/pdfs/pdf\\_reference\\_1-7 .pdf", - "page_start": 433, - "page_end": 433, - "source_file": "sg246915.pdf" - }, - { - "text": "## Installation\n\nContent Manager OnDemand provides the ARSPDF32.API file to enable PDF viewing from the client.\n\nIf you install the client after you install Adobe Acrobat, the installation program copies the application programming interface (API) file to the Acrobat plug-in directory.\n\nIf you install the client before you install Adobe Acrobat, you must copy the API file to the Acrobat plug-in directory manually.\n\nIf you upgrade to a new version of Acrobat, you must copy the API file to the new Acrobat plug-in directory.\n\nThe default location of the ARSPDF32.API file is:\n\nC:\\Program Files (x86)\\IBM\\OnDemand Clients\\V9.5\\PDF\n\nThe default Acrobat plug-in directory is C:\\Program Files (x86)\\Adobe\\Acrobat x.y \\Acrobat\\plug\\_ins . The variables x.y represent the version of Acrobat, for example, C:\\Program Files (x86)\\Adobe\\Acrobat 10.0\\Acrobat\\plug\\_ins .\n\n## Graphical indexer example\n\nBy using the graphical indexer, you can define triggers, fields, and indexes for PDF reports within the application component of Content Manager OnDemand in a similar way to defining them for line data. This section serves as an introduction to the PDF graphical indexer by stepping through an example of indexing a PDF document.\n\nThe example describes how to use the graphical indexer from the report wizard to create indexing information for an input file. The indexing information consists of a trigger that uniquely identifies the beginning of a document in the input file and the fields and indexes for each document. We elaborate on this example by clarifying several of the instructions, and throughout each step, we add important hints, tips, and explanations.\n\nThe process consists of these steps:", - "page_start": 192, - "page_end": 192, - "source_file": "sg246915.pdf" - }, - { - "text": "## 2.3 Implementing a Content Manager OnDemand instance on a multiplatform UNIX environment\n\nIn this section, we describe how to set up a single instance in a Content Manager OnDemand for a multiplatform UNIX environment. Always refer to the product documentation of your release for the specific steps to follow.\n\n## 2.3.1 Defining a single instance\n\nBy default, the initial instance on any library server is named archive . Creating a single instance can be summarized by the following steps:\n\n - 1. Creating a user\n - 2. Creating a DB2 instance\n - 3. Installing IBM Global Security Kit\n - 4. Setting up Secure Sockets Layer (SSL)\n - 5. Storing user IDs and passwords in a stash file\n - 6. Installing and configuring Tivoli Storage Manager\n - 7. Configuring the instance\n - 8. Creating a Content Manager OnDemand database\n - 9. Initializing the system log and system load facility\n\n## Creating a user\n\nNew installations (instances) of Content Manager OnDemand can be configured to run under a user other than the root user. If you plan to run an instance under a user other than root, complete the following steps:\n\n - 1. Create the user for the Content Manager OnDemand instance owner that is a member of the database owners group.\n - 2. Give the user administrator authority to the database.\n - 3. Set permissions for the cache storage file systems.\n - 4. Set permissions for the Content Manager OnDemand configuration and script files.\n - 5. Give the instance owner permission to write to the system console.\n - 6. Specify the instance owner in the ARS.INI file.\n\nIf you plan to run a distributed library and object server system, with one or more object servers on different workstations or nodes than the library server, you must also configure Content Manager OnDemand on the object servers.\n\nTo configure Content Manager OnDemand on the object servers, complete the following steps:", - "page_start": 42, - "page_end": 42, - "source_file": "sg246915.pdf" - }, - { - "text": "Figure 11-27 Creating a FlashCopy mapping and creating targets\n\n", - "page_start": 497, - "page_end": 497, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 3.18. Generd Pknform Effects\n\n", - "page_start": 252, - "page_end": 252, - "source_file": "00-80T-80.pdf" - }, - { - "text": "- 2. Click Next after you create all of the mappings that you need, as shown in Figure 11-24.\n\nFigure 11-24 Viewing source and target at creation time\n\n", - "page_start": 494, - "page_end": 494, - "source_file": "sg247938.pdf" - }, - { - "text": "## Exercise 2: Set the Preferences for New Entities and Rendering\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n1. Go to File>Preferences in Protégé. This will bring up a new window with lots and lots of different tabs. Click on the New entities tab. This will bring up a tab that looks similar to figure 4.1. The top part of that tab is a box labeled Entity IRI. It should be set with the parameters as shown in figure 4.1. I.e., Starts with Active ontology IRI. Followed by #. Ends with User supplied name. If the last parameter is set to Auto-generated name change it to User supplied name. That is the parameter most likely to be different but also check the other two as well.\n\n - 2. Now select the Renderer tab. It should look like figure 4.2. Most importantly, check that Entity rendering is set to Render by entity IRI short name (ID) rather than Render by annotation property. Don't worry if this doesn't completely make sense at this point. The issues here are a bit complex and subtle so we defer them until after you have an understanding of the basic concepts of what an OWL ontology is. We will have a discussion of these details below in chapter 7. For now you just need to make sure that the preferences are set appropriately to work with the rest of the tutorial.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nFigure 4.1: The New entities tab\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- c. Click the Define a Field icon on the toolbar.\n - d. In the Add a Field window, complete the following steps:\n - i. On the Field Information tab, verify the attributes of the Index field. For example, the text string that you selected in the report window is displayed under Reference String and the trigger identifies the trigger on which the field is based. Click Help for assistance with the options and values that you can specify.\n - ii. On the Database Field Attributes tab, verify the attributes of the database field. In the Database Field Name field, enter the name of the application group field into which you want Content Manager OnDemand to store the index value. In the Folder Field Name field, enter the name of the folder field to display in the client search window. Click Help for assistance with the other options and values that you can specify.", - "page_start": 195, - "page_end": 195, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "Which rivers flow through Lyon?", - "target_page": 1, - "target_passage": "It is located at the confluence of the rivers Rhône and Saône, ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\nLyon [c] (Franco-Provençal: Liyon ) is the second-largest city in France by urban area and the third largest by city limits. [14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km 2 (19 sq mi), [15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon. [18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## History\n\n## Lyon\n\nLiyon (Arpitan)\n\n## Prefecture and commune\n\nSkyline of Lyon in La Part-Dieu\n\n\n\n\n\nBasilica of NotreDame de Fourvière\n\n\n\nPlace des Terreaux with the Fontaine BartholdiParc de la Tête d'or\n\n\n\nConfluence District\n\n\n\nVieux Lyon\n\n\n\nPont Lafayette\n\n\n\nCoat of arms\n\n\n\nMotto(s): Avant, avant, Lion le melhor (old Franco-Provençal for \"Forward, forward, Lyon the best\") [a] Virtute duce, comite fortuna (\"With virtue as guide and fortune as companion\") [b]\n\nLocation of Lyon\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## Administration\n\n## Commune\n\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each of which is identified by a number and has its own council and town hall. Five arrondissements were originally created in 1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between 1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three times, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to Lyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th - and, to date, final arrondissement. Within each arrondissement, the recognisable quartiers or neighbourhoods are:\n\n- 1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 2nd arrondissement: Cordeliers, Bellecour, Ainay, Perrache, Confluence, SainteBlandine\n- 3rd arrondissement: Guillotière (north), Préfecture, Part-Dieu, Villette, Dauphiné/Sans Souci, Montchat, Grange Blanche (north), Monplaisir (north)\n- 4th arrondissement: Plateau de la Croix-Rousse, Serin\n- 5th arrondissement: Vieux Lyon (Saint-Paul, Saint-Jean, Saint-Georges), Saint-Just, Saint-Irénée, [44] Fourvière, Point du Jour, Ménival, Battières, Champvert (south)\n- 6th arrondissement: Brotteaux, Bellecombe, Parc de la Tête d'or, Cité Internationale\n- 7th arrondissement: Guillotière (south), Jean Macé, Gerland\n- 8th arrondissement: Monplaisir (south), Bachut, États-Unis, Grand Trou/Moulin à Vent, Grange Blanche (south), Laënnec, Mermoz, Monplaisir-la-Plaine\n- 9th arrondissement: Vaise, Duchère, Rochecardon, St-Rambert-l'Île-Barbe, Gorge de Loup, Observance, Champvert (north)\n\nMap of the City of Lyon divided into 9 arrondissements\n\n\n\nGeographically, Lyon's two main rivers, the Saône and the Rhône, divide the arrondissements into three groups:\n\n- To the west of the Saône, the fifth arrondissement covers the old city of Vieux Lyon, Fourvière hill and the plateau beyond. The 9th is immediately to the north, and stretches from Gorge de Loup, through Vaise to the neighbouring suburbs of Écully, Champagne-au-Mont-d'Or, Saint-Didier-au-Mont-d'Or, Saint-Cyr-au-Mont-d'Or and Collonges-au-Mont-d'Or.\n- Between the two rivers, on the Presqu'île, are the second, first, and fourth arrondissements. The second includes most of the city centre, Bellecour and Perrache railway station, and reaches as far as the confluence of the two rivers. The first is directly to the north of the second and covers part of the city centre (including the Hôtel de Ville) and the slopes of La Croix-Rousse. To the north of the Boulevard is the fourth arrondissement, which covers the Plateau of La Croix-Rousse, up to its boundary with the commune of Caluire-et-Cuire.\n- To the east of the Rhône, are the third, sixth, seventh, and eighth arrondissements.\n\n## Mayors\n\nThis is a list of mayors of the commune of Lyon since the end of the 19th century.\n\nThe lion, symbol of the city, on display at Maison des avocats\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 31. Braudel 1984 p. 327\n - 32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance\\_f01 150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance\\_f011 50.htm) on 19 January 2011. Retrieved 3 April 2011.\n - 33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli sh\\_1). Chrd.lyon.fr . 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english\\_1) on 24 January 2011. Retrieved 21 December 2017.\n - 34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal. com/article/273644). Digitaljournal.com .\n - 35. (in French) Georges Duby (ed), Histoire de la France : Dynasties et révolutions, de 1348 à 1852 (vol. 2), Larousse, 1999 p. 53 ISBN 2-03-505047-2\n - 36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n - 37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). unesco.org . UNESCO World Heritage Centre. Retrieved 31 July 2015.\n - 38. Gregory, Stanley. 'Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http s://www.jstor.org/stable/25636095).' Erdkunde , vol. 8, no. 4, 1954, pp. 246-252. JSTOR.\n - 39. \"Données climatiques de la station de Lyon: Relevés de 2016 - Lyon\" (https://web.archive.org/web/20161004 055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France. Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October 2016. Retrieved 2 October 2016.\n - 40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM\\_69029001.pdf) (PDF). Fiche Climatologique: Statistiques 1991-2020 et records (in French). Meteo France. Retrieved 14 July 2022.\n - 41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). meteo-lyon.net (in French). Météo Villes. Retrieved 7 September 2023.\n - 42. \"Lyon-Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE G\\_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm alsNOAALyonBron) 8 February 2019, at the Wayback Machine\n - 43. \"Normes et records 1961-1990: Lyon-Bron (69) - altitude 198m\" (https://web.archive.org/web/201603032035 26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February 2019.\n - 44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacreddestinations.com .", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## External links\n\n - Official website (http://www.lyon.fr)(in French)\n - Visit Lyon, the official website for tourism in France (https://en.visiterlyon.com/)\n - Lyon's English Language News and Information (https://thisislyon.fr/)\n - Rues de Lyon (https://www.ruesdelyon.net/) Streets, Places, Monuments (in French)\n - Old maps of Lyon (http://historic-cities.huji.ac.il/france/lyon/lyon.html) Archived (https://web.archive.org/we b/20210116220537/http://historic-cities.huji.ac.il/france/lyon/lyon.html) 16 January 2021 at the Wayback Machine, Historic cities site (http://historic-cities.huji.ac.il/historic\\_cities.html) Archived (https://web.archive. org/web/20220325051637/http://historic-cities.huji.ac.il/historic\\_cities.html) 25 March 2022 at the Wayback Machine, The National Library of Israel\n\nRetrieved from \"https://en.wikipedia.org/w/index.php?title=Lyon&oldid=1267625203\"", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\nCoordinates: 45°46'N 4°50'E\n\n\n\n| Country | France |\n|------------------------|----------------------------|\n| Region | Auvergne-Rhône-Alpes |\n| Metropolis | Lyon Metropolis |\n| Arrondissement | Lyon |\n| Subdivisions | 9 arrondissements |\n| Government | |\n| · Mayor (2020- | Grégory Doucet [2] |\n| 2026) | (EELV) |\n| Area 1 | 47.87 km 2 (18.48 sq mi) |\n| · Urban (2020 [3] ) | 1,141.4 km 2 (440.7 sq mi) |\n| · Metro (2020 [4] ) | 4,605.8 km 2 |\n| Population (2022) [5] | 520,774 |\n| · Rank | 3rd in France |\n| | 11,000/km 2 |\n| · Density | (28,000/sq mi) |\n| · Urban (Jan. [6] | 1,702,921 |\n| 2021 ) | |\n| · Urban density | 1,500/km 2 (3,900/sq mi) |\n| · Metro (Jan. | 2,308,818 |\n| 2021 [7] ) | |", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\nLyon Cathedral\n\n\n\nMaison du Crible (16th C.) in the Vieux Lyon\n\n\n\n\n\nÉglise Saint-Bonaventure\n\n\n\nChurch of Saint-Just, LyonManécanterie, Lyon\n\n\n\n## 17th and 18th centuries\n\n - City Hall on the Place des Terreaux, built by architects Jules Hardouin-Mansart and Robert de Cotte\n - Musée des beaux-arts de Lyon, fine arts museum housed in a former convent of the 17th century, including the Baroque chapelle Saint-Pierre\n - Hôtel-Dieu de Lyon (17th and 18th century), historical hospital with a baroque chapel\n - Temple du Change (17th and 18th century), former stock exchange of Lyon, Protestant temple since the 18th century\n - Place Bellecour, one of the largest town squares in Europe\n - Chapelle de la Trinité (1622), the first Baroque chapel built in Lyon, and part of the former École de la Trinité, now Collège-lycée Ampère\n - Église Saint-Polycarpe (1665-1670), Classical church\n - Église Saint-Just (16th to 18th century), Classical church\n - Saint-Bruno des Chartreux (17th and 18th century), church, masterpiece of Baroque architecture\n - Église Notre Dame Saint-Vincent (18th century), Neo-classical church\n\nBasilica of Saint-Martin d'AinaySaint-Nizier Church\n\n\n\nÉglise Saint-Paul\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Panorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\n\n\n\n## Climate\n\nLyon has a humid subtropical climate (Köppen: Cfa ), bordering an oceanic climate ( Köppen : Cfb , Trewartha: Do ). [38] The mean temperature in Lyon in the coldest month is 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). Precipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter months are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 August 2003 while the lowest recorded temperature was -24.6 °C (-12.3 °F) on 22 December 1938. [39]\n\nIce on the Saône, 2012\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacreddestinations.com .\n - 45. \"Discover the Musée Miniature et Cinéma in Lyon | Unique in Europe\" (https://www.museeminiatureetcin ema.fr/en/). Musée Miniature et Cinéma .\n - 46. OECD. \"City statistics : Economy\" (https://stats.oecd.org/Index.aspx?datasetcode=FUA\\_CITY). Retrieved 16 January 2023.\n - 47. \"Le laboratoire P4, ménagerie virale\" (https://wayback.archive-it.org/all/20090606013924/http://www.lemonde. fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-virale\\_1202866\\_3244.html). Le Monde . France. Archived from the original (http://www.lemonde.fr/planete/article/2009/06/05/le-laboratoire-p4-menagerie-viral e\\_1202866\\_3244.html) on 6 June 2009. Retrieved 8 July 2009.\n - 48. \"Official site of Lyon\" (https://web.archive.org/web/20100424192931/http://www.grandlyon.com/La-Part-Dieu.2 315.0.html). Grandlyon.com. Archived from the original (http://www.grandlyon.com/La-Part-Dieu.2315.0.html) on 24 April 2010. Retrieved 3 April 2011.\n - 49. Jean-Baptiste Onofrio : Essai d'un glossaire des patois de Lyonnais, Forez et Beaujolais , Lyon 1864\n - 50. \"Pierre Alain Muet Archives 2008\" (https://web.archive.org/web/20100124093221/http://pa-muet.com/archives. htm). Pa-muet.com. 17 June 2008. Archived from the original (http://pa-muet.com/archives.htm) on 24 January 2010. Retrieved 25 January 2010.\n - 51. \"Bottazzi fait le mur\" (https://web.archive.org/web/20071125163711/http://www.brefonline.com/numeroERA\\_af fichearticle.asp?idA=3262). Brefonline.Com. Archived from the original (http://www.brefonline.com/numeroER A\\_affichearticle.asp?idA=3262) on 25 November 2007. Retrieved 5 February 2009.\n - 52. \"The African Museum of Lyon Website\" (https://web.archive.org/web/20090219232752/http://musee-africain-ly on.org/). Musee-africain-lyon.org. Archived from the original (http://www.musee-africain-lyon.org/) on 19 February 2009. Retrieved 5 February 2009.\n - 53. UNESCO World Heritage Site (http://www.lyon.fr/vdl/sections/en/tourisme/copy\\_of\\_patrimoine/a\\_patrimoinem ondial) Archived (https://web.archive.org/web/20110718090826/http://www.lyon.fr/vdl/sections/en/Tourisme/co py\\_of\\_patrimoine/a\\_patrimoinemondial) 18 July 2011 at the Wayback Machine. City of Lyon official website. Retrieved 26 November 2009.", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- Frankfurt, Germany, since 1960\n - Gothenburg, Sweden\n - Guangzhou, China, since 1988\n - Haute Matsiatra, Madagascar\n - Ho Chi Minh City, Vietnam, since 1997\n - Jericho, Palestine\n - Leipzig, Germany, since 1981\n - Łódź, Poland, since 1991\n - Melbourne, Australia\n - Milan, Italy, since 1966\n - Montreal, Canada, since 1979\n - Oran, Algeria\n\n## Notable people\n\n## See also\n\n\n\n\n\n\n\n\n\nGeography portal\n\nEurope portal\n\nEuropean Union portal\n\nFrance portal\n\n - List of films set in Lyon\n - List of streets and squares in Lyon\n - Mères of France\n - Montchat\n - Occupation of Saint-Nizier church by Lyon prostitutes\n\n## Notes\n\n - a. A war cry from 1269, spelt in modern Franco-Provençal as Avant, Avant, Liyon lo mèlyor .\n - b. Quote from a letter of Cicero to Lucius Munatius Plancus, founder of the city. [1]\n - c. Pronunciation: UK: / ˈ li ːɒ̃ /, [8][9] US: /li ˈ o ʊ n/ lee-OHN ; [10][11] French: [lj ɔ̃ ] ⓘ ; formerly spelled in English as Lyons (/ ˈ la ɪə nz/ LYə nz ). [11][12] Arpitan: Liyon [ ʎ j ɔ̃ ]; Occitan: Lion , hist. Lionés . [13]\n - d. Constant PPP US dollars, base year 2015.\n\n## References", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "How big was Lyon's population in 2022? ", - "target_page": 2, - "target_passage": "Population (2022) 520,774", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\nLyon [c] (Franco-Provençal: Liyon ) is the second-largest city in France by urban area and the third largest by city limits. [14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km 2 (19 sq mi), [15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon. [18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## History\n\n## Lyon\n\nLiyon (Arpitan)\n\n## Prefecture and commune\n\nSkyline of Lyon in La Part-Dieu\n\n\n\n\n\nBasilica of NotreDame de Fourvière\n\n\n\nPlace des Terreaux with the Fontaine BartholdiParc de la Tête d'or\n\n\n\nConfluence District\n\n\n\nVieux Lyon\n\n\n\nPont Lafayette\n\n\n\nCoat of arms\n\n\n\nMotto(s): Avant, avant, Lion le melhor (old Franco-Provençal for \"Forward, forward, Lyon the best\") [a] Virtute duce, comite fortuna (\"With virtue as guide and fortune as companion\") [b]\n\nLocation of Lyon\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) | Population of Lyon (metropolis) (59 communes, within 2020 borders) |\n|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|----------------------------------------------------------------------|\n| Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. |\n| 1861 | 418,515 | - | 1906 | 627,073 | +0.60% | 1968 | 1,077,794 | +2.17% |\n| 1866 | 427,522 | +0.43% | 1911 | 629,931 | +0.09% | 1975 | 1,153,402 | +0.98% |\n| 1872 | 426,552 | -0.04% | 1921 | 659,007 | +0.45% | 1982 | 1,138,718 | -0.18% |", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia4.pdf" - }, - { - "text": "All figures come from population censuses. Figures from 1911 to 1936 (incl.) are computed using the redressed figures for the commune of Lyon calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is computed using the figure for the commune of Lyon published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000.\n\nSource: EHESS [70] and INSEE [71]\n\n## Foreign-born\n\n## Education\n\n## Universities and tertiary education\n\n - École Centrale de Lyon;\n - École Normale Supérieure de Lyon\n - EM Lyon (École de Management de Lyon);\n - ECE Lyon (École de Commerce Européenne de Lyon);\n - Institut d'études politiques de Lyon (Sciences Po Lyon);\n - CPE Lyon;\n - CNSMD (Conservatoire national supérieur de musique et de danse de Lyon)\n - ECAM Lyon (École Catholique d'Arts et Métiers de Lyon);\n - EPITECH;\n - EPITA;\n - ENTPE (École Nationale des Travaux Publiques de l'État);\n - École nationale vétérinaire de Lyon (ENVL);\n - ESME-Sudria;\n - École des Beaux-Arts;\n - E-Artsup;\n - INSA Lyon (Institut National des Sciences Appliquées de Lyon);\n - Polytech Lyon;\n - Institut supérieur européen de gestion group;\n - ISARA (Institut Supérieur d'Agriculture Rhône Alpes);\n - Institution des Chartreux;\n - Institut polytechnique des sciences avancées;\n - Université Claude Bernard (Lyon 1);\n - Université Lumière (Lyon 2);\n - Université Jean Moulin (Lyon 3);\n - IAE (Institut d'Administration des Entreprises de Lyon);\n - Institut Sup'Biotech de Paris;\n - Catholic University of Lyon;\n - ESDES Business School;\n - IDRAC (International School of Management);\n - Wesford Graduate Business School;\n - IFAG (Business Management School);\n - Institut supérieur européen de formation par l'action;\n - Le Lycée du Parc;\n - La Martinière Lyon;\n - Web@cademie;\n - CEESO (Centre Européen d'Enseignement Supérieur de l'Ostéopathie);\n\nForeign-born population in Lyon by country of birth [72]\n\n\n\n\n\n\n\n\n\n\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\nCoordinates: 45°46'N 4°50'E\n\n\n\n| Country | France |\n|------------------------|----------------------------|\n| Region | Auvergne-Rhône-Alpes |\n| Metropolis | Lyon Metropolis |\n| Arrondissement | Lyon |\n| Subdivisions | 9 arrondissements |\n| Government | |\n| · Mayor (2020- | Grégory Doucet [2] |\n| 2026) | (EELV) |\n| Area 1 | 47.87 km 2 (18.48 sq mi) |\n| · Urban (2020 [3] ) | 1,141.4 km 2 (440.7 sq mi) |\n| · Metro (2020 [4] ) | 4,605.8 km 2 |\n| Population (2022) [5] | 520,774 |\n| · Rank | 3rd in France |\n| | 11,000/km 2 |\n| · Density | (28,000/sq mi) |\n| · Urban (Jan. [6] | 1,702,921 |\n| 2021 ) | |\n| · Urban density | 1,500/km 2 (3,900/sq mi) |\n| · Metro (Jan. | 2,308,818 |\n| 2021 [7] ) | |", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Foreign-born population in Lyon by country of birth [72]\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n| Country of birth | Country of birth |\n|--------------------|--------------------|\n| Algeria | 14,779 |\n| Morocco | 5,245 |\n| Tunisia | 4,879 |\n| Italy | 3,351 |\n| Portugal | 3,068 |\n| Spain | 2,064 |\n| DR Congo | 1,520 |\n| China | 1,429 |\n| Cameroon | 1,364 |\n| Senegal | 1,198 |\n\nENS Lyon: René Descartes campus\n\n\n\nLyon 3: Manufacture des Tabacs campus\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia4.pdf" - }, - { - "text": "Lyon is also home to the Lyon Hockey Club, an ice hockey team that competes in France's national ice hockey league. The Patinoire Charlemagne is the seat of Club des Sports de Glace de Lyon, the club of Olympic ice dancing champions Marina Anissina and Gwendal Peizerat, and world champions Isabelle Delobel and Olivier Shoenfelder. [65] Lyon-Villeurbanne also has a basketball team, ASVEL, that plays at the Astroballe arena.\n\n## Street art\n\nSince 2000, Birdy Kids, a group of graffiti artists from the city, has decorated several random buildings and walls along the Lyon ring road. In 2012, the artist collective was chosen to represent the city as its cultural ambassadors. [66]\n\n## Demographics\n\nThe population of the city (commune) of Lyon proper was 522,250 at the January 2021 census. [15] As of 2011, 14% of its population was born outside Metropolitan France. [67]\n\n## Population of Lyon (commune) (within 2020 borders)\n\n| Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. | Year | Pop. | ±% p.a. |\n|--------|---------|-----------|--------|---------|-----------|--------|---------|-----------|\n| 1801 | 101,760 | - | 1876 | 344,513 | +1.33% | 1946 | 464,104 | +0.02% |\n| 1806 | 114,643 | +2.41% | 1881 | 378,581 | +1.84% | 1954 | 475,343 | +0.29% |\n| 1821 | 149,611 | +1.79% | 1886 | 404,172 | +1.45% | 1962 | 535,746 | +1.54% |\n| 1831 | 182,668 | +2.02% | 1891 | 440,315 | +1.78% | 1968 | 527,800 | -0.25% |\n| 1836 | 198,683 | +1.60% | 1896 | 468,311 | +1.25% | 1975 | 456,716 | -2.06% |\n| 1841 | 206,670 | +0.79% | 1901 | 461,687 | -0.29% | 1982 | 413,095 | -1.42% |\n| 1846 | 238,466 | +2.86% | 1906 | 474,652 | +0.56% | 1990 | 415,487 | +0.07% |\n| 1851 | 259,220 | +1.68% | 1911 | 462,248 | -0.53% | 1999 | 445,452 | +0.78% |\n| 1856 | 293,743 | +2.66% | 1921 | 462,446 | +0.00% | 2010 | 484,344 | +0.78% |\n| 1861 | 320,326 | +1.72% | 1926 | 463,125 | +0.03% | 2015 | 513,275 | +1.17% |\n| 1866 | 325,219 | +0.30% | 1931 | 463,647 | +0.02% | 2021 | 522,250 | +0.29% |\n| 1872 | 324,590 | -0.03% | 1936 | 463,061 | -0.03% | | | |\n\nAll figures come from population censuses. Figures from 1911 to 1936 (incl.) are the redressed figures calculated by INSEE to correct the overestimated population of Lyon published by the municipal authorities at the time (10,000s of false residents had been added by the municipal authorities to artificially inflate the population figures and remain the 2nd largest city of France ahead of Marseille). [68] The 1906 figure is the one published by the municipal authorities, probably already inflated, but not corrected by INSEE because the overestimate was smaller than 10,000. Source: EHESS [69] and INSEE [15]\n\nThe city of Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16]", - "page_start": 16, - "page_end": 16, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc ales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12). Retrieved 12 July 2024.\n - 7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta tistiques-locales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1 3). Retrieved 12 July 2024.\n - 8. Wells, John C. (2008). Longman Pronunciation Dictionary (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n - 9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). Lexico UK English Dictionary . Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons) on 24 January 2020.\n - 10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). Cambridge English Pronouncing Dictionary (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n - 11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). Merriam-Webster.com Dictionary . MerriamWebster. Retrieved 8 August 2018.\n - 12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). Collins English Dictionary . HarperCollins. Retrieved 8 August 2018.\n - 13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com\\_dicodoc& view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5 B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5 B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). locongres.org . Retrieved 1 April 2022.\n - 14. https://about-france.com/tourism/main-towns-cities.htm\n - 15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=691 23&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n - 16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=202 1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n - 17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081 31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?& L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n - 18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved 8 April 2022.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Mayor | Term start | Term end | Party |\n|-------------------------------|-------------------|-------------------|----------------------------------|\n| Antoine Gailleton | 1881 | 1900 | |\n| Victor Augagneur | 1900 | 30 October 1905 | PRS |\n| Édouard Herriot | 30 October 1905 | 20 September 1940 | Radical |\n| Georges Cohendy | 20 September 1940 | 1941 | Nominated and dismissed by Vichy |\n| Georges Villiers | 1941 | 1942 | Nominated and dismissed by Vichy |\n| Pierre-Louis-André Bertrand | 1942 | 1944 | Nominated by Vichy |\n| Justin Godart | 1944 | 18 May 1945 | Radical |\n| Édouard Herriot | 18 May 1945 | 26 March 1957 | Radical |\n| Pierre Montel, ad interim | 26 March 1957 | 14 April 1957 | Radical |\n| Louis Pradel | 14 April 1957 | 27 November 1976 | DVD |\n| Armand Tapernoux, ad interim | 27 November 1976 | 5 December 1976 | DVD |\n| Francisque Collomb | 5 December 1976 | 24 March 1989 | DVD |\n| Michel Noir | 24 March 1989 | 25 June 1995 | RPR |\n| Raymond Barre | 25 June 1995 | 25 March 2001 | DVD |\n| Gérard Collomb | 25 March 2001 | 17 July 2017 | PS |\n| Georges Képénékian | 17 July 2017 | 5 November 2018 | LREM |\n| Gérard Collomb | 5 November 2018 | 4 July 2020 | LREM |\n| Grégory Doucet | 4 July 2020 | Incumbent | EELV |\n\n## Metropolis\n\nSince 2015, the commune of Lyon (48 km 2 (19 sq mi) in land area) and 58 suburban communes have formed the Metropolis of Lyon (534 km 2 (206 sq mi) in land area), a directly elected metropolitan authority now in charge of most urban issues. The Metropolis of Lyon is the only metropolitan authority in France which is a territorial collectivity, on par with French communes and departments. Its metropolitan council was for the first time directly elected by universal suffrage in 2020 within 14 electoral wards, the only directly elected metropolitan council in France.\n\nThe 14 electoral wards are the following (see map for location):\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nLônes et coteaux\n\nLyon-Centre (Lyon-Centre)\n\nLyon-Est (Lyon-East)\n\nLyon-Nord (Lyon-North)\n\nLyon-Ouest\n\nLyon-Sud\n\nLyon-Sud-Est\n\nOuest\n\nPlateau Nord-Caluire\n\nPorte des Alpes\n\nPortes du Sud\n\nRhône Amont\n\nVal de Saône\n\nVilleurbanne\n\nThe six wards with names starting with \"Lyon\" are all located within the commune of Lyon. The Villeurbanne ward is coterminous with the namesake commune. All other seven wards each group various suburban communes.\n\nMap of the Metropolis of Lyon and its 59 communes (the commune of Lyon is in red)\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia4.pdf" - }, - { - "text": "The division of the Metropolis of Lyon in large electoral wards often grouping various communes and dividing the commune of Lyon into six wards was criticized by the suburban mayors, as it ended the rule of 'one commune, one metropolitan councilor'. The goal of this electoral division of the metropolis was to focus metropolitan elections more on metropolitan issues than parochial communal issues, and ensure the 'one person, one vote' rule be respected, by creating electoral wards of more homogeneous population sizes. Opponents said it diluted the voice of the small suburban communes, which are now part of large electoral wards and do not each possess a representative in the metropolitan council anymore.\n\n## Presidents of the Metropolitan Council\n\nThe two first presidents of the Metropolis of Lyon's metropolitan council were chosen by indirectly elected metropolitan councilors. The current president since July 2020 was elected by new metropolitan councilors following their election by universal suffrage in March (1st round) and June (2nd round) 2020, the first direct election of a metropolitan council in France.\n\n| President of the Metropolitan Council | Term start | Term end | Party |\n|-----------------------------------------|----------------|--------------|---------|\n| Gérard Collomb | 1 January 2015 | 10 July 2017 | PS |\n| David Kimelfeld | 10 July 2017 | 2 July 2020 | LREM |\n| Bruno Bernard | 2 July 2020 | Incumbent | EELV |\n\n## Main sights\n\n## Antiquity\n\n - The Roman ruins on the hillside near the Fourvière Basilica, with the Ancient Theatre of Fourvière, the Odeon of Lyon and the accompanying Gallo-Roman museum\n - Amphitheatre of the Three Gauls - ruins of a Roman amphitheatre.\n\n\n\n\n\nAncient Theatre of Fourvière\n\n\n\nOdeon of Lyon\n\nAmphitheatre of the Three Gauls\n\n## Middle Ages and Renaissance\n\n - Cathedral of St. John, a medieval church with architectural elements of the 13th, 14th and 15th centuries, also the principal religious structure in the city and the seat of the Archbishop of Lyon\n - Basilica of St-Martin-d'Ainay, one of the rare surviving Romanesque basilica-style churches in Lyon\n - Église Saint-Paul, Romanesque (12th and 13th century) and Gothic (15th-16th century) church\n - Église Saint-Bonaventure, 14th- and 15th-century Gothic church\n - Église Saint-Nizier, Gothic church from the 15th century, having a doorway carved in the 16th century by Philibert Delorme\n - Vieux Lyon (English: Old Lyon) area, Medieval and Renaissance quarter of the town, with shops, dining and cobbled streets\n - The many Renaissance hôtels particuliers of the Old Lyon quarter, such as the Hôtel de Bullioud , were also built by Philibert Delorme\n\nMap showing the 14 electoral wards of the Metropolis of Lyon\n\n", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991-2020 normals, extremes 1920-present\n\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n|---------------------------------------|--------------|--------------|--------------|-------------|-------------|--------------|--------------|--------------|-------------|-------------|-------------|---------------|---------------|\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | -23.0 (-9.4) | -22.5 (-8.5) | -10.5 (13.1) | -4.4 (24.1) | -3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | -4.5 (23.9) | -9.4 (15.1) | -24.6 (-12.3) | -24.6 (-12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n\nSource 1: Meteo France [40]\n\nSource 2: Meteo Lyon [41]", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia4.pdf", - "query": "What is the climate in Lyon ?", - "target_page": 5, - "target_passage": " Lyon has a humid subtropical climate ( Köppen: Cfa), bordering an oceanic climate (Köppen: Cfb, Trewartha: Do).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Panorama of the inner city of Lyon, taken from the basilica of Notre-Dame de Fourvière's roof\n\n\n\n## Climate\n\nLyon has a humid subtropical climate (Köppen: Cfa ), bordering an oceanic climate ( Köppen : Cfb , Trewartha: Do ). [38] The mean temperature in Lyon in the coldest month is 4.1 °C (39.4 °F) in January and in the warmest month in July is 22.6 °C (72.7 °F). Precipitation is adequate year-round, at an average of 820 mm (32.3 in), the winter months are the driest. The highest recorded temperature was 40.5 °C (104.9 °F) on 13 August 2003 while the lowest recorded temperature was -24.6 °C (-12.3 °F) on 22 December 1938. [39]\n\nIce on the Saône, 2012\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia4.pdf" - }, - { - "text": "## Climate data for Lyon (LYN), elevation: 197 m (646 ft), 1991-2020 normals, extremes 1920-present\n\n| Month | Jan | Feb | Mar | Apr | May | Jun | Jul | Aug | Sep | Oct | Nov | Dec | Year |\n|---------------------------------------|--------------|--------------|--------------|-------------|-------------|--------------|--------------|--------------|-------------|-------------|-------------|---------------|---------------|\n| Record high °C (°F) | 19.1 (66.4) | 21.9 (71.4) | 26.0 (78.8) | 30.1 (86.2) | 34.2 (93.6) | 38.4 (101.1) | 40.4 (104.7) | 41.4 (106.5) | 35.8 (96.4) | 28.4 (83.1) | 23.0 (73.4) | 20.2 (68.4) | 41.4 (106.5) |\n| Mean daily maximum °C (°F) | 7.1 (44.8) | 9.0 (48.2) | 13.8 (56.8) | 17.4 (63.3) | 21.5 (70.7) | 25.6 (78.1) | 28.2 (82.8) | 28.0 (82.4) | 23.1 (73.6) | 17.7 (63.9) | 11.4 (52.5) | 7.7 (45.9) | 17.5 (63.5) |\n| Daily mean °C (°F) | 4.1 (39.4) | 5.2 (41.4) | 9.0 (48.2) | 12.3 (54.1) | 16.3 (61.3) | 20.3 (68.5) | 22.6 (72.7) | 22.3 (72.1) | 17.9 (64.2) | 13.7 (56.7) | 8.1 (46.6) | 4.8 (40.6) | 13.0 (55.4) |\n| Mean daily minimum °C (°F) | 1.1 (34.0) | 1.4 (34.5) | 4.2 (39.6) | 7.2 (45.0) | 11.2 (52.2) | 15.0 (59.0) | 17.0 (62.6) | 16.6 (61.9) | 12.8 (55.0) | 9.6 (49.3) | 4.9 (40.8) | 2.0 (35.6) | 8.6 (47.5) |\n| Record low °C (°F) | -23.0 (-9.4) | -22.5 (-8.5) | -10.5 (13.1) | -4.4 (24.1) | -3.8 (25.2) | 2.3 (36.1) | 6.1 (43.0) | 4.6 (40.3) | 0.2 (32.4) | -4.5 (23.9) | -9.4 (15.1) | -24.6 (-12.3) | -24.6 (-12.3) |\n| Average precipitation mm (inches) | 49.8 (1.96) | 41.6 (1.64) | 49.4 (1.94) | 68.9 (2.71) | 80.9 (3.19) | 74.1 (2.92) | 67.4 (2.65) | 65.5 (2.58) | 82.5 (3.25) | 99.8 (3.93) | 87.2 (3.43) | 53.7 (2.11) | 820.8 (32.31) |\n| Average precipitation days (≥ 1.0 mm) | 8.1 | 7.9 | 8.4 | 9.0 | 10.3 | 8.5 | 7.5 | 7.2 | 7.3 | 9.9 | 9.4 | 9.2 | 102.8 |\n| Mean monthly sunshine hours | 71.1 | 102.4 | 173.7 | 197.7 | 223.8 | 256.5 | 288.1 | 263.1 | 204.1 | 131.4 | 78.9 | 58.7 | 2,049.5 |\n\nSource 1: Meteo France [40]\n\nSource 2: Meteo Lyon [41]", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\n\n\nLyon [c] (Franco-Provençal: Liyon ) is the second-largest city in France by urban area and the third largest by city limits. [14] It is located at the confluence of the rivers Rhône and Saône, to the northwest of the French Alps, 391 km (243 mi) southeast of Paris, 278 km (173 mi) north of Marseille, 113 km (70 mi) southwest of Geneva, Switzerland, 58 km (36 mi) northeast of Saint-Étienne.\n\nThe City of Lyon had a population of 522,250 at the Jan. 2021 census within its small municipal territory of 48 km 2 (19 sq mi), [15] but together with its suburbs and exurbs the Lyon metropolitan area had a population of 2,308,818 that same year, [7] the second most populated in France. Lyon and 58 suburban municipalities have formed since 2015 the Metropolis of Lyon, a directly elected metropolitan authority now in charge of most urban issues, with a population of 1,424,069 in 2021. [16] Lyon is the prefecture of the Auvergne-Rhône-Alpes region and seat of the Departmental Council of Rhône (whose jurisdiction, however, no longer extends over the Metropolis of Lyon since 2015).\n\nThe capital of the Gauls during the Roman Empire, Lyon is the seat of an archbishopric whose holder bears the title of Primate of the Gauls. Lyon became a major economic hub during the Renaissance. The city is recognised for its cuisine and gastronomy, as well as historical and architectural landmarks; as such, the districts of Old Lyon, the Fourvière hill, the Presqu'île and the slopes of the Croix-Rousse are inscribed on the UNESCO World Heritage List. Lyon was historically an important area for the production and weaving of silk. Lyon played a significant role in the history of cinema since Auguste and Louis Lumière invented the cinematograph there. The city is also known for its light festival, the Fête des lumières, which begins every 8 December and lasts for four days, earning Lyon the title of \"Capital of Lights\".\n\nEconomically, Lyon is a major centre for banking, chemical, pharmaceutical and biotech industries. The city contains a significant software industry with a particular focus on video games; in recent years it has fostered a growing local start-up sector. [17] The home of renowned universities and higher education schools, Lyon is the second-largest student city in France, with a university population of nearly 200,000 students within the Metropolis of Lyon. [18] Lyon hosts the international headquarters of Interpol, the International Agency for Research on Cancer, as well as Euronews. According to the Globalization and World Rankings Research Institute, Lyon is considered a Beta city, as of 2018. [19] It ranked second in France and 40th globally in Mercer's 2019 liveability rankings. [20]\n\n## History\n\n## Lyon\n\nLiyon (Arpitan)\n\n## Prefecture and commune\n\nSkyline of Lyon in La Part-Dieu\n\n\n\n\n\nBasilica of NotreDame de Fourvière\n\n\n\nPlace des Terreaux with the Fontaine BartholdiParc de la Tête d'or\n\n\n\nConfluence District\n\n\n\nVieux Lyon\n\n\n\nPont Lafayette\n\n\n\nCoat of arms\n\n\n\nMotto(s): Avant, avant, Lion le melhor (old Franco-Provençal for \"Forward, forward, Lyon the best\") [a] Virtute duce, comite fortuna (\"With virtue as guide and fortune as companion\") [b]\n\nLocation of Lyon\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia4.pdf" - }, - { - "text": "- 31. Braudel 1984 p. 327\n - 32. Pierre Edmond DESVIGNES. \"Quartier renaissance Lyon : Vieux Lyon, quartier ancien et secteur sauvegarde Lyon\" (https://web.archive.org/web/20110119152753/http://www.vieux-lyon.org/lyon-epoque-renaissance\\_f01 150.htm). Vieux-lyon.org. Archived from the original (http://www.vieux-lyon.org/lyon-epoque-renaissance\\_f011 50.htm) on 19 January 2011. Retrieved 3 April 2011.\n - 33. \"CHRD Lyon\" (https://web.archive.org/web/20110124140355/http://www.chrd.lyon.fr/chrd/sections/fr/pied/engli sh\\_1). Chrd.lyon.fr . 2017. Archived from the original (http://www.chrd.lyon.fr/chrd/sections/fr/pied/english\\_1) on 24 January 2011. Retrieved 21 December 2017.\n - 34. Cosgrove, Michael (4 June 2009). \"Lyon: The Resistance and Deportation Museum\" (http://www.digitaljournal. com/article/273644). Digitaljournal.com .\n - 35. (in French) Georges Duby (ed), Histoire de la France : Dynasties et révolutions, de 1348 à 1852 (vol. 2), Larousse, 1999 p. 53 ISBN 2-03-505047-2\n - 36. \"Lyon, France: Local Transport\" (http://www.lonelyplanet.com/france/burgundy-and-the-rhone/lyon/transport/g etting-around/local-transport). Lonely Planet. Retrieved 2 February 2017.\n - 37. \"Historic Site of Lyon\" (https://whc.unesco.org/en/list/872/). unesco.org . UNESCO World Heritage Centre. Retrieved 31 July 2015.\n - 38. Gregory, Stanley. 'Climatic Classification and Climatic Change (Klimaklassifikation Und Klimaänderung) (http s://www.jstor.org/stable/25636095).' Erdkunde , vol. 8, no. 4, 1954, pp. 246-252. JSTOR.\n - 39. \"Données climatiques de la station de Lyon: Relevés de 2016 - Lyon\" (https://web.archive.org/web/20161004 055201/http://www.meteofrance.com/climat/france/lyon/69029001/releves) (in French). Meteo France. Archived from the original (http://www.meteofrance.com/climat/france/lyon/69029001/releves) on 4 October 2016. Retrieved 2 October 2016.\n - 40. \"Lyon-Bron (69)\" (https://donneespubliques.meteofrance.fr/FichesClim/FICHECLIM\\_69029001.pdf) (PDF). Fiche Climatologique: Statistiques 1991-2020 et records (in French). Meteo France. Retrieved 14 July 2022.\n - 41. \"Température et records en Août pour Lyon\" (https://www.meteo-lyon.net/records/mois/aout). meteo-lyon.net (in French). Météo Villes. Retrieved 7 September 2023.\n - 42. \"Lyon-Bron (07480) - WMO Weather Station\" (ftp://ftp.atdd.noaa.gov/pub/GCOS/WMO-Normals/TABLES/RE G\\_VI/FR/07480.TXT). NOAA. Retrieved 8 February 2019. Archived (https://archive.org/details/19611990Norm alsNOAALyonBron) 8 February 2019, at the Wayback Machine\n - 43. \"Normes et records 1961-1990: Lyon-Bron (69) - altitude 198m\" (https://web.archive.org/web/201603032035 26/http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) (in French). Infoclimat. Archived from the original (http://www.infoclimat.fr/climatologie-07480-lyon-bron.html) on 3 March 2016. Retrieved 8 February 2019.\n - 44. \"St-Irénée - France\" (http://www.sacred-destinations.com/france/lyon-eglise-st-irenee). sacreddestinations.com .", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\nCoordinates: 45°46'N 4°50'E\n\n\n\n| Country | France |\n|------------------------|----------------------------|\n| Region | Auvergne-Rhône-Alpes |\n| Metropolis | Lyon Metropolis |\n| Arrondissement | Lyon |\n| Subdivisions | 9 arrondissements |\n| Government | |\n| · Mayor (2020- | Grégory Doucet [2] |\n| 2026) | (EELV) |\n| Area 1 | 47.87 km 2 (18.48 sq mi) |\n| · Urban (2020 [3] ) | 1,141.4 km 2 (440.7 sq mi) |\n| · Metro (2020 [4] ) | 4,605.8 km 2 |\n| Population (2022) [5] | 520,774 |\n| · Rank | 3rd in France |\n| | 11,000/km 2 |\n| · Density | (28,000/sq mi) |\n| · Urban (Jan. [6] | 1,702,921 |\n| 2021 ) | |\n| · Urban density | 1,500/km 2 (3,900/sq mi) |\n| · Metro (Jan. | 2,308,818 |\n| 2021 [7] ) | |", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia4.pdf" - }, - { - "text": "\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0Figure 14. Di/fference in annual maximum daily maximum temperature between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\nensemble mean\n\n\n\nIPSL-CM5A-LR\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\nFigure 15. Di/fference between 2 ° Cand1.5 ° C global warming for percentage of days with maximum temperature above 90th percentile of baseline, for individual ensemble members and ensemble mean.\n\n\n\npossible outcomes projected here, the differences between 2°C and 1.5°C are not always clear. The differences between 2°C and 1.5°C are not always in the same direction as the changes at 2°C; in the Amazon, for example, the difference in flow between 2°C and 1.5°C varies from positive to negative between ensemble members.\n\n\n\n\n\n", - "page_start": 19, - "page_end": 19, - "source_file": "pubmed11.pdf" - }, - { - "text": "## Administration\n\n## Commune\n\nLike Paris and Marseille, the commune (municipality) of Lyon is divided into a number of municipal arrondissements, each of which is identified by a number and has its own council and town hall. Five arrondissements were originally created in 1852, when three neighbouring communes (La Croix-Rousse, La Guillotière, and Vaise) were annexed by Lyon. Between 1867 and 1959, the third arrondissement (which originally covered the whole of the Left Bank of the Rhône) was split three times, creating a new arrondissement in each case. Then, in 1963, the commune of Saint-Rambert-l'Île-Barbe was annexed to Lyon's fifth arrondissement. A year later, in 1964, the fifth was split to create Lyon's 9th - and, to date, final arrondissement. Within each arrondissement, the recognisable quartiers or neighbourhoods are:\n\n- 1st arrondissement: Slopes of La Croix-Rousse, Terreaux, Martinière/St-Vincent", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia4.pdf" - }, - { - "text": "| Emissions scenarios | N/A | RCP8.5 H ++ | lower scenario (for Met Office Hadley Centre model only) | Temperature, precipitation, solar radiation | RCP8.5 | RCP8.5 |\n| Variables available ++ | Temperature, precipitation (including snow), sunshine, wind | Sea level rise, storm surge | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | humidity, wind speed, | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation | Temperature, precipitation, humidity, wind speed, wind direction, solar radiation |", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "- 6. INSEE. \"Statistiques locales - Lyon : Unité urbaine 2020 - Population municipale 2021\" (https://statistiques-loc ales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=00760&t=A01&view=map12). Retrieved 12 July 2024.\n - 7. INSEE. \"Statistiques locales - Lyon : Aire d'attraction des villes 2020 - Population municipale 2021\" (https://sta tistiques-locales.insee.fr/#c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=002&t=A01&view=map1 3). Retrieved 12 July 2024.\n - 8. Wells, John C. (2008). Longman Pronunciation Dictionary (3rd ed.). Longman. ISBN 978-1-4058-8118-0.\n - 9. \"Lyons\" (https://web.archive.org/web/20200124144048/https://www.lexico.com/definition/lyons). Lexico UK English Dictionary . Oxford University Press. Archived from the original (http://www.lexico.com/definition/Lyons) on 24 January 2020.\n - 10. Jones, Daniel (2011). Roach, Peter; Setter, Jane; Esling, John (eds.). Cambridge English Pronouncing Dictionary (18th ed.). Cambridge University Press. ISBN 978-0-521-15255-6.\n - 11. \"Lyon\" (https://www.merriam-webster.com/dictionary/Lyon). Merriam-Webster.com Dictionary . MerriamWebster. Retrieved 8 August 2018.\n - 12. \"Lyons\" (https://www.collinsdictionary.com/amp/english/lyons). Collins English Dictionary . HarperCollins. Retrieved 8 August 2018.\n - 13. \"dicod'Òc - Recèrca\" (https://locongres.org/oc/aplicacions/dicodoc-oc/dicodoc-recerca?option=com\\_dicodoc& view=search&Itemid=168&type=fr-oc&dic%5B%5D=BASIC&dic%5B%5D=RBVD&dic%5B%5D=ALPC&dic%5 B%5D=ATAU&dic%5B%5D=PROV&dic%5B%5D=PNST&dic%5B%5D=OMLH&dic%5B%5D=LAUS&dic%5 B%5D=LAGA&dic%5B%5D=LEMO&q=Lyon&q2=&submit=Cercar). locongres.org . Retrieved 1 April 2022.\n - 14. https://about-france.com/tourism/main-towns-cities.htm\n - 15. INSEE. \"Statistiques locales - Lyon : Commune - Population municipale 2021\" (https://statistiques-locales.inse e.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=2021&selcodgeo=691 23&t=A01&view=map1) (in French). Retrieved 12 July 2024.\n - 16. \"Statistiques locales - Métropole de Lyon : Intercommunalité 2021 - Population municipale 2021\" (https://statis tiques-locales.insee.fr/#bbox=451689,5797789,171704,103837&c=indicator&i=pop\\_depuis\\_1876.pop&s=202 1&selcodgeo=200046977&t=A01&view=map4). INSEE. Retrieved 12 July 2024.\n - 17. \"Lyon entrepreneurship, Lyon company, Invest Lyon - Greater Lyon\" (https://web.archive.org/web/201003081 31020/http://www.business.greaterlyon.com/city-business-support-lyon-entrepreneurship-system.85.0.html?& L=1). Business.greaterlyon.com. Archived from the original (http://www.business.greaterlyon.com/city-busines s-support-lyon-entrepreneurship-system.85.0.html?&L=1) on 8 March 2010. Retrieved 3 April 2011.\n - 18. \"Classement 2019 des villes étudiantes les plus importantes en France\" (https://www.investirlmnp.fr/actualite s/classement-2019-des-villes-etudiantes-les-plus-importantes-en-france-146). www.investirlmnp.fr. Retrieved 8 April 2022.", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia4.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 16. Di/fference in consecutive dry days between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\nensemble meanIPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\nHadGEM2-ES\n\n\n\nIPSL-CM5A-MR\n\n\n\n\n\nMIROC-ESM-CHEM\n\n\n\nACCESS1-0Figure 17. Di/fference in annual maximum 5 day rainfall between 2 ° Cand1.5 ° C global warming, for individual ensemble members and ensemble mean.\n\n\n\n\n\n\n\n\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "uksi_20210538_en.pdf", - "query": " What should do the rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided ?", - "target_page": 2, - "target_passage": "ensure that the register is kept in that church or chapel, and (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## S T A T U T O R Y I N S T R U M E N T S\n\n## 2021 No. 538\n\n## MARRIAGE, ENGLAND AND WALES\n\nThe Marriage (Keeping of Records in Churches and Chapels) Regulations 2021\n\nMade\n\n-\n\n-\n\n-\n\n-\n\n29th April 2021\n\nComing into force - -\n\n4th May 2021\n\nThe Registrar General makes these Regulations with the approval of the Secretary of State in exercise of the powers conferred by section 74(1)(c)(v), (1A)(a) and (3) of the Marriage Act 1949( a ).\n\n## Citation, commencement, extent and interpretation\n\n- 1. -(1) These Regulations may be cited as the Marriage (Keeping of Records in Churches and Chapels) Regulations 2021.\n- (2) These Regulations come into force on 4th May 2021.\n- (3) These Regulations extend to England and Wales.\n- (4) In these Regulations, 'chapel' does not include a chapel to which Part 5 of the Marriage Act 1949 (marriages in naval, military and air force chapels) applies( b ).\n\n## Duty of parochial church councils to provide registers of marriage services\n\n- 2. -(1) The parochial church council of a parish must provide books for the purpose of making records under regulation 3 to each church and chapel of the Church of England( c ) in that parish in which banns of matrimony may be published.\n- (2) Books provided under paragraph (1) are to be known as 'registers of marriage services'.\n- (3) A register of marriage services provided under paragraph (1) must meet the requirements of paragraphs (4) and (5).\n- (4) The register must be made of durable material.\n- (5) For the purposes of enabling a record to be made in the register under regulation 3 in respect of a marriage, the register must be printed in such a way that it-", - "page_start": 0, - "page_end": 0, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (a) indicates the descriptions of information required by each of sub-paragraphs (a) to (h) of regulation 3(2) in relation to the marriage, and\n - (b) provides corresponding spaces for recording information required by each of those subparagraphs in relation to the marriage.\n - (6) A register of marriage services provided under paragraph (1) by a parochial church council belongs to that parochial church council.\n\n## Duty to record information about marriages solemnized according to the rites of the Church of England or Church in Wales\n\n - 3. -(1) Paragraphs (2), (3) and (4) apply where a marriage has been solemnized according to the rites of the Church of England in a church or chapel in which banns of matrimony may be published.\n - (2) As soon as practicable after the marriage has been solemnized, the clergyman by whom the marriage was solemnized must make a record of the following information in relation to that marriage in a register of marriage services provided to the church or chapel under regulation 2(1)-\n - (a) the date and place of the marriage;\n - (b) the name and surname of each party;\n - (c) the date of birth of each party;\n - (d) the occupation (if any) of each party;\n - (e) the address of each party at the time of the marriage;\n - (f) the names and surnames of each party's parents, so far as those names and surnames are known to the clergyman who solemnized the marriage;\n - (g) the name and surname of each of the witnesses in whose presence the marriage was solemnized;\n - (h) the name and surname of the clergyman by whom the marriage was solemnized.\n - (3) The clergyman must record the information required by paragraph (2) in English, and may also record information required by that paragraph in Welsh where the church or chapel is situated in Wales.\n - (4) After making a record under paragraph (2) the clergyman must sign it.\n - (5) This regulation does not apply in relation to a marriage solemnized before 4th May 2021.\n\n## Requirements about the keeping of registers of marriage services\n\n - 4. -(1) The rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1) must-\n - (a) ensure that the register is kept in that church or chapel, and\n - (b) do everything that is reasonably practicable to ensure that the register is protected against theft, loss or damage.\n - (2) Where there is no rector, vicar or curate in charge of a church or chapel to which a register of marriage services has been provided under regulation 2(1), the obligations under paragraph (1) in respect of that register fall on the churchwardens of the parish in which the church or chapel is situated.\n\nGiven under my hand on 29th April 2021\n\nAbi Tierney Registrar General", - "page_start": 1, - "page_end": 1, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "29th April 2021\n\nKevin Foster Parliamentary Under Secretary of State Home Office\n\n## EXPLANATORY NOTE\n\n(This note is not part of the Regulations)\n\nThese Regulations provide for records of marriages to be kept in churches and chapels of the Church of England and the Church in Wales, other than chapels to which Part 5 of the Marriage Act 1949 applies (naval, military and air force chapels).\n\nRegulation 2 requires parochial church councils to provide books known as 'registers of marriage services' to churches and chapels in their parish in which banns of matrimony may be published, for the purposes of keeping the records required by regulation 3. Regulation 2 also imposes requirements relating to the durability and pre-printed content of these registers, and provides that they belong to the parochial church council.\n\nRegulation 3 requires specified information to be recorded in a register of marriage services when a marriage has been solemnized on or after 4th May 2021 according to the rites of the Church of England or Church in Wales in a church or chapel in which banns of matrimony may be published. The record must be made and signed by the member of the clergy by whom the marriage was solemnized.\n\nRegulation 4 imposes requirements relating to the keeping of registers of marriage services provided under regulation 2.\n\nA full impact assessment has not been produced for this instrument because no, or no significant, impact on the private, public or voluntary sector is foreseen.\n\nPrinted and published in the UK by The Stationery Office Limited under the authority and superintendence of Jeff James, Controller of Her Majesty's Stationery Office and Queen's Printer of Acts of Parliament.", - "page_start": 2, - "page_end": 2, - "source_file": "uksi_20210538_en.pdf" - }, - { - "text": "- (1) There shall be an Independent E lectoral C om m ission w hich shall consist of-\n - ( a ) a C hairm an w ho shall be a judge of the H igh C ourt appointed by the Judicial Service C om m ission;\n - ( b ) a legal practitioner appointed by the Judicial S ervice C om m ission; and\n - ( c ) five other persons w ho are fit, proper and im partial, appointed by the Judicial Service C om m ission from a list of persons recom m ended by the A ll P arty C onference.\n - (2) W here the A ll P arty C onference fail to agree on all or any num ber of persons referred to in subsection (1)( c ) of this section up to dissolution of P arliam ent, the Judicial Service C om m ission shall appoint such person or persons as are necessary to fill any vacancy.\n - (3) For the purposes of this section, \"A ll P arty C onference\" m eans a m eeting of all registered political parties convened from tim e to tim e by the M inister.\n - (4) The first appointm ents of the C hairm an and the M em bers of the C om m ission shall be m ade not later than 31st January, 1999, and thereafter subsequent appointm ents shall be m ade at the last dissolution of every tw o successive lives of Parliam ent.", - "page_start": 29, - "page_end": 29, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## 66. A ppointm ent of S ecretary to Independent Electoral C om m ission\n\n - (1) There shall be a S ecretary to the Independent E lectoral C om m ission referred to in section 65A (in this section referred to as \"the S ecretary\").\n - (2) The S ecretary shall be appointed by the P resident.\n - (3) The functions of the S ecretary shall, subject to the directions and supervision of the Independent E lectoral C om m ission, be to exercise general supervision over the registration of voters for elections of-\n - ( a ) the E lected M em bers of the N ational A ssem bly; and\n - ( b ) the m em bers of any local authority, and over the conduct of such elections.\n\n(4) A person shall not be qualified to be appointed as S ecretary to the Independent E lectoral C om m ission if-", - "page_start": 30, - "page_end": 30, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "other judges of the C ourt as m ay be prescribed by P arliam ent:\n\nProvided that the office of a judge of the H igh C ourt shall not be abolished w hile there is a substantive holder thereof.\n\n - (3) The H igh C ourt shall be a superior court of record and, save as otherw ise provided by P arliam ent, shall have all the pow ers of such a court.\n - (4) The H igh C ourt shall sit in such places as the C hief Justice m ay appoint.\n - (5) The H igh C ourt shall have jurisdiction to supervise any civil or crim inal proceedings before any subordinate court or any court m artial and m ay m ake such orders, issue such w rits and give such directions as it m ay consider appropriate for the purpose of ensuring that justice is duly adm inistered by any such court.\n - (6) The C hief Justice m ay m ake rules w ith respect to the practice and procedure of the H igh C ourt in relation to the jurisdiction and pow ers conferred on it by subsection (5) of this section.\n - (7) The C hief Justice m ay appoint a R ules of C ourt A dvisory C om m ittee to assist him or her in review ing and overhauling the rules m ade under subsection (6) and to advise on proposals to update and am end such rules.", - "page_start": 40, - "page_end": 40, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "- ( b ) in the case of a by-election, as soon as practicable after a vacancy has occurred am ong the S pecially E lected M em bers.\n - (2) A m eeting of the E lected M em bers of the N ational A ssem bly that is held for the purpose of a general election shall be sum m oned by the S peaker.\n - (3) N o other business than the holding of a general election m ay be transacted at any m eeting of the E lected M em bers of the N ational A ssem bly sum m oned under subparagraph (2) of this paragraph and such a m eeting shall not be regarded as a m eeting of the A ssem bly for the purposes of any other provision of this C onstitution.\n - 6. W hen the votes have been cast, w hether at a general election or at a by-election, a list shall be prepared show ing the persons for w hom votes have been cast in order according to the num ber of votes received by each of them , the person or persons w ho received the highest num ber of votes being placed first and those w ho received any low er num ber of votes being placed in descending order.", - "page_start": 56, - "page_end": 56, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "H igh C ourt for so long thereafter and to such extent as m ay be necessary to enable him or her to deliver judgm ent or to do any other thing in relation to proceedings that w ere com m enced before him or her previously thereto.\n\n(6) If the office of any judge of the H igh C ourt is vacant, or if any such judge is appointed to act as C hief Justice, or is for any reason unable to perform the functions of his or her office, or if the P resident, acting after consultation w ith the C hief Justice, is satisfied that the state of business in the H igh C ourt requires that the num ber of judges of the court should be tem porarily increased, the P resident, acting in accordance w ith the advice of the Judicial S ervice C om m ission, m ay appoint a person qualified for appointm ent as a judge of the H igh C ourt to act as a judge of that court:\n\nProvided that a person m ay be so appointed notw ithstanding that he or she has attained the age of 70 years or such other age as m ay be prescribed for the purposes of section 88 of this C onstitution.\n\n(7) A ny person appointed under subsection (6) of this section to act as a judge of the H igh C ourt shall, subject to the provisions of section 97(4) and (5) of this C onstitution, continue to act for the period of his or her appointm ent or, if no such period is specified, until his or her appointm ent is revoked by the P resident, acting in accordance w ith the advice of the Judicial S ervice C om m ission:\n\nProvided that the P resident, acting in accordance w ith the advice of the Judicial Service C om m ission, m ay perm it a person w hose appointm ent to act as a judge of the H igh C ourt has expired or been revoked to continue to act as such a judge for such period as m ay be necessary to enable him or her to deliver judgm ent or to do any other thing in relation to proceedings that w ere com m enced before him or her previously thereto.\n\n## 97. Tenure of office of judges of H igh C ourt\n\n(1) S ubject to the provisions of this section, a person holding the office of a judge of the H igh C ourt shall vacate that office on attaining the age of 70 years or such other age as m ay be prescribed by P arliam ent:\n\nProvided that the P resident, acting in accordance w ith the advice of the Judicial Service C om m ission, m ay perm it a judge w ho has attained that age to continue in office for such period as m ay be necessary to enable him or her to deliver judgm ent or to do any other thing in relation to proceedings that w ere com m enced before him or her before he or she attained that age.", - "page_start": 41, - "page_end": 41, - "source_file": "Botswana-constitution.pdf" - }, - { - "text": "## Meaning of 'place'\n\n14. For the purposes of this Schedule the place referred to in paragraphs 8 to 13 means the room in the designated accommodation where P is staying and, if connected to the room where P is staying, the room of any person referred to in paragraph 11(a) (travelling companion), including any balcony, and does not include the communal areas or any garden, yard, passage, stair, garage, outhouse or appurtenance of the accommodation in which the place is situated.\n\n## Designations\n\n15. The Secretary of State must designate for the purposes of this Schedule-\n\n - (a) accommodation;\n - (b) transportation to the designated accommodation,\n\nand must publish details of the designations in such manner as appears to the Secretary of State to be appropriate.\n\n## Duties where P is a child\n\n16. If P is a child-\n\n - (a) any person who has custody or charge of P when P is travelling to England must ensure, so far as is reasonably practicable, that P complies with the obligations in paragraphs 5 and 6;\n - (b) any person who has custody or charge of P during P's period of self-isolation must ensure, so far as is reasonably practicable, that P self-isolates in accordance with this Schedule.\n\n## Person caring for P", - "page_start": 77, - "page_end": 77, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "- (c) an accompanying child who is accompanying P or, where P is a child, is accompanying a person referred to in sub-paragraph (1)(b);\n - (d) a live donor who is attending a place for the purpose referred to in the definition of 'live donor' or is travelling directly between that place and the place where they are selfisolating.\n - (2) For the purposes of this paragraph-\n - (a) 'accompanying child', in relation to P, means a child who has arrived in England with P and for whom P has responsibility, or where P is a child, a child who has arrived in England with the person referred to in sub-paragraph (1)(b) and for whom that person has responsibility;\n - (b) 'healthcare' means all forms of healthcare provided for individuals, whether relating to mental or physical health, including healthcare in connection with giving birth;\n - (c) 'live donor' means a person who-\n - (i) has travelled to the United Kingdom for the purpose of donation of material which consists of or includes their human cells pursuant to arrangements made with a provider in the United Kingdom before travelling to the United Kingdom, and which are to be used by the provider for the purpose of providing healthcare, and\n - (ii) is in possession of written confirmation of the arrangements from the provider;", - "page_start": 43, - "page_end": 43, - "source_file": "uksi_20210582_en.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What are Tesla's total liabilities and equity in 2024?", - "target_page": 5, - "target_passage": "119,852", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## TESLA, INC.\n\n## FORM 10-Q FOR THE QUARTER ENDED SEPTEMBER 30, 2024\n\n## INDEX\n\n| | | Page |\n|-------------------------------|---------------------------------------------------------------------------------------|--------|\n| PART I. FINANCIAL INFORMATION | PART I. FINANCIAL INFORMATION | |\n| Item 1. | Financial Statements | 4 |\n| | Consolidated Balance Sheets | 4 |\n| | Consolidated Statements of Operations | 5 |\n| | Consolidated Statements of Comprehensive Income | 6 |\n| | Consolidated Statements of Redeemable Noncontrolling Interests and Equity | 7 |\n| | Consolidated Statements of Cash Flows | 9 |\n| | Notes to Consolidated Financial Statements | 10 |\n| Item 2. | Management's Discussion and Analysis of Financial Condition and Results of Operations | 26 |\n| Item 3. | Quantitative and Qualitative Disclosures about Market Risk | 35 |\n| Item 4. | Controls and Procedures | 35 |\n| PART II. OTHER INFORMATION | PART II. OTHER INFORMATION | |\n| Item 1. | Legal Proceedings | 36 |\n| Item 1A. | Risk Factors | 36 |\n| Item 2. | Unregistered Sales of Equity Securities and Use of Proceeds | 36 |\n| Item 3. | Defaults Upon Senior Securities | 36 |\n| Item 4. | Mine Safety Disclosures | 36 |\n| Item 5. | Other Information | 36 |\n| Item 6. | Exhibits | 37 |\n| Signatures | Signatures | 38 |", - "page_start": 2, - "page_end": 2, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Redeemable Noncontrolling Interests and Equity\n\n(in millions)\n\n(unaudited)\n\nTable of Contents\n\n| Three Months Ended September 30, | Redeemable | Common Stock | Common Stock | Additional Paid-In | Accumulated Other Comprehensive | | Total | Noncontrolling | |\n|------------------------------------------------------|----------------|----------------|----------------|----------------------|-----------------------------------|----------|---------------|------------------|--------------|\n| | Noncontrolling | | | | | Retained | Stockholders' | Interests in | Total Equity |\n| Balance as of June 30, 2024 | $ 72 | 3,194 | $ 3 | $ 36,443 | $ (467) | $ 30,489 | $ 66,468 | $ 723 | $67,191 |\n| Settlement of warrants | - | 9 | - | - | - | - | - | - | - |\n| Issuance of common stock for equity incentive awards | - | 4 | - | 340 | - | | 340 | - | 340 |\n| Stock-based compensation | | | | | | - | | | 503 |\n| | - | - | - | 503 | - | - | 503 | - | |\n| Distributions to noncontrolling interests | (3) | - | - | - | - | - | - | (29) | (29) |\n| Net income | 1 | - | - | - | - | 2,167 | 2,167 | 15 | 2,182 |\n| Other comprehensive income | - | - | - | - | 453 | - | 453 | - | 453 |\n| Balance as of September 30, 2024 | $ 70 | 3,207 | $ 3 | $ 37,286 | $ (14) | $ 32,656 | $ 69,931 | $ 709 | $70,640 |", - "page_start": 8, - "page_end": 8, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Table of Contents\n\n## Legal Proceedings\n\n## Litigation Relating to 2018 CEO Performance Award\n\nOn June 4, 2018, a purported Tesla stockholder filed a putative class and derivative action in the Delaware Court of Chancery against Elon Musk and the members of Tesla's board of directors as then constituted, alleging corporate waste, unjust enrichment and that such board members breached their fiduciary duties by approving the stock-based compensation plan awarded to Elon Musk in 2018 (the '2018 CEO Performance Award'). Trial was held November 14-18, 2022. On January 30, 2024, the Court issued an opinion finding that the 2018 CEO Performance Award should be rescinded. Plaintiff's counsel filed a brief seeking a fee award of 29,402,900 Tesla shares, plus expenses of $1,120,115.50. Tesla opposed the fee request on June 7, 2024, and a hearing was held on July 8, 2024. At Tesla's 2024 Annual Meeting of Stockholders, 72% of the disinterested voting shares of Tesla, excluding shares owned by Mr. Musk and Kimbal Musk, voted to ratify the 2018 CEO Performance Award. On June 28, 2024, because Tesla's disinterested stockholders voted to ratify the 2018 CEO Performance Award, Mr. Musk and the other director defendants, joined by Tesla, filed a brief seeking to revise the Court's January 30, 2024 opinion, and a hearing was held on August 2, 2024.\n\n## Litigation Related to Directors' Compensation\n\nOn June 17, 2020, a purported Tesla stockholder filed a derivative action in the Delaware Court of Chancery, purportedly on behalf of Tesla, against certain of Tesla's current and former directors regarding compensation awards granted to Tesla's directors, other than Elon Musk, between 2017 and 2020. The suit asserts claims for breach of fiduciary duty and unjust enrichment and seeks declaratory and injunctive relief, unspecified damages and other relief. Defendants filed their answer on September 17, 2020.\n\nOn July 14, 2023, the parties filed a Stipulation and Agreement of Compromise and Settlement, which does not involve an admission of any wrongdoing by any party. If the settlement is approved by the Court, this action will be fully settled and dismissed with prejudice. Pursuant to the terms of the agreement, Tesla provided notice of the proposed settlement to stockholders of record as of July 14, 2023. The Court held a hearing regarding the settlement on October 13, 2023, after which it took the settlement and plaintiff counsels' fee request under advisement. On August 14, 2024, the parties submitted a joint letter requesting that the Court approve and enter final judgment with respect to the settlement, and decide the fee request at a later date. The settlement is not expected to have an adverse impact on our results of operations, cash flows or financial position.\n\n## Litigation Relating to Potential Going Private Transaction", - "page_start": 26, - "page_end": 26, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Table of Contents\n\nOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla alleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the Company's 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company's corporate governance and internal procedures, unspecified damages, and attorneys' fees. The lawsuit has been stayed pending resolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.\n\nOn November 15, 2021, JPMorgan Chase Bank ('JP Morgan') filed a lawsuit against Tesla in the Southern District of New York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In 2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk's August 7, 2018 Twitter post that he was considering taking Tesla private. Tesla disputed JP Morgan's adjustment as a violation of the parties' agreement. In 2021, Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed approximately $162 million as the value of additional shares that it claims should have been delivered as a result of the adjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the underlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the stock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September 12, 2024, the Court denied JP Morgan's motion.\n\n## Certain Derivative Lawsuits in Delaware\n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by purported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly on behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly Twitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek unspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters into a single case, and a hearing on that motion is scheduled for November 18, 2024.\n\n## Litigation and Investigations Relating to Alleged Discrimination and Harassment\n\nOn February 9, 2022, the California Civil Rights Department ('CRD,' formerly 'DFEH') filed a civil complaint against Tesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay equity claims, among others. CRD's amended complaint seeks monetary damages and injunctive relief. The case is currently in discovery. Trial is scheduled for September 15, 2025.\n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission ('EEOC') issued a cause finding against Tesla that closely parallels the CRD's allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the United States District Court for the Northern District of California asserting claims for race harassment and retaliation and seeking, among other things, monetary and injunctive relief.", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Table of Contents\n\n## SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\nTesla, Inc.\n\nDate: October 23, 2024\n\n/s/ Vaibhav Taneja\n\nVaibhav Taneja Chief Financial Officer (Principal Financial Officer and Duly Authorized Officer)", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Comprehensive Income\n\n(in millions)\n\n(unaudited)\n\nTable of Contents\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | Nine Months Ended September 30, | Nine Months Ended September 30, |\n|------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|------------------------------------|-----------------------------------|-----------------------------------|\n| | 2024 | 2023 | 2024 | 2023 |\n| Net income | $ 2,183 | $ 1,878 | $ 4,821 | $ 7,031 |\n| Other comprehensive income (loss): | | | | |\n| Foreign currency translation adjustment | 445 | (289) | 121 | (343) |\n| Unrealized net gain on investments, net of tax | 8 | 7 | 8 | 8 |\n| Net loss realized and included in net income | - | - | - | 4 |\n| Comprehensive income | 2,636 | 1,596 | 4,950 | 6,700 |\n| Less: Comprehensive income (loss) attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries | 16 | 25 | 47 | (38) |\n| Comprehensive income attributable to common stockholders | $ 2,620 | $ 1,571 | $ 4,903 | $ 6,738 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 7, - "page_end": 7, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Notes to Consolidated Financial Statements\n\n## (unaudited)\n\n## Note 1 - Overview & Summary of Significant Accounting Policies\n\n## Overview\n\nTesla, Inc. ('Tesla', the 'Company', 'we', 'us' or 'our') was incorporated in the State of Delaware on July 1, 2003 and converted to a Texas corporation on June 13, 2024.\n\n## Unaudited Interim Financial Statements\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the consolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of redeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the consolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information disclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from the audited consolidated financial statements as of that date. The interim consolidated financial statements and the accompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying notes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the annual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal recurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated results of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any other future years or interim periods.\n\n## Reclassifications\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated financial statements and the accompanying notes.\n\n## Revenue Recognition\n\n## Revenue by source\n\nThe following table disaggregates our revenue by major source (in millions):\n\nTable of Contents", - "page_start": 12, - "page_end": 12, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Cash Flows\n\n(in millions)\n\n(unaudited)\n\nTable of Contents", - "page_start": 11, - "page_end": 11, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "| Total liabilities | 1,754,415,291 | 1,716,040,117 |\n| COMMITMENTS AND CONTINGENCIES | | |\n| SHAREHOLDERS' EQUITY: | | |\n| Common stock, $10 par value; authorized 20,000,000 shares; 12,364,201 and 12,333,252 issued and outstanding at | | |\n| December 31, 2002 and 2001, respectively | 123,642,010 | 123,332,520 |\n| Capital surplus | 58,087,687 | 57,824,061 |\n| Retained earnings | 45,647,522 | 28,375,353 |\n| Accumulated other comprehensive earnings | 11,390,426 | 4,122,079 |\n| Total shareholders' equity | 238,767,645 | 213,654,013 |", - "page_start": 67, - "page_end": 67, - "source_file": "NASDAQ_FFIN_2002.pdf" - }, - { - "text": "Table of Contents\n\n| | September 30, 2024 | December 31, 2023 |\n|-------------------------------------------------|----------------------|---------------------|\n| Assets | | |\n| Current assets | | |\n| Cash and cash equivalents | $ 51 | $ 66 |\n| Accounts receivable, net | 28 | 13 |\n| Prepaid expenses and other current assets | 263 | 361 |\n| Total current assets | 342 | 440 |\n| Operating lease vehicles, net | 451 | - |\n| Solar energy systems, net | 2,524 | 3,278 |\n| Other non-current assets | 190 | 369 |\n| Total assets | $ 3,507 | $ 4,087 |\n| Liabilities | | |\n| Current liabilities | | |\n| Accrued liabilities and other | $ 36 | $ 67 |\n| Deferred revenue | 7 | 6 |\n| Current portion of debt and finance leases | 1,930 | 1,564 |\n| Total current liabilities | 1,973 | 1,637 |\n| Deferred revenue, net of current portion | 81 | 99 |\n| Debt and finance leases, net of current portion | 1,826 | 2,041 |\n| Total liabilities | $ 3,880 | $ 3,777 |", - "page_start": 29, - "page_end": 29, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "Where was Tesla incorporated? ", - "target_page": 13, - "target_passage": "State of Delaware", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Tesla, Inc.\n\n## Notes to Consolidated Financial Statements\n\n## (unaudited)\n\n## Note 1 - Overview & Summary of Significant Accounting Policies\n\n## Overview\n\nTesla, Inc. ('Tesla', the 'Company', 'we', 'us' or 'our') was incorporated in the State of Delaware on July 1, 2003 and converted to a Texas corporation on June 13, 2024.\n\n## Unaudited Interim Financial Statements\n\nThe consolidated financial statements, including the consolidated balance sheet as of September 30, 2024, the consolidated statements of operations, the consolidated statements of comprehensive income, the consolidated statements of redeemable noncontrolling interests and equity for the three and nine months ended September 30, 2024 and 2023, and the consolidated statements of cash flows for the nine months ended September 30, 2024 and 2023, as well as other information disclosed in the accompanying notes, are unaudited. The consolidated balance sheet as of December 31, 2023 was derived from the audited consolidated financial statements as of that date. The interim consolidated financial statements and the accompanying notes should be read in conjunction with the annual consolidated financial statements and the accompanying notes contained in our Annual Report on Form 10-K for the year ended December 31, 2023.\n\nThe interim consolidated financial statements and the accompanying notes have been prepared on the same basis as the annual consolidated financial statements and, in the opinion of management, reflect all adjustments, which include only normal recurring adjustments, necessary for a fair statement of the results of operations for the periods presented. The consolidated results of operations for any interim period are not necessarily indicative of the results to be expected for the full year or for any other future years or interim periods.\n\n## Reclassifications\n\nCertain prior period balances have been reclassified to conform to the current period presentation in the consolidated financial statements and the accompanying notes.\n\n## Revenue Recognition\n\n## Revenue by source\n\nThe following table disaggregates our revenue by major source (in millions):\n\nTable of Contents", - "page_start": 12, - "page_end": 12, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Table of Contents\n\n## SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\nTesla, Inc.\n\nDate: October 23, 2024\n\n/s/ Vaibhav Taneja\n\nVaibhav Taneja Chief Financial Officer (Principal Financial Officer and Duly Authorized Officer)", - "page_start": 48, - "page_end": 48, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Operations\n\n(in millions, except per share data) (unaudited)\n\nTable of Contents", - "page_start": 6, - "page_end": 6, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "On June 16, 2022, two Tesla stockholders filed separate derivative actions in the U.S. District Court for the Western District of Texas, purportedly on behalf of Tesla, against certain of Tesla's current and former directors. Both suits assert claims for breach of fiduciary duty, unjust enrichment, and violation of the federal securities laws in connection with alleged race and gender discrimination and sexual harassment. Among other things, plaintiffs seek declaratory and injunctive relief, unspecified damages payable to Tesla, and attorneys' fees. On July 22, 2022, the Court consolidated the two cases and on September 6, 2022, plaintiffs filed a consolidated complaint. On November 7, 2022, the defendants filed a motion to dismiss the case and on September 15, 2023, the Court dismissed the action but granted plaintiffs leave to file an amended complaint. On November 2, 2023, plaintiff filed an amended complaint purportedly on behalf of Tesla, against Elon Musk. On December 19, 2023, the defendants moved to dismiss the amended complaint, which the Court granted on April 12, 2024, with leave for plaintiffs to amend. On May 15, 2024, plaintiffs filed a second amended consolidated complaint purportedly on behalf of Tesla, against Mr. Musk. On July 1, 2024, the defendants moved to dismiss the second amended consolidated complaint.", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Cash Flows\n\n(in millions)\n\n(unaudited)\n\nTable of Contents", - "page_start": 11, - "page_end": 11, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Comprehensive Income\n\n(in millions)\n\n(unaudited)\n\nTable of Contents\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | Nine Months Ended September 30, | Nine Months Ended September 30, |\n|------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|------------------------------------|-----------------------------------|-----------------------------------|\n| | 2024 | 2023 | 2024 | 2023 |\n| Net income | $ 2,183 | $ 1,878 | $ 4,821 | $ 7,031 |\n| Other comprehensive income (loss): | | | | |\n| Foreign currency translation adjustment | 445 | (289) | 121 | (343) |\n| Unrealized net gain on investments, net of tax | 8 | 7 | 8 | 8 |\n| Net loss realized and included in net income | - | - | - | 4 |\n| Comprehensive income | 2,636 | 1,596 | 4,950 | 6,700 |\n| Less: Comprehensive income (loss) attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries | 16 | 25 | 47 | (38) |\n| Comprehensive income attributable to common stockholders | $ 2,620 | $ 1,571 | $ 4,903 | $ 6,738 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 7, - "page_end": 7, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Table of Contents\n\nOn October 21, 2022, a lawsuit was filed in the Delaware Court of Chancery by a purported shareholder of Tesla alleging, among other things, that board members breached their fiduciary duties in connection with their oversight of the Company's 2018 settlement with the SEC, as amended. Among other things, the plaintiff seeks reforms to the Company's corporate governance and internal procedures, unspecified damages, and attorneys' fees. The lawsuit has been stayed pending resolution of a motion to consolidate certain derivative lawsuits in the Delaware Court of Chancery referenced below.\n\nOn November 15, 2021, JPMorgan Chase Bank ('JP Morgan') filed a lawsuit against Tesla in the Southern District of New York alleging breach of a stock warrant agreement that was entered into as part of a convertible notes offering in 2014. In 2018, JP Morgan informed Tesla that it had adjusted the strike price based upon Mr. Musk's August 7, 2018 Twitter post that he was considering taking Tesla private. Tesla disputed JP Morgan's adjustment as a violation of the parties' agreement. In 2021, Tesla delivered shares to JP Morgan per the agreement, which they duly accepted. JP Morgan now alleges that it is owed approximately $162 million as the value of additional shares that it claims should have been delivered as a result of the adjustment to the strike price in 2018. On January 24, 2022, Tesla filed multiple counterclaims as part of its answer to the underlying lawsuit, asserting among other points that JP Morgan should have terminated the stock warrant agreement in 2018 rather than make an adjustment to the strike price that it should have known would lead to a commercially unreasonable result. Tesla believes that the adjustments made by JP Morgan were neither proper nor commercially reasonable, as required under the stock warrant agreements. JP Morgan filed a motion for judgment on the pleadings, which Tesla opposed, and on September 12, 2024, the Court denied JP Morgan's motion.\n\n## Certain Derivative Lawsuits in Delaware\n\nBefore converting from a Delaware to Texas corporation on June 13, 2024, three separate derivative actions brought by purported Tesla stockholders were filed in the Delaware Court of Chancery on May 24, June 10 and June 13, 2024, purportedly on behalf of Tesla, against current and former directors regarding topics involving Elon Musk and others, X Corp. (formerly Twitter) and x.AI. These suits assert various claims, including breach of fiduciary duty and breach of contract, and seek unspecified damages and other relief. On August 6, 2024, the plaintiffs in these three actions moved to consolidate the matters into a single case, and a hearing on that motion is scheduled for November 18, 2024.\n\n## Litigation and Investigations Relating to Alleged Discrimination and Harassment\n\nOn February 9, 2022, the California Civil Rights Department ('CRD,' formerly 'DFEH') filed a civil complaint against Tesla in Alameda County, California Superior Court, alleging systemic race discrimination, hostile work environment and pay equity claims, among others. CRD's amended complaint seeks monetary damages and injunctive relief. The case is currently in discovery. Trial is scheduled for September 15, 2025.\n\nAdditionally, on June 1, 2022 the Equal Employment Opportunity Commission ('EEOC') issued a cause finding against Tesla that closely parallels the CRD's allegations. On September 28, 2023, the EEOC filed a civil complaint against Tesla in the United States District Court for the Northern District of California asserting claims for race harassment and retaliation and seeking, among other things, monetary and injunctive relief.", - "page_start": 27, - "page_end": 27, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Redeemable Noncontrolling Interests and Equity\n\n(in millions)\n\n(unaudited)\n\nTable of Contents\n\n| Three Months Ended September 30, | Redeemable | Common Stock | Common Stock | Additional Paid-In | Accumulated Other Comprehensive | | Total | Noncontrolling | |\n|------------------------------------------------------|----------------|----------------|----------------|----------------------|-----------------------------------|----------|---------------|------------------|--------------|\n| | Noncontrolling | | | | | Retained | Stockholders' | Interests in | Total Equity |\n| Balance as of June 30, 2024 | $ 72 | 3,194 | $ 3 | $ 36,443 | $ (467) | $ 30,489 | $ 66,468 | $ 723 | $67,191 |\n| Settlement of warrants | - | 9 | - | - | - | - | - | - | - |\n| Issuance of common stock for equity incentive awards | - | 4 | - | 340 | - | | 340 | - | 340 |\n| Stock-based compensation | | | | | | - | | | 503 |\n| | - | - | - | 503 | - | - | 503 | - | |\n| Distributions to noncontrolling interests | (3) | - | - | - | - | - | - | (29) | (29) |\n| Net income | 1 | - | - | - | - | 2,167 | 2,167 | 15 | 2,182 |\n| Other comprehensive income | - | - | - | - | 453 | - | 453 | - | 453 |\n| Balance as of September 30, 2024 | $ 70 | 3,207 | $ 3 | $ 37,286 | $ (14) | $ 32,656 | $ 69,931 | $ 709 | $70,640 |", - "page_start": 8, - "page_end": 8, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## PART I. FINANCIAL INFORMATION\n\n## ITEM 1. FINANCIAL STATEMENTS\n\n## Tesla, Inc.\n\n## Consolidated Balance Sheets (in millions, except per share data)\n\n(unaudited)\n\nTable of Contents", - "page_start": 4, - "page_end": 4, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Table of Contents\n\n| Production Location | Vehicle Model(s) | Production Status |\n|--------------------------------|--------------------------|---------------------|\n| Fremont Factory | Model S / Model X | Active |\n| | Model 3 / Model Y | Active |\n| Gigafactory Shanghai | Model 3 / Model Y | Active |\n| Gigafactory Berlin-Brandenburg | Model Y | Active |\n| Gigafactory Texas | Model Y | Active |\n| | Cybertruck | Active |\n| Gigafactory Nevada | Tesla Semi | Pilot production |\n| Various | Next Generation Platform | In development |\n| TBD | Roadster | In development |", - "page_start": 31, - "page_end": 31, - "source_file": "tesla_form_10q.pdf" - } - ] - }, - { - "references": { - "source_file": "tesla_form_10q.pdf", - "query": "What is the reason for the increase in Tesla's tax rate from 2023 to 2024?", - "target_page": 26, - "target_passage": " increase in our effective tax rate is primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in the mix of our jurisdictional earnings", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Table of Contents\n\nOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased by $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and increased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.\n\nSee Note 9, Income Taxes , to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q for further details.\n\n## Liquidity and Capital Resources\n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash we generate from our core operations enables us to fund ongoing operations and production, our research and development projects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing manufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and autonomy and other artificial intelligence enabled products.\n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we will be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing operations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we may choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and may decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time determine that it is in our best interests to voluntarily repay certain indebtedness early.\n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month period following September 30, 2024, as well as in the long-term.\n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of liquidity to meet such needs.\n\n## Material Cash Requirements\n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of components and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in the precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do not have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of purchase orders beyond such period is difficult to accurately project.", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Research and development ('R&D') expenses decreased $122 million, or 11%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to a decrease in vehicle programs, partially offset by an increase in AI related costs year over year. R&D expenses as a percentage of revenue decreased from 5% to 4% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower R&D expenses in the current period.\n\nR&D expenses increased $389 million, or 14%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The overall increases were primarily driven by additional costs year over year related to AI programs. R&D expenses as a percentage of revenue increased from 4% to 5% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023 as we continue to expand our product roadmap and technologies.\n\n## Selling, General and Administrative Expense\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | | | Nine Months Ended September 30, | Nine Months Ended September 30, | Change | Change |\n|-------------------------------------|------------------------------------|------------------------------------|--------|------|-----------------------------------|-----------------------------------|----------|----------|\n| (Dollars in millions) | 2024 | 2023 | $ | % | 2024 | 2023 | $ | % |\n| Selling, general and administrative | $ 1,186 | $ 1,253 | $ (67) | (5)% | $ 3,837 | $ 3,520 | $ 317 | 9 % |\n| As a percentage of revenues | 5 % | 5 % | | | 5 % | 5 % | | |", - "page_start": 39, - "page_end": 39, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Energy Generation and Storage Segment\n\n## Energy Generation and Storage Sales\n\nWe record as deferred revenue any non-refundable amounts that are collected from customers related to prepayments, which is recognized as revenue ratably over the respective customer contract term. As of September 30, 2024 and December 31, 2023, deferred revenue related to such customer payments amounted to $1.73 billion and $1.60 billion, respectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balances as of December 31, 2023 and 2022 was $1.09 billion and $511 million for the nine months ended September 30, 2024 and 2023, respectively. As of September 30, 2024, total transaction price allocated to performance obligations that were unsatisfied or partially unsatisfied for contracts with an original expected length of more than one year was $6.61 billion. Of this amount, we expect to recognize $4.23 billion in the next 12 months and the rest over the remaining performance obligation period.\n\nWe have financing receivables on our consolidated balance sheets related to loans we provide for financing our energy products. As of September 30, 2024 and December 31, 2023, we had current net financing receivables of $32 million and $31 million, respectively, in Accounts receivable, net, and $641 million and $578 million, respectively, in Other non-current assets for the long-term portion.\n\n## Income Taxes\n\nWe are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company's projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information.\n\nOur provision for or benefit from income taxes for interim periods is determined using an estimate of our annual effective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update our estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment.\n\n## Net Income per Share of Common Stock Attributable to Common Stockholders\n\nThe following table presents the reconciliation of net income attributable to common stockholders to net income used in computing basic and diluted net income per share of common stock (in millions):\n\nTable of Contents", - "page_start": 15, - "page_end": 15, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Automotive sales revenue decreased $4.06 billion, or 7%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023, primarily due to lower average selling price on our vehicles driven by overall price reductions and attractive financing options provided year over year as well as mix. Additionally, there was a decrease of approximately 17,000 combined Model 3 and Model Y cash deliveries partially due to the early phase of the production ramp of the updated Model 3 at our Fremont factory. The decreases were partially offset by an increase of approximately 19,000 deliveries of other models primarily due to our production ramp of Cybertruck and an increase in FSD revenue compared to the prior period, as discussed above.\n\nAutomotive regulatory credits revenue increased $185 million, or 33%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Automotive regulatory credits revenue increased $714 million, or 53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. These increases were driven by demand for credits in North America as other automobile manufacturers scale back on their battery electric vehicle plans.\n\nAutomotive leasing revenue decreased $43 million, or 9%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Automotive leasing revenue decreased $240 million, or 15%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The decreases were primarily due to lower direct sales-type leasing deliveries and a decrease in lease buyouts.\n\nServices and other revenue increased $624 million, or 29%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Services and other revenue increased $1.53 billion, or 25%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due to increases in non-warranty maintenance services and collision revenue, used vehicle revenue, paid Supercharging revenue, insurance services revenue and part sales revenue.\n\n## Energy Generation and Storage Segment\n\nEnergy generation and storage revenue increased $817 million, or 52%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Energy generation and storage revenue increased $2.43 billion, or 53%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due to increases in Megapack and Powerwall deployments compared to the prior periods.", - "page_start": 35, - "page_end": 35, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Tesla, Inc.\n\n## Consolidated Statements of Comprehensive Income\n\n(in millions)\n\n(unaudited)\n\nTable of Contents\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | Nine Months Ended September 30, | Nine Months Ended September 30, |\n|------------------------------------------------------------------------------------------------------------------------------------|------------------------------------|------------------------------------|-----------------------------------|-----------------------------------|\n| | 2024 | 2023 | 2024 | 2023 |\n| Net income | $ 2,183 | $ 1,878 | $ 4,821 | $ 7,031 |\n| Other comprehensive income (loss): | | | | |\n| Foreign currency translation adjustment | 445 | (289) | 121 | (343) |\n| Unrealized net gain on investments, net of tax | 8 | 7 | 8 | 8 |\n| Net loss realized and included in net income | - | - | - | 4 |\n| Comprehensive income | 2,636 | 1,596 | 4,950 | 6,700 |\n| Less: Comprehensive income (loss) attributable to noncontrolling interests and redeemable noncontrolling interests in subsidiaries | 16 | 25 | 47 | (38) |\n| Comprehensive income attributable to common stockholders | $ 2,620 | $ 1,571 | $ 4,903 | $ 6,738 |\n\nThe accompanying notes are an integral part of these consolidated financial statements.", - "page_start": 7, - "page_end": 7, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "| | September 30, 2024 | December 31, 2023 |\n|---------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------|---------------------|\n| Assets | | |\n| Current assets | | |\n| Cash and cash equivalents | $ 18,111 | $ 16,398 |\n| Short-term investments | 15,537 | 12,696 |\n| Accounts receivable, net | 3,313 | 3,508 |\n| Inventory | 14,530 | 13,626 |\n| Prepaid expenses and other current assets | 4,888 | 3,388 |\n| Total current assets | 56,379 | 49,616 |\n| Operating lease vehicles, net | 5,380 | 5,989 |\n| Solar energy systems, net | 5,040 | 5,229 |\n| Property, plant and equipment, net | 36,116 | 29,725 |\n| Operating lease right-of-use assets | 4,867 | 4,180 |\n| Digital assets, net | 184 | 184 |\n| Intangible assets, net | 158 | 178 |\n| Goodwill | 253 | 253 |\n| Deferred tax assets | 6,486 | 6,733 |", - "page_start": 4, - "page_end": 4, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "2004. Revenue increased by $152.7 million, or 6.5%, from 2002 to 2003. The following table reÖects the components of our revenue growth for the years ended December 31, 2004, 2003 and 2002:\n\n| | 2004 | 2003 | 2002 |\n|-----------------------------------------------------------|--------|--------|-----------|\n| Core price ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ�� | 2.3% | | 1.8% 1.4% |\n| Fuel surchargesÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .2 | .2 | Ì |\n| Recycling commodities ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .5 | .1 | .4 |\n| Total priceÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.0 | 2.1 | 1.8 |\n| Core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.6 | 2.1 | 1.6 |\n| Non-core volume ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .1 | Ì | .4 |\n| Total volumeÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 3.7 | 2.1 | 2.0 |\n| Total internal growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 6.7 | 4.2 | 3.8 |\n| AcquisitionsÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | .9 | 1.8 | .8 |\n| Taxes(a) ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | Ì | .5 | .2 |\n| Total revenue growth ÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏÏ | 7.6% | | 6.5% 4.8% |\n\n - , 2004: During the year ended December 31, 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. During the year ended December 31, 2004, we experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our internal growth from our core operations was 5.9% in 2004.\n - , 2003: During the Ñrst three quarters of 2003, we experienced moderate growth in revenue due to an increase in core pricing. During the fourth quarter of 2003, our revenue growth from core pricing increased at a more rapid pace due to our broad-based pricing initiative.\n - During 2003, the economic slowdown which began during 2001 continued to negatively impact our business. However, during 2003, our revenue growth from core volume continued to be positively impacted by long-term franchise and municipal contracts that were secured during 2002. Our internal growth from core operations was 3.9% in 2003.\n - , 2002: The economic slowdown which began in 2001 continued to negatively impact the portion of our business servicing the manufacturing sector and non-residential construction industry during 2002. Volumes attributable to manufacturing and construction activity continued to weaken during 2002.\n\nThe weakness in our business attributable to the economic slowdown was partially oÅset by an increase in recycling commodity prices in the early part of 2002.", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## Table of Contents\n\nWe are focused on growing our manufacturing capacity, which includes capacity for manufacturing newer vehicle models such as our Cybertruck, Tesla Semi and future vehicles utilizing aspects of our next generation platform, and ramping the production at our Gigafactories to their installed production capacities as well as increasing production rate and efficiency at our current factories. The next phase of production growth will depend on the continued ramp at our factories and be initiated by advances in autonomy and the introduction of new products, including those built on our next generation vehicle platform, as well as our ability to add to our available sources of battery cell supply by manufacturing our own cells that we are developing to have high-volume output, lower capital and production costs and longer range. Our goals are to improve vehicle performance, decrease production costs and increase affordability and customer awareness.\n\nThese plans are subject to uncertainties inherent in establishing and ramping manufacturing operations, which may be exacerbated by new product and manufacturing technologies we introduce, the number of concurrent international projects, any industry-wide component constraints, labor shortages and any future impact from events outside of our control. For example, during the first quarter of 2024, we experienced a sequential decline in production volumes partially caused by the early phase of the production ramp of the updated Model 3 at our Fremont factory, and factory shutdowns at Gigafactory BerlinBrandenburg resulting from shipping diversions caused by the Red Sea conflict and an arson attack. Moreover, we have set ambitious technological targets with our plans for battery cells as well as for iterative manufacturing and design improvements for our vehicles with each new factory.\n\n## Automotive-Demand, Sales, Deliveries and Infrastructure\n\nOur cost reduction efforts, cost innovation strategies, and additional localized procurement and manufacturing are key to our vehicles' affordability and have allowed us to competitively price our vehicles. We will also continue to generate demand by improving our vehicles' performance and functionality, including through product offerings and features based on artificial intelligence such as Autopilot, FSD (Supervised), and other software, and delivering new vehicles and vehicle options. In addition, we have been increasing awareness, and expanding our vehicle financing programs, including attractive leasing terms for our customers. Moreover, we expect to continue to benefit from ongoing electrification of the automotive sector and increasing environmental regulations and initiatives.", - "page_start": 33, - "page_end": 33, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Gross margin for total automotive increased from 18.7% to 20.1% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023 primarily due to lower average combined cost per unit of our vehicles, an increase in FSD revenue and an increase in regulatory credits revenue, partially offset by lower average selling price on our vehicles, as discussed above.\n\nGross margin for total automotive decreased from 19.7% to 19.0% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023 primarily due to lower average selling price on our vehicles and temporary under-utilization of manufacturing capacity during production ramps, partially offset by lower average combined cost per unit of our vehicles, an increase in regulatory credits revenue and an increase in FSD revenue, as discussed above.\n\nGross margin for total automotive & services and other segment increased from 17.4% to 18.7% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Gross margin for total automotive & services and other segment decreased from 18.5% to 17.6% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The changes in gross margin are primarily due to the automotive gross margin factors discussed above.\n\n## Energy Generation and Storage Segment\n\nCost of energy generation and storage revenue increased $473 million, or 40%, in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Cost of energy generation and storage revenue increased $1.39 billion, or 37%, in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases in cost of revenues were primarily due to increases in Megapack and Powerwall deployments, partially offset by increases in IRA manufacturing credits recognized as compared to the prior periods.\n\nGross margin for energy generation and storage increased from 24.4% to 30.5% in the three months ended September 30, 2024 as compared to the three months ended September 30, 2023. Gross margin for energy generation and storage increased from 18.0% to 26.6% in the nine months ended September 30, 2024 as compared to the nine months ended September 30, 2023. The increases were primarily due to margin improvements for our energy storage products driven by cost reductions, including benefits from IRA manufacturing credits, and a higher proportion of our storage business, which operated at a higher gross margin, within the segment as compared to the prior periods.\n\n## Research and Development Expense\n\nTable of Contents\n\n| | Three Months Ended September 30, | Three Months Ended September 30, | | | Nine Months Ended September 30, | Nine Months Ended September 30, | Change | Change |\n|-----------------------------|------------------------------------|------------------------------------|---------|-------|-----------------------------------|-----------------------------------|----------|----------|\n| (Dollars in millions) | 2024 | 2023 | $ | % | 2024 | 2023 | $ | % |\n| Research and development | $ 1,039 | $ 1,161 | $ (122) | (11)% | $ 3,264 | $ 2,875 | $ 389 | 14 % |\n| As a percentage of revenues | 4 % | 5 % | | | 5 % | 4 % | | |", - "page_start": 39, - "page_end": 39, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Management's Discussion and Analysis of Financial Condition and Results of Operations\n\n$12 million in 2004. The increase is due to the full year of Borgata's results, offset by a reduction to state income taxes in the fourth quarter of 2004. Borgata received a notice of refund of certain state tax credits and recorded a benefit for amounts earned in 2003 and 2004, which had previously been fully reserved. Our share of the adjustment was $12 million. We expect our share of the benefit of these tax credits to positively impact this line item by approximately $8 million per year for the next three years.\n\nThe following table summarizes information related to our income taxes:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|------------------------------------------------------------------|-----------|-----------|-----------|\n| Income from continuing operations | | | |\n| before income tax . . . . . . . . . . . . . . . . . . . . . . . | $ 555,815 | $ 343,660 | $ 457,927 |\n| Income tax provision . . . . . . . . . . . . . . . . . . . . . . | 205,959 | 113,387 | 168,451 |\n| Effective income tax rate . . . . . . . . . . . . . . . . . . . | 37.1% | 33.0% | 36.8% |\n| Cash paid for income taxes . . . . . . . . . . . . . . . . . | $ 128,393 | $ 94,932 | $ 44,579 |\n\nThe effective income tax rate in 2004 was higher than in 2003 primarily due to the accrual of additional state deferred taxes related to capital investments in New Jersey, non-deductible costs related to a Michigan ballot initiative, overseas development costs for which no tax benefit was provided, and the reversal of a greater amount of tax reserves in 2003 compared to 2004 ($13 million in 2003 versus $6 million in 2004) as a result of completion of audits and the expiration of statutes of limitations. The effective income tax rate in 2003 was lower than in 2002 primarily due to the reversal of tax reserves in 2003. Excluding the reversal, our effective income tax rate was approximately the same in both periods.\n\nIn 2004, taxes paid increased from prior years, primarily due to increased book income and the full utilization of tax credit carryforwards in 2003. Except for 2003, when we made payments to settle IRS audits of prior years, taxes paid have generally been significantly lower than our income tax provision. This is primarily due to accelerated\n\ntax depreciation and the utilization of tax credit carryforwards. We utilized the last of these credits in 2003, which resulted in the increase in our cash paid for taxes in 2004.\n\nWe are evaluating the impact of provisions of the American Jobs Creation Act of 2004 (the 'Act') that provide for a special one-time tax deduction of 85 percent on certain repatriated earnings of foreign subsidiaries. Additional guidance from Congress and/or the United States Treasury Department will be necessary for us to complete our evaluation, as it is not clear at this time whether the Act will provide a benefit to us. We will complete our evaluation as soon as practicable following the issuance of guidance and adjust our taxes accordingly, if necessary.\n\nWe have not yet repatriated the net proceeds from the sale of MGM Grand Australia pending our evaluation. Nonetheless, we provided in 2004 deferred U.S. income taxes of $11 million on the basis that such proceeds would be repatriated without the benefit of the 85 percent one-time deduction. Such amount was included in the provision for income taxes on discontinued operations for 2004. We considered the earnings of our Australia operations permanently reinvested prior to the sale of such operations.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "Which is the first candidate for experimenting the case of electrons interacting with a single boson mode?", - "target_page": 6, - "target_passage": "The primary candidate for such mode is an optical phonon", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "high-energy fermions and is an input for the low-energy theory. Below we follow Refs. 31,33 and assume that the momentum dependence of a collective boson is flat near ( π, π ). The self energy within such model has been worked out consistently in Ref. 31,33. In the normal state\n\nΣ '' ( ω ) = -1 2 λ n ω sf log ( 1 + ω 2 ω 2 sf ) ω (19)\n\nΣ ' ( ω ) = -λ n ω sf arctan ω sf\n\nwhere λ n is the spin-fermion coupling constant, and ω sf is a typical spin relaxation frequency of overdamped spin collective excitations with a propagator\n\nχ ( q ∼ Q, Ω) = χ Q 1 -i Ω ω sf (20)\n\nwhere χ Q is the uniform static susceptibility. If we use Ornstein-Zernike form of χ ( q ) and use either Eliashberg 45 or FLEX computational schemes 48 , we get rather similar behavior of Σ as a function of frequency and rather similar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in the fact that the coupling λ and the bosonic frequency ω sf are related: λ scales as ξ 2 , where ξ is the bosonic mass (the distance to a bosonic instability), and ω sf ∝ ξ -2 (see Ref. 49). For a flat χ ( q ∼ Q ) the product λω sf does not depend on ξ and is the overall dimensional scale for boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This gap affects fermionic self-energy in two ways: directly, via the change of the dispersion of an intermediate boson in the exchange process involving a CB, and indirectly, via the change of the propagator of a CB. We remind ourselves that the dynamics of a CB comes from a particlehole bubble which is indeed affected by ∆.\n\nThe effect of a d -wave pairing gap on a CB has been discussed in a number of papers, most recently in 31 . In\n\na SCS a gapless continuum described by Eq. (20) transforms into a gaped continuum, with a gap about 2∆ and a resonance at ω = ω 0 < 2∆, where for a d -wave gap we define ∆ as a maximum of a d -wave gap.\n\nThe spin susceptibility near ( π, π ) in a superconductor can generally be written up as\n\nχ ( q ∼ Q, Ω) = χ Q 1 -i Π(Ω) ω sf (21)\n\nwhere Π is evaluated by adding up the bubbles made out of two normal and two anomalous Green's functions. Below 2∆, Π(Ω) is real ( ∼ Ω 2 / ∆ for small Ω), and the resonance emerges at Ω = ω 0 at which Π( ω 0 ) = ω sf . At frequencies larger than 2∆, Π(Ω) has an imaginary part, and this gives rise to a gaped continuum in χ (Ω).\n\nThe imaginary part of the spin susceptibility around the resonance frequency ω 0 is 31\n\nχ '' ( q, Ω) = πZ o ω 0 2 δ (Ω -ω 0 ) (22)\n\nwhere Z o ∼ 2 ω sf χ 0 / ∂ Π ∂ω | Ω= ω 0 . The imaginary part of the spin susceptibility describing a gaped continuum exists for for Ω ≥ 2∆ and is\n\nχ '' ( q, Ω) = Im [ χ 0 1 -1 ω sf ( 4∆ 2 Ω D ( 4∆ 2 Ω 2 ) + i Ω K 2 (1 -4∆ 2 Ω 2 ) ) ]\n\n≈ Im [ χ 0 1 -1 ω sf ( π ∆ 2 Ω + i π 2 Ω ) ] f or Ω >> 2∆ (23)\n\nIn Eq. (23) D ( x ) = K 1 ( x ) -K 2 ( x ) x , and K 1 ( x ) and K 2 ( x ) are Elliptic integrals of first and second kind. The real part of χ is obtained by Kramers-Kronig transform of the imaginary part.\n\nSubstituting Eq 6 for χ ( q, Ω) into the formula for the self-energy one obtains Σ '' ( ω ) in a SCS state as a sum of two terms 31\n\nΣ '' ( ω ) = Σ '' A ( ω ) + Σ '' B ( ω ) (24)\n\nwhere,\n\ncomes from the interaction with the resonance and\n\nΣ '' A ( ω ) = πZ o 2 λ n ω o Re ( ω + ω o √ ( ω + ω o ) 2 -∆ 2 )\n\nΣ '' B ( ω ) = -λ n ∫ | E | 2∆ dxRe ω + x √ ( ω + x ) 2 -∆ 2 x ω sf K 2 ( 1 -4∆ 2 x 2 ) [ 1 -4∆ 2 xω sf D ( 4∆ 2 x 2 ) ] 2 + [ x ω sf K 2 ( 1 -4∆ 2 x 2 ) ] 2 (25)\n\ncomes from the interaction with the gaped continuum.\n\nThe real part of Σ is obtained by Kramers-Kronig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 4: Top - a conductivity plot for the BCSI case in the presence of a lattice. The parameters are ∆ = 30 meV , Γ = 3 . 5 meV . Bottom - the behavior of Kubo sums. Note that (a) the spectral weight in the NS is always greater in the SCS, (b) the spectral weight decreases with Γ, and (c) the difference between NS and SCS decreases as Γ increases.\n\n\n\nlittle variation of ∆ W ( ω c ) at above 0 . 1 -0 . 3 eV what implies that for larger ω c , ∆ W ( ω c ) ≈ ∆ W K >> ∆ f ( ω c ).\n\nTo make this more quantitative, we compare in Fig. 6 ∆ W ( ω c ) obtained for a constant DOS, when ∆ W ( ω c ) = ∆ f ( ω c ), and for the actual lattice dispersion, when ∆ W ( ω c ) = ∆ W K + ∆ f ( ω c ). In the clean limit there is obviously little cutoff dependence beyond 0 . 1 eV , i.e., ∆ f ( ω c ) is truly small, and the difference between the two cases is just ∆ W K . In the dirty limit, the situation is similar, but there is obviously more variation with ω c , and ∆ f ( ω c ) becomes truly small only above 0 . 3 eV . Note also that the position of the dip in ∆ W ( ω c ) in the clean limit is at a larger ω c in the presence of the lattice than in a continuum.\n\n## B. The Einstein boson model\n\nWe next consider the case of electrons interacting with a single boson mode which by itself is not affected by superconductivity. The primary candidate for such mode is an optical phonon. The imaginary part of the NS self energy has been discussed numerous times in the literature. We make one simplifying assumption - approximate the DOS by a constant in calculating fermionic self-energy. We will, however, keep the full lattice dispersion in the calculations of the optical integral. The advantage of this\n\nFIG. 5: The evolution of optical integral in NS(top) and SCS(bottom) for BCSI case. Plots are made for clean limit (solid lines, Γ = 3 . 5 meV ) and dirty limit (dashed lines, Γ = 150 meV ) for ∆ = 30 meV . Observe that (a) W (0) = 0 in the NS, but has a non-zero value in the SCS because of the δ -function (this value decreases in the dirty limit), and (b) the flat region in the SCS is due to the fact that σ ' ( ω ) = 0 for Ω < 2∆. Also note that ∼ 90 -95% of the spectral weight is recovered up to 1 eV\n\n\n\napproximation is that the self-energy can be computed analytically. The full self-energy obtained with the lattice dispersion is more involved and can only be obtained numerically, but its structure is quite similar to the one obtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\nΣ( iω ) = -i 2 π λ n ∫ d/epsilon1 k d ( i Ω) χ ( i Ω) G ( /epsilon1 k , iω + i Ω) (13)\n\nwhere\n\nχ ( i Ω) = ω 2 0 ω 2 0 -( i Ω) 2 (14)\n\nand λ n is a dimensionless electron-boson coupling. Integrating and transforming to real frequencies, we obtain\n\nΣ '' ( ω ) = -π 2 λ n ω o Θ( | ω | -ω o )\n\nIn the SCS, we obtain for ω < 0\n\nΣ ' ( ω ) = -1 2 λ n ω o log ∣ ∣ ∣ ∣ ω + ω o ω -ω o ∣ ∣ ∣ ∣ (15)\n\nΣ '' ( ω ) = -π 2 λ n ω o Re ( ω + ω o √ ( ω + ω o ) 2 -∆ 2 )", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "modes of neighboring tetrahedra. And these coupling constants λ x,y,z need to be tuned to produce J x,y,z of the Kitaev model. This is still not easy to implement in solid state systems. At lowest non-trivial order of perturbative expansion, we do get our model (9). Higher order terms in expansion destroy the exact solvability, but may be controlled by the small parameters λ x,y,z /k .\n\n## B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\nIn this Subsection we consider more conventional perturbations, magnetic interactions between the clusters, e.g. the Heisenberg coupling S j · S k with j and k belong to different tetrahedra. This has the advantage over the previous phonon approach for not introducing additional degrees of freedom. But it also has a significant disadvantage: the perturbation does not commute with the cluster Heisenberg Hamiltonian (2), so the cluster singlet subspace will be mixed with other total spin states. In this Subsection we will use the spin-chirality representation (6) for τ z .\n\nAgain consider two clusters j and k . For simplicity of notations define a projection operator P jk = P j P k , where P j,k is projection into the singlet subspace of cluster j and k , respectively, P j,k = ∑ s = ± 1 | τ z j,k = s 〉〈 τ z j,k = s | . For a given perturbation λH perturbation with small parameter λ (in factor λ/J cluster is the expansion parameter), lowest two orders of the perturbation series are\n\nλ P jk H perturbation P jk + λ 2 P jk H perturbation (1 -P jk ) × [0 -H cluster j -H cluster k ] -1 (1 -P jk ) H perturbation P jk (15)\n\nWith proper choice of λ and H perturbation we can generate\n\nthe desired J x,y,z terms in (8) from the first and second order of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z /lscript converts the cluster spin singlet states | τ z = ± 1 〉 into spin-1 states of the cluster. This can be checked by explicit calculations and will not be proved here. For all the perturbations to be considered later, the above mentioned fact can be exploited to replace the factor [0 -H cluster j -H cluster k ] -1 in the second order perturbation to a c -number ( -2 J cluster ) -1 .\n\nThe detailed calculations are given in Appendix B. We will only list the results here.\n\nThe perturbation on x -links is given by\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) .\n\nwhere λ x = √ 12 | J x | · J cluster , sgn( J x ) = ± 1 is the sign of J x .\n\nThe perturbation on y -links is\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster .\n\nThe perturbation on z -links is\n\nλ z H perturbation , z = λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) .\n\nwith\n\nλ z = 4 √ | J z | · J cluster . The entire Hamiltonian H magnetic reads explicitly as,\n\nH magnetic = ∑ cluster j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + ∑ x -links {√ 12 | J x | · J cluster [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 ) ] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) } + ∑ y -links { √ 4 | J y | · J cluster [ S j 1 · ( S k 3 -S k 4 ) + sgn( J y ) S k 1 · ( S j 3 -S j 4 ) ] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 ) } + ∑ z -links { 4 √ | J z | · J cluster [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) S k 2 · ( S j 3 × S j 4 ) ] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) } . (16)\n\nIn (16), we have been able to reduce the four spin interactions in (8) to inter-cluster Heisenberg interactions, and the six-spin interactions in (8) to inter-cluster spinchirality interactions. The inter-cluster Heisenberg couplings in H perturbation x,y may be easier to arrange. The", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "λ\n\nFIG. 17: Conductivities and ∆ W for a fixed λω sf . Top ω sf = 26 meV , λ = 1, ω o = 40 meV , Z o = 0 . 77 Bottom ω sf = 2 . 6 meV , λ = 10, ω o = 13 . 5 meV , Z o = 1 . 22. The zero crossing for ∆ W is not affected by a change in λ because it is determined only by λω sf . We set ∆ = 30 meV .\n\n\n\nFIG. 18: The behavior of Kubo sums in the CB model. Note that the spectral weight in the NS is always larger than in the SCS. We set ω sf = 26 meV , λ = 1, and ∆ = 30 meV .\n\n\n\nWe performed the same calculations of conductivities and optical integrals as in the previous three cases. The results are summarized in Figs. 17 - 22. Fig 17 shows conductivities in the NS and the SCS for two couplings λ = 1 and λ = 10 (keeping λω sf constant). Other parameters Z o and ω o are calculated according to the discussion after Eq 21. for ω sf = 26 meV , λ = 1, we find ω o = 40 meV , Z o = 0 . 77. And for ω sf = 2 . 6 meV , λ = 10, we find ω o = 13 . 5 meV , Z o = 1 . 22. Note that the conductivity in the SCS starts at 2∆ + ω o (i.e. the resonance energy\n\nFIG. 19: The evolution of the optical integrals in the NS and the SCS in the CB model. Note that about ∼ 75% of the spectral weight is recovered up to 1 eV . We set ω sf = 26 meV , λ = 1, and ∆ = 30 meV .\n\n\n\n1\n\nFIG. 20: ∆ W (in meV) for λ = 1(top) and λ = 10(bottom). We used ω sf = 26 meV/λ and ∆ = 30 meV . The zero crossing is not affected because we keep λω sf constant. The notable difference is the widening of the dip at a larger λ .\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "1001.0764.pdf" - }, - { - "text": "## III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W ( ω c ) ∝ ∫ ω c o σ ( ω ) dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆ W K = ∆ W ( ∞ ) between the normal and superconducting states and what is the behavior of W ( ω c ) and ∆ W ( ω c ) at finite ω c . In a weak coupling BCS superconductor, ∆ W ( ω c ) is positive at ω c < 2∆ due to a contribution from superfluid density, but becomes negative at larger ω c , and approach a negative value of ∆ W K . Our study was motivated by fascinating optical experiments on the cuprates 7-10 . In overdoped cuprates, there is clear indication 11 that ∆ W ( ω c ) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued 8,9 that ∆ W integrated up to the bandwidth remains positive, while the other group argued 10 that it is negative.\n\nThe reasoning why ∆ W K may potentially change sign at strong coupling involves the correlation between -W K and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence -W K increases, and ∆ W K is negative. At strong coupling, there is a counter effect - fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆ W K is negative, but how it evolves with ω c and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW ( ω c ) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆ W ( ω c ) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W , and ∆ W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models - a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ω c ) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ω c equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆ W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆ W . In all models we studied ∆ W is positive at small ω c , then crosses zero and approaches a negative value at large ω c , i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n## I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper 1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ (Ω) and found that it is independent on the nature of the interactions and reduces to\n\n∫ ∞ 0 Reσ (Ω) d Ω = π 2 ne 2 m (1)\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state - henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ (Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ (Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule: 2,3\n\n∫ ∞ 0+ Reσ NS (Ω) = ∫ ∞ 0+ Reσ sc (Ω) + πn s e 2 2 m (2)\n\nwhere n s is the superfluid density, and πn s e 2 / (2 m ) is\n\nthe spectral weight under the δ -functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the 'band', or Kubo sum rule\n\n∫ ' ∞ ' 0 Reσ (Ω) d Ω = W K = πe 2 2 N ∑ /vector k ∇ 2 /vector k x ε /vector k n /vector k (3)", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "## A. Generate the High Order Terms by Coupling to Optical Phonon.\n\nIn this Subsection we regard each four-spin cluster as a tetrahedron, and consider possible optical phonon modes(distortions) and their couplings to the spin system. The basic idea is that the intra-cluster Heisenberg coupling J cluster can linearly depend on the distance between physical spins. Therefore certain distortions of the tetrahedron couple to certain linear combinations of S /lscript · S m . Integrating out phonon modes will then generate high order spin interactions. This idea has been extensively studied and applied to several magnetic materials 28-34 . More details can be found in a recent review by Tchernyshyov and Chern 35 . And we will frequently use their notations. In this Subsection we will use the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins 1 , . . . , 4. The general distortions of this tetrahedron can be classified by their symmetry (see for example Ref. 35 ). Only two tetragonal to orthorhombic distortion modes, Q E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudospins defined in Section II. A complete analysis of all modes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆ W K - the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ . For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW ( ω c ) to the increase of λ is merely the consequence of the fact that above we kept λω sf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ ' = λω , Σ' = λ 2 ω 2 / ( λω sf ), and both Σ ' and Σ '' increase with λ if we keep λω sf constant. But at frequencies larger than ω sf , which we actually probe by ∆ W ( ω c ), the selfenergy essentially depends only on λω sf , and increasing λ but keeping λω sf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λω sf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ /greatermuch 1 but also the normal state Σ NS ( ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ω sf and re-did the calculation of the conductivities and optical integrals. The results for σ ( ω ) and ∆ W ( ω c ) are presented in Fig. 22. We found the same behavior as before, i.e., ∆ W K is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆ W ( ω c ). In particular, for the same λ and ω sf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0 . 8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆ W ( ω c ) changes sign can well be larger than the bandwidth of 1 eV in which case ∆ W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆ W K becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆ W ( ω c ) is predominantly governed by ∆ f ( ω c ), i.e. by the cut-off term. 50 The implication is that, to first approximation, ∆ W K can be neglected and positive ∆ W ( w c ) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆ W ( ω c ) and the behavior of the difference of the kinetic energy between the SCS and the NS, δ KE . We computed the kinetic energy as a function of λω sf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS likeδ KE > 0 and increases with increasing λω sf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λω sf and eventually changes sign. The behavior of δ KE at a truly strong coupling is\n\nconsistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility 43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆ W ( ω c ) at a truly strong coupling is correlated with the non-BCS behavior of δ KE . At the same time, the behavior of δW ( ω c ) is obviously not driven by the kinetic energy as eventually δW ( ω c ) changes sign and become negative. Rather, the increase in the frequency range where ∆ W ( ω c ) remains positive and non-BCS behavior of δ KE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n## III. CONCLUSION", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "The results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top σ ( ω ) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: i Γ term transforms into Γ √ -ω 2 +∆ 2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom - the behavior of Kubo sum with Γ. Observe that W ( ω c ) in the NS is larger than in the SCS.\n\n\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ω c for the 'corrected' MFLI model. Now ∆ W ( ω c ) is negative above some frequency. Parameters are same as in the Fig 15.\n\n\n\nmodel, where W K is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to Γ √ -ω 2 +∆ 2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state with-\n\nrst deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆ W K < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆ W K and of the kinetic energy 43 . It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n## D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel 31,44,45 . This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below T c because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity 32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆ W K . Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of W K in a SCS. If this increase exceeds a conventional loss of W K due to a gap opening, the total ∆ W K may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = ( π, π ). This version of a CB boson is commonly known as a spin-fermion model. This model yields d x 2 -y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure in the ARPES profile in the SCS 31,32,46,47 . In our analysis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What was the optical integral analysis proposed by Norman and Pépin?", - "target_page": 8, - "target_passage": "a phenomenological model for the self energy which fits normal state scattering rate measure- ments by ARPES", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "an energy of interband transitions, which is roughly 2 eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆ W ( ω c ). The last section presents our conclusions.\n\n## II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature 21-23,26,29 and we\n\njust list the formulas that we used in our computations. The conductivity σ (Ω) and the optical integral W ( ω c ) are given by (see for example Ref. 35).\n\nσ ' (Ω) = Im [ -Π(Ω) Ω+ iδ ] = -Π '' (Ω) Ω + πδ (Ω) Π ' (Ω) (7a)\n\nW ( ω c ) = ∫ ω c 0 σ ' (Ω) d Ω = -∫ ω c 0+ Π '' (Ω) Ω d Ω + π 2 Π ' (0) (7b)\n\nwhere ' X ' ' and ' X '' ' stand for real and imaginary parts of X . We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\nΠ( i Ω) = T ∑ ω ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ( G ( iω, /vector k ) G ( iω + i Ω , /vector k ) + F ( iω, /vector k ) F ( iω + i Ω , /vector k ) ) (8a)\n\nΠ ' (Ω) = 1 π 2 ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ ' ∫ ' dxdy ( G '' ( x, /vector k ) G '' ( y, /vector k ) + F '' ( x, /vector k ) F '' ( y, /vector k ) ) n F ( y ) -n F ( x ) y -x (8c)\n\nΠ '' (Ω) = -1 π ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ 0 -Ω dω ( G '' ( ω, /vector k ) G '' ( ω +Ω , /vector k ) + F '' ( ω, /vector k ) F '' ( ω +Ω , /vector k ) ) (8b)\n\nwhere ∫ ' denotes the principal value of the integral, ∑ /vector k is understood to be 1 N ∑ /vector k ,( N is the number of lattice sites), n F ( x ) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by 37\n\nFor a NS, G ( ω, /vector k ) = 1 ω -Σ( k, ω ) -ε /vector k + iδ (9a)\n\nFor a SCS, G ( ω, /vector k ) = Z k,ω ω + ε /vector k Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9b)\n\nF ( ω, /vector k ) = Z k,ω ∆ k,ω Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9c)\n\nwhere Z k,ω = 1 -Σ( k,ω ) ω , and ∆ k,ω , is the SC gap. Following earlier works 31,33 , we assume that the fermionic self-energy Σ( k, ω ) predominantly depends on frequency and approximate Σ( k, ω ) ≈ Σ( ω ) and also neglect the frequency dependence of the gap, i.e., approximate ∆ k,ω by a d -wave ∆ k . The lattice dispersion ε /vector k is taken from Ref. 38. To calculate W K , one has to evaluate the Kubo term in Eq.3 wherein the distribution function n /vector k , is calculated from\n\nn ( ε /vector k ) = -2 ∫ 0 -∞ dω 2 π G '' ( ω, /vector k ) (10)\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe /vector k -summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing ∫ d 2 k = d Ω k d/epsilon1 k ν /epsilon1 k , Ω k and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W ( ω c ) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute W K in NS and SCS. This will tell us about the magnitude of ∆ W ( ω c = ∞ ). We next compute the conductivity σ ( ω ) using the equations listed above, find W ( ω c ) and ∆ W ( ω c ) and compare ∆ f ( ω c ) and ∆ W K .", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "The analysis of the optical integral showed that in overdoped cuprates it definitely decreases below T c , in consistency with the expectations at weak coupling 11 . For underdoped cuprates, all experimental groups agree that a relative change of the optical integral below T c gets much smaller. There is no agreement yet about the sign of the change of the optical integral : Molegraaf et al. 8 and Santander-Syro et al. 9 argued that the optical integral increases below T c , while Boris et al. 10 argued that it decreases.\n\nTheoretical analysis of these results 21,22,25,28,30 added one more degree of complexity to the issue. It is tempting to analyze the temperature dependence of W K and relate it to the observed behavior of the optical integral, and some earlier works 25,28,30 followed this route. In the experiments, however, optical conductivity is integrated only up to a certain frequency ω c , and the quantity which is actually measured is\n\nW ( ω c ) = ∫ ω c 0 Reσ (Ω) d Ω = W K + f ( ω c ) f ( ω c ) = -∫ ' ∞ ' ω c Reσ (Ω) d Ω (4)\n\nThe Kubo formula, Eq. (3) is obtained assuming that the second part is negligible. This is not guaranteed, however, as typical ω c ∼ 1 -2 eV are comparable to the bandwidth.\n\nThe differential sum rule ∆ W is also a sum of two terms\n\n∆ W ( ω c ) = ∆ W K +∆ f ( ω c ) (5)\n\nwhere ∆ W K is the variation of the r.h.s. of Eq. 3, and ∆ f ( ω c ) is the variation of the cutoff term. Because conductivity changes with T at all frequencies, ∆ f ( ω c ) also varies with temperature. It then becomes the issue whether the experimentally observed ∆ W ( ω c ) is predominantly due to 'intrinsic' ∆ W K , or to ∆ f ( ω c ). [A third possibility is non-applicability of the Kubo formula because of the close proximity of other bands, but we will not dwell on this.]\n\nFor the NS, previous works 21,22 on particular models for the cuprates indicated that the origin of the temperature dependence of W ( ω c ) is likely the T dependence of the cutoff term f ( ω c ). Specifically, Norman et. al. 22 approximated a fermionic DOS by a constant (in which", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0764.pdf" - }, - { - "text": "∆\n\nFIG. 6: Evolution of ∆ W in the presence of a lattice (solid line) compared with the case of no lattice(a constant DOS, dashed line) for clean and dirty limits. ∆ = 30 meV , Γ = 3 . 5 meV (clean limit), Γ = 150 meV (dirty limit)\n\n\n\nΣ ' ( ω ) = -1 2 λ n ω o Re ∫ dω ' 1 ω 2 o -ω ' 2 -iδ ω + ω ' √ ( ω + ω ' ) 2 -∆ 2 (16)\n\nObserve that Σ '' ( ω ) is no-zero only for ω < -ω o -∆. Also, although it does not straightforwardly follow from Eq. 16, but real and imaginary parts of the self-energy do satisfy Σ ' ( ω ) = -Σ ' ( -ω ) and Σ '' ( ω ) = Σ '' ( -ω ).\n\nFig7 shows conductivities σ ( ω ) and Kubo sums W K as a function of the dimensionless coupling λ . We see that, like in the previous case, the Kubo sum in the NS is larger than that in the SCS. The difference ∆ W K is between 5 and 8 meV.\n\nFig 8 shows the evolution of the optical integrals. Here we see the difference with the BCSI model - only about 75% of the optical integral is recovered, both in the NS and SCS, when we integrate up to the bandwidth of 1 eV . The rest comes from higher frequencies.\n\nIn Fig 9 we plot ∆ W ( ω c ) as a function of ω c . We see the same behavior as in the BCSI model in a clean limit - ∆ W ( ω c ) is positive at small frequencies, crosses zero at some ω c , passes through a deep minimum at a larger frequency, and eventually saturates at a negative value at the largest w c . However, in distinction to BCSI model, ∆ W ( ω c ) keeps varying with ω c up a much larger scale and saturates only at around 0 . 8 eV . In between the dip at 0 . 1 eV and 0 . 8 eV , the behavior of the optical integral is predominantly determined by the variation of the cut-off term ∆ f ( ω c ) as evidenced by a close similarity between the behavior of the actual ∆ W and ∆ W in the absence\n\n1\n\nFIG. 7: Top- conductivities in the NS and the SCS for the EB model. The conductivity in the NS vanishes below ω 0 because of no phase space for scattering. Bottom - Kubo sums as a function of coupling. Observe that W K in the SCS is below that in the NS. We set ω o = 40 meV , ∆ = 30 meV , λ = . 5\n\n\n\nFIG. 8: Evolution of the optical integrals in the EB model. Note that W (0) has a non zero value at T = 0 in the NS because the self-energy at small frequencies is purely real and linear in ω , hence the polarization bubble Π(0) = 0, as in an ideal Fermi gas. Parameters are the same as in fig. 7\n\n\n\nc\n\n/negationslash", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0764.pdf" - }, - { - "text": "## C ORNING T ECHNOLOGIES\n\n\n\nEnvironmental T overall R&D investment. We 1970s. Today emission control business is today in Erwin, N.Y in support of this great diesel opportunity.\n\nOur Semiconductor Optics business - with some exciting new and continued breakthroughs in the creation of HPFS ® fused silica -chemistry and metrology.\n\n\n\nS EMICONDUCTOR O PTICS: CALCIUM FLUORIDE CRYSTALS\n\n\n\n\n\nE NABLING : MICROCIRCUIT LINES AT 1/1000 THE WIDTH OF A HUMAN HAIR\n\n\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "and 640-nm diode lasers. Full thickness, tiled, confocal image stacks with a 2- to 3m m interval in the Z-axis were obtained through a 20 3 dry lens (0.8 NA) with the confocal aperture set to 1 Airy unit or less. All image capture was performed using Zen Blue Edition software (Carl Zeiss Microscopy GmbH, Jena, Germany), and analyses were performed using Zen Blue or FIJI. 45\n\n## 2.5. Image analysis\n\nDuring all image quantification, the experimenter was blind to the experimental groups. For quantification of the total number of cells within the DRG, a modified optical dissector stereological method was used 11,18,47 (Fig. S1, http://links.lww.com/PAIN/C84). To account for tissue shrinkage during processing, the mean thickness ( t ) of each section on one slide (ie, 1 in 5 sections) was calculated by taking the mean of the thickest and thinnest cell-containing regions (ie, not fiber tract-containing regions) of the section (NB: no optical correction to thickness was applied; given the use of a dry lens, this value will not reflect actual section thickness, though this was kept consistent throughout the study). The cell-containing, crosssectional area ( a ) was then calculated, using the middle optical section from the series and drawing around the cell-containing regions. Section volume ( Vsec ) was then calculated:\n\nVsec ¼ t 3 a\n\nUsing the Cavalieri principle, the cell-containing volume of the DRG was calculated 11 :\n\nVDRG ¼ /C22 a 3 /C22 t 3 l\n\nwhere /C22 a 5 mean cell-containing cross-sectional area, /C22 t 5 mean section thickness, and l 5 'length' of the DRG (determined from the total number of sections collected). The number of neurons per section ( Nsec ) was quantified in all immunostained sections. This included only neurons with a visible nucleus (in the NeuN channel), excluded cells with a nucleus visible within the top frame of the Z-stack, and included any neurons with a nucleus visible in any other field within Z-stack, including the bottom frame of Z-stack. The cell density or the number of cells per unit vol ( N v) was then calculated:\n\nNv ¼ Nsec Vsec\n\nFinally, the total number of cells per DRG ( NDRG ) was calculated:\n\nNDRG ¼ Nv 3 VDRG\n\nFor quantification of the proportion of FB-labelled cells colabelled with afferent subpopulation markers, initially, the total number of FB-filled neuronal cell profiles with a visible nucleus anywhere within the section was counted, with the observer blind to other channels. The other channel was then revealed, and instances of co-labelling were quantified. No stereological correction was applied, given that the similar size of neuronal nuclei would prevent over-counts of large neurons and that no comparisons of the total number of labelled cells were made. For soma area analyses, the area of neuronal soma expressing the appropriate marker was measured in the optical section within the Z-stack in which that neuron was at its largest, by drawing around the perimeter of the neuron in Fiji/ImageJ v2.14.0/1.54f.\n\n## 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks postSNItrans for whole DRG analyses. In this study, tissue was extracted", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "1\n\nFIG. 11: The evolution of the optical integral in the NS (top) and the SCS (bottom) in the original MFLI model. Parameters are the same as above. Note that only ∼ 75 -80% of the spectral weight is recovered up to 1 eV .\n\n\n\nFIG. 12: Evolution of the difference of the optical integrals in the SCS and the NS with the upper cut-off ω c . Parameters are the same as before. Observe that the optical sum in the SCS is larger than in the NS and that ∆ W has not yet reached ∆ W K up to the bandwidth. The dashed line is the FGT result.\n\n\n\nc\n\nThis clearly affects n k because it is expressed via the full Green's function and competes with the conventional effect of the gap opening. The distribution function from this model, which we show in Fig.2b brings this point out by showing that in a MFLI model, at /epsilon1 < 0, n k in a superconductor is larger than n k in the normal state, in clear difference with the BCSI case.\n\nWe analyzed the original MFLI model for various parameters and found that the behavior presented in Fig. 12, where ∆ W ( ω c ) > 0 for all frequencies, is typical but\n\nFIG. 13: Behavior of W K with Γ for the original MFLI model at very small α = 0 . 05. We set ω 1 = ∆ = 32 meV . Observe the inconsistency with W K in the BCSI model in Fig 4.\n\n\n\nFIG. 14: The special case of α = 1 . 5,Γ = 5 meV , other parameters the same as in Fig. 10. These parameters are chosen to illustrate that two sign changes (indicated by arrows in the figure) are also possible within the original MFLI model.\n\n\n\nnot not a generic one. There exists a range of parameters α and Γ where ∆ W K is still positive, but ∆ W ( ω c ) changes the sign twice and is negative at intermediate frequencies. We show an example of such behavior in Fig14. Still, for most of the parameters, the behavior of ∆ W ( ω c ) is the same as in Fig. 12.\n\nOn more careful looking we found the problem with the original MFLI model. We recall that in this model the self-energy in the SCS state was obtained by just cutting the NS self energy at ω 1 (see Eq.18). We argue that this phenomenological formalism is not fully consistent, at least for small α . Indeed, for α = 0, the MFLI model reduces to BCSI model for which the behavior of the selfenergy is given by Eq. (12). This self-energy evolves with ω and Σ '' has a square-root singularity at ω = ∆ + ω o (with ω o = 0). Meanwhile Σ '' in the original MFLI model in Eq. (18) simply jumps to zero at ω = ω 1 = ∆, and this happens for all values of α including α = 0 where the MFLI and BCSI model should merge. This inconsistency is reflected in Fig 13, where we plot the near-BCS limit of MFLI model by taking a very small α = 0 . 05. We see that the optical integral W K in the SCS still remains larger than in the NS over a wide range of Γ, in clear difference with the exactly known behavior in the BCSI", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0764.pdf" - }, - { - "text": "We also see from Fig. 4 that ∆ W K decreases with Γ reflecting the fact that with too much impurity scattering there is little difference in n k between NS and SCS.\n\nFig 5 shows the optical sum in NS and SCS in clean and dirty limits (the parameters are stated in the figure). This plot shows that the Kubo sums are almost completely recovered by integrating up to the bandwidth of 1 eV : the recovery is 95% in the clean limit and ∼ 90% in the dirty limit. In Fig 6 we plot ∆ W ( ω c ) as a function of ω c in clean and dirty limits. ∆ W ( ∞ ) is now non-zero, in agreement with Fig. 4 and we also see that there is", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W , and ∆ W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models - a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ω c ) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ω c equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆ W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆ W . In all models we studied ∆ W is positive at small ω c , then crosses zero and approaches a negative value at large ω c , i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n## I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper 1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ (Ω) and found that it is independent on the nature of the interactions and reduces to\n\n∫ ∞ 0 Reσ (Ω) d Ω = π 2 ne 2 m (1)\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state - henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ (Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ (Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule: 2,3\n\n∫ ∞ 0+ Reσ NS (Ω) = ∫ ∞ 0+ Reσ sc (Ω) + πn s e 2 2 m (2)\n\nwhere n s is the superfluid density, and πn s e 2 / (2 m ) is\n\nthe spectral weight under the δ -functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the 'band', or Kubo sum rule\n\n∫ ' ∞ ' 0 Reσ (Ω) d Ω = W K = πe 2 2 N ∑ /vector k ∇ 2 /vector k x ε /vector k n /vector k (3)", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "dependence of different samples during the measurement stage. For each temperature we have usually performed three independent simulations, each one containing at least 2 × 10 5 measurements, taken after discarding up to 5 × 10 4 Monte Carlo steps in order to assure thermal equilibration.\n\nIn the proximity of the critical region the multiple histogram (MH) technique was also employed 21 , as it allows us to estimate the physical observables of interest over a whole temperature range in a substantially continuous way by interpolating results obtained from sets of simulations performed at some different temperatures.\n\nFor all the quantities of interest, the average value and the error estimate were obtained by the bootstrap resampling method 22 given that, as pointed out in Ref. 23, for a large enough number of measurements, this method turns out to be more accurate than the usual blocking technique. In our implementation, we pick out randomly a sizable number of measurements (typically, between 1 and 1 × 10 3 for the single simulation, and between 1 and 5 × 10 4 for the MH technique), and iterate the re-sampling at least one hundred times.\n\nThe thermodynamic observables we have investigated include the FM order parameter for each plane l :\n\nm l = √ ( m x l ) 2 +( m y l ) 2 , (2)\n\nwhich is related to the SO (2) symmetry breaking. At the same time, it turns out to be significant also the average order parameter of the film, defined as\n\nM = 1 n n ∑ l =1 m l . (3)\n\nTurning to the helical order, which is the relevant quantity for the Z 2 × SO (2) symmetry, we can explore it along two different directions. The first one is by the introduction of the chirality order parameter 1,2\n\nκ = 1 4( n -1) L 2 sin Q z ∑ 〈 ij 〉 [ S x i S y j -S y i S x j ] , (4)\n\nwhere the sum refers to spins belonging to NN layers i and j , respectively, while Q z is the bulk helical pitch vector along the z direction. The second possibility is that of looking at the integral of the structure factor:\n\nM HM = 1 K ∫ π 0 dq z S ( /vector q ) (5)\n\nwhere S ( /vector q ), with /vectorq = (0 , 0 , q z ), is the structure factor 24 (i.e. the Fourier transform of the spin correlation function) along the z-direction of the film, while the normalization factor K is the structure factor integral at T = 0. Although the use of the last observable can be seen as a suitable and elegant way to overcome the intrinsic difficulties met in defining a correct helical order parameter, free of any undue external bias (as the wave-vector Q z\n\nFIG. 2: (color online) Specific heat c v per spin vs. temperature for thickness n = 16 (for lateral dimension, see the legend inside the figure). Inset: Maximum of c v vs. L obtained through MH technique. The continuum red line is a power law fit.\n\n\n\nentering the definition of κ in Eq. (4)), we remind that such quantity has generally to be managed with particular care, as discussed in details in Refs. 14,15 , where it was shown that the presence of block structures prevents us to unambiguously relate the evolution of S ( /vectorq ) with the onset of helical order. However, for the specific case of the model under investigation such integrated quantity can still be considered a fairly significant order parameter, as no block structures emerge from the simulations (see below).\n\nIn order to get a clear picture of the critical region and to give an accurate estimate of the critical temperature, we look also at the following quantities\n\nc v = nL 2 β 2 ( 〈 e 2 〉 - 〈 e 〉 2 ) , (6)\n\n∂ β o = nL 2 ( 〈 oe 〉 - 〈 o 〉〈 e 〉 ) , (8)\n\nχ o = nL 2 β ( 〈 o 2 〉 - 〈 o 〉 2 ) , (7)\n\nu 4 ( o ) = 1 -〈 o 4 〉 3 〈 o 2 〉 2 , (9)", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0510.pdf" - }, - { - "text": "## SURFACE TUFT PHOTOGRAHS FOR A SWEPT, TAPERED WlNG 60° DELTA, AR=2.31, A=0\n\nFigure 1.33. Std Patterns (sheet 8 018)\n\n\n\na = 0 DEGEES\n\n\n\n\n\n\n\nFROM NACA TN 2674\n\n", - "page_start": 102, - "page_end": 102, - "source_file": "00-80T-80.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0764.pdf", - "query": "What is the Ferrel-Glover-Tinkham sum rule?", - "target_page": 1, - "target_passage": "the redistribution of the spectral weight between normal and superconducting state", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Optical Integral and Sum Rule Violation\n\nSaurabh Maiti, Andrey V. Chubukov\n\nDepartment of Physics, University of Wisconsin, Madison, Wisconsin 53706, USA\n\n(Dated: November 9, 2018)\n\nThe purpose of this work is to investigate the role of the lattice in the optical Kubo sum rule in the cuprates. We compute conductivities, optical integrals W , and ∆ W between superconducting and normal states for 2-D systems with lattice dispersion typical of the cuprates for four different models - a dirty BCS model, a single Einstein boson model, a marginal Fermi liquid model, and a collective boson model with a feedback from superconductivity on a collective boson. The goal of the paper is two-fold. First, we analyze the dependence of W on the upper cut-off ( ω c ) placed on the optical integral because in experiments W is measured up to frequencies of order bandwidth. For a BCS model, the Kubo sum rule is almost fully reproduced at ω c equal to the bandwidth. But for other models only 70%-80% of Kubo sum rule is obtained up to this scale and even less so for ∆ W , implying that the Kubo sum rule has to be applied with caution. Second, we analyze the sign of ∆ W . In all models we studied ∆ W is positive at small ω c , then crosses zero and approaches a negative value at large ω c , i.e. the optical integral in a superconductor is smaller than in a normal state. The point of zero crossing, however, increases with the interaction strength and in a collective boson model becomes comparable to the bandwidth at strong coupling. We argue that this model exhibits the behavior consistent with that in the cuprates.\n\n## I. INTRODUCTION\n\nThe analysis of sum rules for optical conductivity has a long history. Kubo, in an extensive paper 1 in 1957, used a general formalism of a statistical theory of irreversible processes to investigate the behavior of the conductivity in electronic systems. For a system of interacting electrons, he derived the expression for the integral of the real part of a (complex) electric conductivity σ (Ω) and found that it is independent on the nature of the interactions and reduces to\n\n∫ ∞ 0 Reσ (Ω) d Ω = π 2 ne 2 m (1)\n\nHere n is the density of the electrons in the system and m is the bare mass of the electron. This expression is exact provided that the integration extends truly up to infinity, and its derivation uses the obvious fact that at energies higher than the total bandwidth of a solid, electrons behave as free particles.\n\nThe independence of the r.h.s. of Eq. (1) on temperature and the state of a solid (e.g., a normal or a superconducting state - henceforth referred to as NS and SCS respectively) implies that, while the functional form of σ (Ω) changes with, e.g., temperature, the total spectral weight is conserved and only gets redistributed between different frequencies as temperature changes. This conservation of the total weight of σ (Ω) is generally called a sum rule.\n\nOne particular case, studied in detail for conventional superconductors, is the redistribution of the spectral weight between normal and superconducting states. This is known as Ferrel-Glover-Tinkham (FGT) sum rule: 2,3\n\n∫ ∞ 0+ Reσ NS (Ω) = ∫ ∞ 0+ Reσ sc (Ω) + πn s e 2 2 m (2)\n\nwhere n s is the superfluid density, and πn s e 2 / (2 m ) is\n\nthe spectral weight under the δ -functional piece of the conductivity in the superconducting state.\n\nIn practice, the integration up to an infinite frequency is hardly possible, and more relevant issue for practical applications is whether a sum rule is satisfied, at least approximately, for a situation when there is a single electron band which crosses the Fermi level and is well separated from other bands. Kubo considered this case in the same paper of 1957 and derived the expression for the 'band', or Kubo sum rule\n\n∫ ' ∞ ' 0 Reσ (Ω) d Ω = W K = πe 2 2 N ∑ /vector k ∇ 2 /vector k x ε /vector k n /vector k (3)", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "∫ ' ∞ ' 0 Reσ (Ω) d Ω = W K = πe 2 2 N ∑ /vector k ∇ 2 /vector k x ε /vector k n /vector k (3)\n\nwhere n /vector k is the electronic distribution function and ε /vector k is the band dispersion. Prime in the upper limit of the integration has the practical implication that the upper limit is much larger than the bandwidth of a given band which crosses the Fermi level, but smaller than the frequencies of interband transitions. Interactions with external objects, e.g., phonons or impurities, and interactions between fermions are indirectly present in the distribution function which is expressed via the full fermionic Green's function as n /vector k = T ∑ m G ( /vector k, ω m ). For /epsilon1 k = k 2 / 2 m , ∇ 2 /vector k x ε /vector k = 1 /m , W K = πne 2 / (2 m ), and Kubo sum rule reduces to Eq. (1). In general, however, ε /vector k is a lattice dispersion, and Eqs. (1) and (3) are different. Most important, W K in Eq. (3) generally depends on T and on the state of the system because of n /vector k . In this situation, the temperature evolution of the optical integral does not reduce to a simple redistribution of the spectral weight - the whole spectral weight inside the conduction band changes with T . This issue was first studied in detail by Hirsch 4 who introduced the now-frequently-used notation 'violation of the conductivity sum rule'.\n\nIn reality, as already pointed out by Hirsch, there is no true violation as the change of the total spectral weight", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0764.pdf" - }, - { - "text": "E\n\nf 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 -S 1 · S 4 -S 2 · S 3 ) , f E 1 = √ 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3 -2 S 1 · S 2 -2 S 3 · S 4 ) .\n\nThe functions f T 2 1 , 2 , 3 for the T 2 modes are\n\nf T 2 1 = ( S 2 · S 3 -S 1 · S 4 ) , f T 2 2 = ( S 1 · S 3 -S 2 · S 4 ) , f T 2 3 = ( S 1 · S 2 -S 3 · S 4 )\n\nNow we can use TABLE I to convert the above couplings into pseudo-spin. It is easy to see that f A and f T 2 1 , 2 , 3 are all zero when converted to pseudo-spins, namely projected to the physical spin singlet sector. But f E 1 = ( P 14 + P 23 + P 24 + P 13 -2 P 12 -2 P 34 ) / (4 √ 3) = -( √ 3 / 2) τ x and f E 2 = ( P 24 + P 13 -P 14 -P 23 ) / 4 = ( √ 3 / 2) τ y . This has already been noted by Tchernyshyov et al. 28 , only the E modes can lift the degeneracy of the physical spin singlet ground states of the tetrahedron. Therefore the general spin lattice coupling is the form of (12) given in the main text.", - "page_start": 7, - "page_end": 7, - "source_file": "1001.0266.pdf" - }, - { - "text": "an energy of interband transitions, which is roughly 2 eV . This would be consistent with Refs. 8,9.\n\nWe begin with formulating our calculational basis in the next section. Then we take up the four cases and consider in each case the extent to which the Kubo sum is satisfied up to the order of bandwidth and the functional form and the sign of ∆ W ( ω c ). The last section presents our conclusions.\n\n## II. OPTICAL INTEGRAL IN NORMAL AND SUPERCONDUCTING STATES\n\nThe generic formalism of the computation of the optical conductivity and the optical integral has been discussed several times in the literature 21-23,26,29 and we\n\njust list the formulas that we used in our computations. The conductivity σ (Ω) and the optical integral W ( ω c ) are given by (see for example Ref. 35).\n\nσ ' (Ω) = Im [ -Π(Ω) Ω+ iδ ] = -Π '' (Ω) Ω + πδ (Ω) Π ' (Ω) (7a)\n\nW ( ω c ) = ∫ ω c 0 σ ' (Ω) d Ω = -∫ ω c 0+ Π '' (Ω) Ω d Ω + π 2 Π ' (0) (7b)\n\nwhere ' X ' ' and ' X '' ' stand for real and imaginary parts of X . We will restrict with T = 0. The polarization operator Π(Ω) is (see Ref. 36)\n\nΠ( i Ω) = T ∑ ω ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ( G ( iω, /vector k ) G ( iω + i Ω , /vector k ) + F ( iω, /vector k ) F ( iω + i Ω , /vector k ) ) (8a)\n\nΠ ' (Ω) = 1 π 2 ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ ' ∫ ' dxdy ( G '' ( x, /vector k ) G '' ( y, /vector k ) + F '' ( x, /vector k ) F '' ( y, /vector k ) ) n F ( y ) -n F ( x ) y -x (8c)\n\nΠ '' (Ω) = -1 π ∑ /vector k ( ∇ /vector k ε /vector k ) 2 ∫ 0 -Ω dω ( G '' ( ω, /vector k ) G '' ( ω +Ω , /vector k ) + F '' ( ω, /vector k ) F '' ( ω +Ω , /vector k ) ) (8b)\n\nwhere ∫ ' denotes the principal value of the integral, ∑ /vector k is understood to be 1 N ∑ /vector k ,( N is the number of lattice sites), n F ( x ) is the Fermi function which is a step function at zero temperature, G and F are the normal and anomalous Greens functions. given by 37\n\nFor a NS, G ( ω, /vector k ) = 1 ω -Σ( k, ω ) -ε /vector k + iδ (9a)\n\nFor a SCS, G ( ω, /vector k ) = Z k,ω ω + ε /vector k Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9b)\n\nF ( ω, /vector k ) = Z k,ω ∆ k,ω Z 2 k,ω ( ω 2 -∆ 2 k,ω ) -ε 2 /vector k + iδsgn ( ω ) (9c)\n\nwhere Z k,ω = 1 -Σ( k,ω ) ω , and ∆ k,ω , is the SC gap. Following earlier works 31,33 , we assume that the fermionic self-energy Σ( k, ω ) predominantly depends on frequency and approximate Σ( k, ω ) ≈ Σ( ω ) and also neglect the frequency dependence of the gap, i.e., approximate ∆ k,ω by a d -wave ∆ k . The lattice dispersion ε /vector k is taken from Ref. 38. To calculate W K , one has to evaluate the Kubo term in Eq.3 wherein the distribution function n /vector k , is calculated from\n\nn ( ε /vector k ) = -2 ∫ 0 -∞ dω 2 π G '' ( ω, /vector k ) (10)\n\nThe 2 is due to the trace over spin indices. We show the distribution functions in the NS and SCS under different circumstances in Fig 2.\n\nThe /vector k -summation is done over first Brillouin zone for a 2-D lattice with a 62x62 grid. The frequency integrals are done analytically wherever possible, otherwise performed using Simpson's rule for all regular parts. Contributions from the poles are computed separately using Cauchy's theorem. For comparison, in all four cases we also calculated FGT sum rule by replacing ∫ d 2 k = d Ω k d/epsilon1 k ν /epsilon1 k , Ω k and keeping ν constant. We remind that the FGT is the result when one assumes that the integral in W ( ω c ) predominantly comes from a narrow region around the Fermi surface.\n\nWe will first use Eq 3 and compute W K in NS and SCS. This will tell us about the magnitude of ∆ W ( ω c = ∞ ). We next compute the conductivity σ ( ω ) using the equations listed above, find W ( ω c ) and ∆ W ( ω c ) and compare ∆ f ( ω c ) and ∆ W K .", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0764.pdf" - }, - { - "text": "ρ i ρ j g ij ( k ) = ˜ ρ 3 ˜ w ( k ) (1 -δ ij ) + ˜ ρ i ˜ ρ j ˜ g ij ( k ) + ˜ ρ 3 ˜ w ( k / 2) [ ˜ ρ i ˜ g 3 i + ˜ ρ j ˜ g 3 j ] ( k ) (5) + ˜ ρ 2 3 [ ˜ w ( k / 2)] 2 ˜ g 33 ( k )", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "in a given band is compensated by an appropriate change of the spectral weight in other bands such that the total spectral weight, integrated over all bands, is conserved, as in Eq. (1). Still, non-conservation of the spectral weight within a given band is an interesting phenomenon as the degree of non-conservation is an indicator of relevant energy scales in the problem. Indeed, when relevant energy scales are much smaller than the Fermi energy, i.e., changes in the conductivity are confined to a near vicinity of a Fermi surface (FS), one can expand ε k near k F as ε k = v F ( k -k F ) + ( k -k F ) 2 / (2 m B ) + O ( k -k F ) 3 and obtain ∇ 2 /vector k x ε /vector k ≈ 1 /m B [this approximation is equivalent to approximating the density of states (DOS) by a constant]. Then W K becomes πne 2 / (2 m B ) which does not depend on temperature. The scale of the temperature dependence of W K is then an indicator how far in energy the changes in conductivity extend when, e.g., a system evolves from a normal metal to a superconductor. Because relevant energy scales increase with the interaction strength, the temperature dependence of W K is also an indirect indicator of whether a system is in a weak, intermediate, or strong coupling regime.\n\nIn a conventional BCS superconductor the only relevant scales are the superconducting gap ∆ and the impurity scattering rate Γ. Both are generally much smaller than the Fermi energy, so the optical integral should be almost T -independent, i.e., the spectral weight lost in a superconducting state at low frequencies because of gap opening is completely recovered by the zero-frequency δ -function. In a clean limit, the weight which goes into a δ -function is recovered within frequencies up to 4∆. This is the essence of FGT sum rule 2,3 . In a dirty limit, this scale is larger, O (Γ), but still W K is T -independent and there was no 'violation of sum rule'.\n\nThe issue of sum rule attracted substantial interest in the studies of high T c cuprates 5-18,21-26 in which pairing is without doubts a strong coupling phenomenon. From a theoretical perspective, the interest in this issue was originally triggered by a similarity between W K and the kinetic energy K = 2 ∑ ε /vector k n /vector k . 18-20 For a model with a simple tight binding cosine dispersion ε k ∝ (cos k x +cos k y ), d 2 ε /vector k d k 2 x ∼ -ε /vector k and W K = -K . For a more complex dispersion there is no exact relation between W K and K , but several groups argued 17,27,28 that W K can still be regarded as a good monitor for the changes in the kinetic energy. Now, in a BCS superconductor, kinetic energy increases below T c because n k extends to higher frequencies (see Fig.2). At strong coupling, K not necessary increases because of opposite trend associated with the fermionic self-energy: fermions are more mobile in the SCS due to less space for scattering at low energies than they are in the NS. Model calculations show that above some coupling strength, the kinetic energy decreases below T c 29 . While, as we said, there is no one-to-one correspondence between K and W K , it is still likely that, when K decreases, W K increases.\n\nAgood amount of experimental effort has been put into\n\naddressing the issue of the optical sum rule in the c -axis 7 and in-plane conductivities 8-16 in overdoped, optimally doped, and underdoped cuprates. The experimental results demonstrated, above all, outstanding achievements of experimental abilities as these groups managed to detect the value of the optical integral with the accuracy of a fraction of a percent. The analysis of the change of the optical integral between normal and SCS is even more complex because one has to (i) extend NS data to T < T c and (ii) measure superfluid density with the same accuracy as the optical integral itself.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0764.pdf" - }, - { - "text": "|M| 2 = 32 ∣ ∣ ∣ ∣ g 2 B -L q f q N s -M 2 Z ' + iM Z ' Γ Z ' ∣ ∣ ∣ ∣ 2 ( s -4 m 2 N ) ( 3 8 s -1 2 ( s 2 + m 2 ν s ) + 1 2 ( s 4 + m 2 ν s ) cos 2 θ ) +4 λ 2 N λ 2 ν s ∣ ∣ ∣ ∣ ∂ Ψ ∂h i s -M 2 h + iM h Γ h ∂ Ψ ∂h + ∂ Ψ ∂H i s -M 2 H + iM H Γ H ∂ Ψ ∂H ∣ ∣ ∣ ∣ 2 ( s -4 m 2 N )( s -4 m 2 ν s ) . (B3)\n\n## 3. Annihilation into W + W -\n\n|M| 2 = 8 λ 2 N ( 1 2 g 2 v ) 2 ∣ ∣ ∣ ∣ ∂ Ψ ∂h 1 s -M 2 h + iM h Γ h ∂φ ∂h + ∂ Ψ ∂H 1 s -M 2 H + iM H Γ H ∂φ ∂H ∣ ∣ ∣ ∣ 2 ( s -4 m 2 N ) ( 1 + 1 2 M 4 W ( s 2 -M 2 W ) 2 ) . (B4)\n\n## 4. Annihilation into ZZ\n\n|M| 2 = 8 λ 2 N ( 1 4 ( g 2 + g ' 2 ) v ) 2 ∣ ∣ ∣ ∣ ∂ Ψ ∂h 1 s -M 2 h + iM h Γ h ∂φ ∂h + ∂ Ψ ∂H 1 s -M 2 H + iM H Γ H ∂φ ∂H ∣ ∣ ∣ ∣ 2 ( s -4 m 2 N ) ( 1 + 1 2 M 4 Z ( s 2 -M 2 Z ) 2 ) . (B5)\n\n## 5. Annihilation into hh\n\nM 1 denotes the amplitude by s -channel Higgs bosons h and H exchange, while M 2 does that for t ( u )-channel N exchange diagram. The formulas for NN → hH and HH can be obtained by appropriate replacement of the vertexes, e.g., λ hhh → λ hhH .\n\n|M| 2 = |M 1 + M 2 | 2 , (B6) |M 1 | 2 = λ 2 N ( s 2 -2 m 2 N ) ∣ ∣ ∣ ∣ ∂ Ψ ∂h i s -M 2 h + iM h Γ h iλ hhh + ∂ Ψ ∂H i s -M 2 H + iM H Γ H iλ Hhh ∣ ∣ ∣ ∣ 2 , (B7)", - "page_start": 10, - "page_end": 10, - "source_file": "1002.2525.pdf" - }, - { - "text": "this term becomes\n\n-λ 2 6 J cluster · (3 / 4)[3 / 16 + ( τ x / 2 -1 / 4) 2 ] = -( λ 2 ) / (32 J cluster ) · (2 -τ x k ) .\n\nAnother second order perturbation term r 2 λ 2 P jk S k 2 · ( S j 3 × S j 4 )(1 - P jk )[0 -H cluster j -H cluster k ] -1 (1 -P jk ) S k 2 · ( S j 3 × S j 4 ) P jk can be computed in the similar way and gives the result -( r 2 λ 2 ) / (32 J cluster ) · (2 -τ x j ).\n\nFor one of the cross term\n\nr λ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 -P jk ) × [0 -H cluster j -H cluster k ] -1 × (1 -P jk ) S k 2 · ( S j 3 × S j 4 ) P jk\n\nWe can use the previous argument for both cluster j and k , so (1 -P AB )[0 -H cluster j -H cluster k ] -1 (1 -P jk ) can be replace by c -number ( -2 J cluster ) -1 . This term becomes\n\n-r λ 2 2 J cluster P jk [ S j 2 · ( S k 3 × S k 4 )][ S k 2 · ( S j 3 × S j 3 )] P jk .\n\nSpin rotation symmetry again helps to separate the terms for cluster j and k , and we get ( r λ 2 ) / (32 J cluster ) τ z τ z .\n\nThe other cross term r λ P jk S k 2 · ( S j 3 × S j 4 )(1 P jk )[0 -H cluster j -H cluster k ] -1 (1 - P jk ) S j 2 · ( S k 3 S k 4 ) P jk gives the same result.\n\n-· j k 2 -×\n\nIn summary the second order perturbation from λ [ S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )] is\n\n-r λ 2 16 J cluster · τ z j τ z k + λ 2 32 J cluster ( τ x k + r 2 τ x j -2 r 2 -2) .\n\n - 1 Alexei Kitaev, Ann. Phys. (N.Y.) 321 , 2 (2006).\n - 2 Xiao-Yong Feng, Guang-Ming Zhang, Tao Xiang, Phys. Rev. Lett. 98 , 087204 (2007).\n - 3 Han-Dong Chen, Zohar Nussinov, J. Phys. A: Math. Theor. 41 , 075001 (2008).\n - 4 Dung-Hai Lee, Guang-Ming Zhang, Tao Xiang, Phys. Rev. Lett. 99 , 196805 (2007).\n - 5 Yue Yu, Nucl. Phys. B 799 , 345 (2008).\n - 6 Yue Yu, Ziqiang Wang, Europhys. Lett. 84 , 57002 (2008).\n - 7 G. Kells, J. K. Slingerland, J. Vala, Phys. Rev. B 80 , 125415 (2009).\n - 8 Han-Dong Chen, B. Wang, S. Das Sarma, arXiv:0906.0017 (2009).\n - 9 K.P. Schmidt, S. Dusuel, and J. Vidal, Phys. Rev. Lett. 100 , 057208 (2008); J. Vidal, K.P. Schmidt, and S. Dusuel, Phys. Rev. B 78 , 245121 (2008); S. Dusuel, K.P. Schmidt, J. Vidal, and R.L. Zaffino, Phys. Rev. B 78 , 125102 (2008).\n - 10 Hong Yao, Steven A. Kivelson, Phys. Rev. Lett. 99 , 247203 (2007).\n - 11 S. Yang, D. L. Zhou, C. P. Sun, Phys. Rev. B 76 , 180404(R) (2007).\n - 12 Hong Yao, Shou-Cheng Zhang, Steven A. Kivelson, Phys. Rev. Lett. 102 , 217202 (2009).\n - 13 Zohar Nussinov, Gerardo Ortiz, Phys. Rev. B 79 , 214440\n\nUsing this result we can choose the following perturbation on z -links,\n\nλ z H perturbation , z = λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ z = 4 √ | J z | J cluster , r = sgn( J z ) is the sign of J z . The last term on the right-hand-side is to cancel the nontrivial terms ( r 2 τ x j + τ x k ) λ 2 z / (32 J cluster ) from the second order perturbation of the first term. Up to second order perturbation this will produce -J z τ z j τ z k interactions.\n\nFinally we have been able to reduce the high order interactions to at most three spin terms, the Hamiltonian H magnetic is\n\nH magnetic = ∑ j H cluster j + ∑ x -links λ x H perturbation x + ∑ y -links λ y H perturbation y + ∑ z -links λ z H perturbation z\n\nwhere H cluster j are given by (2), λ x,y,z H perturbation x,y,z are given above. Plug in relevant equations we get (16) in Subsection IV B.\n\n(2009).", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0266.pdf" - }, - { - "text": "divergence between the approximate posterior q ( s ) and the exact posterior, which is also sometimes called the perceptual divergence:\n\nD KL [ q ( s ) ∥ p ( s | o )] = ∑ s q ( s ) ln q ( s ) p ( s | o ) (2)\n\nIt is a property of the KL divergence that the two distributions are identical when D KL [ q ( s ) ∥ p ( s | o )] = 0. Minimising this divergence then corresponds to approximating the exact posterior p ( s | o ) with q ( s ) . We cannot evaluate this divergence directly since the exact posterior is still unknown. We therefore replace the expression of the exact posterior with the right-hand side of Equation (1). Note that here we use the joint likelihood p ( o , s ) notation, fraction rule a b = a b ∗ c and logarithmic rule ln ( a ∗ b ) = ln a + ln b :\n\nc\n\n∑ s q ( s ) ln q ( s ) p ( o , s ) p ( o ) = ∑ s q ( s ) ln q ( s ) p ( o , s ) + ln p ( o ) (3)\n\nWe can now rewrite the first term of the right-hand side as the KL divergence of the approximate posterior from the joint likelihood, which is equal to the expression used in Equation (2):\n\nD KL [ q ( s ) ∥ p ( s | o )] = D KL [ q ( s ) ∥ p ( o , s )] + ln p ( o ) (4)\n\nWe now define the VFE ( F [ q ( s ) , o ]) as the KL divergence of the approximate posterior from the joint likelihood. The VFE is only a function of q ( s ) and o (and the generative model m ), and we can therefore calculate it without knowing the model evidence p ( o ) :\n\nF ≜ D KL [ q ( s ) ∥ p ( o , s )] = ∑ s q ( s ) ln q ( s ) p ( o , s ) (5)\n\nThe probability-weighted sum can be rewritten as an expectation, and the joint likelihood can be decomposed into a prior and a likelihood:\n\nF ≜ E q ( s ) [ ln q ( s ) p ( o , s ) ] = E q ( s ) [ ln q ( s ) -ln p ( o | s ) -ln p ( s )] (6)\n\nWe can now combine our definition of VFE with Equation (4):\n\nD KL [ q ( s ) ∥ p ( s | o )] = F [ q ( s ) , o ] + ln p ( o ) (7)\n\nFinally, we can reorganise this equation to show that the VFE is the sum of the divergence of the approximation posterior and exact posterior (if we could perform exact inference, this is what we would obtain) and the surprise ℑ = -ln ( p ( o )) (the negative log model evidence):\n\nF [ q ( s ) , o ] = D KL [ q ( s ) ∥ p ( s | o )] ︸ ︷︷ ︸ Divergence -ln p ( o ) ︸ ︷︷ ︸ Surprise (8)\n\nSince the KL divergence is non-negative, the VFE becomes an upper bound on the surprise:\n\nF [ q ( s ) , o ] ≥ -ln p ( o ) (9)\n\nBy rearranging the parts of this expression, we can express the VFE as a balance between the complexity and accuracy, where the accuracy is how well the model predicts observation, and the complexity is how much the beliefs need to change in order to maintain a high accuracy:", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "## Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λH perturbation = λ [ S j 1 · S k 1 + r ( S j 2 · S k 2 )], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of H perturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k . Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 - P jk )[0 -H cluster j -H cluster k ] -1 (1 - P jk ) can be replaced by a c -number ( -2 J cluster ) -1 . Therefore the perturbation up to second order is\n\n-λ 2 2 J cluster P jk ( H perturbation ) 2 P jk\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes ( a, b = x, y, z ),\n\n-λ 2 2 J cluster ∑ a,b [ P j S a j 1 S b j 1 P j · P k S a k 1 S b k 1 P k +2 r P j S a j 1 S b j 2 P j · P k S a k 1 S b k 2 P k + r 2 P j S a j 2 S b j 2 P j · P k S a k 2 S b k 2 P k ]\n\nThen use the fact that P j S a j/lscript S b jm P j = δ ab (1 / 3) P j ( S j/lscript · S jm ) P j by spin rotation symmetry, the perturbation becomes\n\n-λ 2 6 J cluster [ 9 + 9 r 2 16 +2 r P jk ( S j 1 · S j 2 )( S k 1 · S k 2 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 16 +( r/ 2) τ x j τ x k -r/ 2 -r P jk ( S j 1 · S j 2 + S k 1 · S k 2 ) P jk ] .\n\nSo we can choose -( r λ 2 ) / (12 J cluster ) = -J x , and include the last intra-cluster S j 1 · S j 2 + S k 1 · S k 2 term in the first order perturbation.\n\nThe perturbation on x -links is then (not unique),\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 )\n\nwith λ x = √ 12 | J x | · J cluster , and r = sgn( J x ) is the sign of J x . The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on y -links, λH perturbation = λ [ S j 1 · ( S k 3 -S k 4 ) + r S k 1 · ( S j 3 -S j 4 )]. Following similar procedures we get the second order perturbation from this term\n\n-λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r P jk [ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] P jk -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r (3 / 4) τ y j τ y k -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ]\n\nSo we can choose -( r λ 2 ) / (4 J cluster ) = -J y , and include the last intra-cluster S k 3 · S k 4 + r 2 S j 3 · S j 4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y -links (not unique),\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster , r = sgn( J y ) is the sign of J y . The τ z j τ z k term is again more difficult to get. We use the representation of τ z by spin-chirality (6). And consider the following perturbation\n\nH perturbation = S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\nλ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 -P jk ) × [0 -H cluster j -H cluster k ] -1 × (1 -P jk ) S j 2 · ( S k 3 × S k 4 ) P jk", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "What does Kitaev show about spin- 1/2 model?", - "target_page": 1, - "target_passage": "spin- 1/2 model can be mapped to a model with one Majo- rana fermion per site coupled to Ising gauge fields on the links", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "FIG. 1: The honeycomb lattice for the Kitaev model. Filled and open circles indicate two sublattices. x, y, z label the links along three different directions used in (1).\n\n\n\nderived as well. There have been several proposals to open the fermion gap for the non-Abelian phase without spoiling exact solvability 4,6 . And many generalizations to other(even 3D) lattices have been developed in the last few years 10-16 . All these efforts have significantly enriched our knowledge of exactly solvable models and quantum phases of matter.\n\nHowever, in the original Kitaev model and its later generalizations in the form of spin models, spin rotation symmetry is explicitly broken. This makes them harder to realize in solid state systems. There are many proposals to realized the Kitaev model in more controllable situations, e.g. in cold atom optical lattices 17,18 , or in superconducting circuits 19 . But it is still desirable for theoretical curiosity and practical purposes to realize the Kitaev-type models in spin rotation invariant systems.\n\nIn this paper we realize the Kitaev honeycomb lattice model as the low energy Hamiltonian for a spin rotation invariant system. The trick is not to use the physical spin as the spin in the Kitaev model, instead the spin-1/2 in Kitaev model is from some emergent two-fold degenerate low energy states in the elementary unit of physical system. This type of idea has been explored recently by Jackeli and Khaliullin 20 , in which the spin-1/2 in the Kitaev model is the low energy Kramers doublet created by strong spin-orbit coupling of t 2 g orbitals. In the model presented below, the Hilbert space of spin-1/2 in the Kitaev model is actually the two dimensional spin singlet sector of four antiferromagnetically coupled spin-1/2 moments, and the role of spin-1/2 operators(Pauli matrices) in the Kitaev model is replaced by certain combinations of S j · S k [or the spin-chirality S j · ( S k × S /lscript )] between the four spins.\n\nOne major drawback of the model to be presented is that it contains high order spin interactions(involves up to six or eight spins), thus is still unnatural. However it opens the possibility to realize exotic (exactly solvable) models from spin-1/2 Hamiltonian with spin rotation invariant interactions. We will discuss two possible routes to reduce this artificialness through controlled perturbative expansions, by coupling to optical phonons or by magnetic couplings between the elementary units.\n\nThe outline of this paper is as follows. In Section II we will lay out the pseudo-spin-1/2 construction. In Sec-\n\nFIG. 2: Left: the physical spin lattice for the model (8). The dash circles are honeycomb lattice sites, each of which is actually a cluster of four physical spins. The dash straight lines are honeycomb lattice bonds, with their type x, y, z labeled. The interaction between clusters connected by x, y, z bonds are the J x,y,z terms in (8) or (9) respectively. Note this is not the 3-12 lattice used in Ref. 9,10 . Right: enlarged picture of the clusters with the four physical spins labeled as 1 , . . . , 4. Thick solid bonds within one cluster have large antiferromagnetic Heisenberg coupling J cluster .\n\n\n\ntion III the Kitaev model will be explicitly constructed using this formalism, and some properties of this construction will be discussed. In Section IV we will discuss two possible ways to generate the high order spin interactions involved in the construction of Section III by perturbative expansions. Conclusions and outlook will be summarized in Section V.\n\n## II. FORMULATION OF THE PSEUDO-SPIN-1/2 FROM FOUR-SPIN CLUSTER.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "## Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin Rotation Invariant System\n\nFa Wang 1\n\n1 Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamiltonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low energy effective Hamiltonian is exact, without truncation errors in traditional perturbation series expansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and contains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model is represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet sector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin correlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this model. This exact construction is quite general and can be used to make other interesting spin-1/2 models from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the high order spin interactions from more natural couplings, which involves perturbative expansions thus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\n## Contents\n\n## I. Introduction.\n\n1\n\n- II. Formulation of the Pseudo-spin-1/2 from Four-spin Cluster.\n\n## III. Realization of the Kitaev Model.\n\n3\n\n- IV. Generate the High Order Physical Spin Interactions by Perturbative Expansion.\n- A. Generate the High Order Terms by Coupling to Optical Phonon.\n- B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\n## V. Conclusions.\n\n8\n\n## Acknowledgments\n\n8\n\n- A. Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n- B. Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\n8\n\n9\n\nReferences 10\n\n## I. INTRODUCTION.\n\nKitaev's exactly solvable spin-1/2 honeycomb lattice model 1 (noted as the Kitaev model hereafter) has inspired great interest since its debut, due to its exact solvability, fractionalized excitations, and the potential\n\n5\n\n5\n\n7\n\n2\n\nto realize non-Abelian anyons. The model simply reads\n\nH Kitaev = -∑ x -links J x τ x j τ x k -∑ y -links J y τ y j τ y k -�� z -links J z τ z j τ z k (1)\n\nwhere τ x,y,z are Pauli matrices, and x, y, z -links are defined in FIG. 1. It was shown by Kitaev 1 that this spin1/2 model can be mapped to a model with one Majorana fermion per site coupled to Ising gauge fields on the links. And as the Ising gauge flux has no fluctuation, the model can be regarded as, under each gauge flux configuration, a free Majorana fermion problem. The ground state is achieved in the sector of zero gauge flux through each hexagon. The Majorana fermions in this sector have Dirac-like gapless dispersion resembling that of graphene, as long as | J x | , | J y | , and | J z | satisfy the triangular relation, sum of any two of them is greater than the third one 1 . It was further proposed by Kitaev 1 that opening of fermion gap by magnetic field can give the Ising vortices non-Abelian anyonic statistics, because the Ising vortex will carry a zero-energy Majorana mode, although magnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand the properties of the Kitaev model. For example, several groups have pointed out that the fractionalized Majorana fermion excitations may be understood from the more familiar Jordan-Wigner transformation of 1D spin systems 2,3 . The analogy between the non-Abelian Ising vortices and vortices in p + ip superconductors has been raised in serveral works 4-7 . Exact diagonalization has been used to study the Kitaev model on small lattices 8 . And perturbative expansion methods have been developed to study the gapped phases of the Kitaev-type models 9 .", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "## II. FORMULATION OF THE PSEUDO-SPIN-1/2 FROM FOUR-SPIN CLUSTER.\n\nIn this Section we will construct the pseudo-spin-1/2 from a cluster of four physical spins, and map the physical spin operators to pseudo-spin operators. The mapping constructed here will be used in later Sections to construct the effective Kitaev model. In this Section we will work entirely within the four-spin cluster, all unspecified physical spin subscripts take values 1 , . . . , 4.\n\nConsider a cluster of four spin-1/2 moments(called physical spins hereafter), labeled by S 1 ,..., 4 , antiferromagnetically coupled to each other (see the right bottom part of FIG. 2). The Hamiltonian within the cluster(up to a constant) is simply the Heisenberg antiferromagnetic(AFM) interactions,\n\nH cluster = ( J cluster / 2) ( S 1 + S 2 + S 3 + S 4 ) 2 (2)\n\nThe energy levels should be apparent from this form: one group of spin-2 quintets with energy 3 J cluster , three groups of spin-1 triplets with energy J cluster , and two spin singlets with energy zero. We will consider large positive", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "Many generalizations of the Kitaev model have been", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "τ z = -χ 234 / ( √ 3 / 4) = -(4 / √ 3) S 2 · ( S 3 × S 4 ) (6)\n\nThe above representations of τ x,y,z are all invariant under global spin rotation of the physical spins.\n\nWith the machinery of equations (4), (5), and (6), it will be straightforward to construct various pseudo-spin1/2 Hamiltonians on various lattices, of the Kitaev variety and beyond, as the exact low energy effective Hamiltonian of certain spin-1/2 models with spin-rotation symmetry. In these constructions a pseudo-spin lattice site actually represents a cluster of four spin-1/2 moments.\n\n## III. REALIZATION OF THE KITAEV MODEL.\n\nIn this Section we will use directly the results of the previous Section to write down a Hamiltonian whose low energy sector is described by the Kitaev model. The Hamiltonian will be constructed on the physical spin lattice illustrated in FIG. 2. In this Section we will use j, k to label four-spin clusters (pseudo-spin-1/2 sites), the physical spins in cluster j are labeled as S j 1 , . . . , S j 4 .\n\nApply the mappings developed in Section II, we have the desired Hamiltonian in short notation,\n\nH = ∑ cluster H cluster -∑ x -links J x τ x j τ x k -∑ y -links J y τ y j τ y k -∑ z -links J z τ z j τ z k (7)\n\nwhere j, k label the honeycomb lattice sites thus the fourspin clusters, H cluster is given by (2), τ x,y,z should be replaced by the corresponding physical spin operators in (4) and (5) or (6), or some other equivalent representations of personal preference.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - }, - { - "text": "chirality interactions in cold atom optical lattices has been proposed 38 .\n\nOur model (8) is achieved at second order of the perturbation series. Higher order terms become truncation errors but may be controlled by small parameters λ x,y,z /J cluster ∼ √ | J x,y,z | /J cluster .\n\n## V. CONCLUSIONS.\n\nWe constructed the exactly solvable Kitaev honeycomb model 1 as the exact low energy effective Hamiltonian of a spin-1/2 model [equations (8) or (9)] with spin-rotation and time reversal symmetry. The spin in Kitaev model is represented as the pseudo-spin in the two-fold degenerate spin singlet subspace of a cluster of four antiferromagnetically coupled spin-1/2 moments. The physical spin model is a honeycomb lattice of such four-spin clusters, with certain inter-cluster interactions. The machinery for the exact mapping to pseudo-spin Hamiltonian was developed (see e.g. TABLE I), which is quite general and can be used to construct other interesting (exactly solvable) spin-1/2 models from spin rotation invariant systems.\n\nIn this construction the pseudo-spin correlations in the Kitaev model will be mapped to dimer or spin-chirality correlations in the physical spin system. The corresponding picture of the fractionalized Majorana fermion excitations and Ising vortices still remain to be clarified.\n\nThis exact construction contains high order physical spin interactions, which is undesirable for practical implementation. We described two possible approaches to reduce this problem: generating the high order spin interactions by perturbative expansion of the coupling to optical phonon, or the magnetic coupling between clusters. This perturbative construction will introduce truncation error of perturbation series, which may be controlled by small expansion parameters. Whether these constructions can be experimentally engineered is however beyond the scope of this study. It is conceivable that other perturbative expansion can also generate these high order spin interactions, but this possibility will be left for future works.\n\n## Acknowledgments\n\nThe author thanks Ashvin Vishwanath, Yong-Baek Kim and Arun Paramekanti for inspiring discussions, and Todadri Senthil for critical comments. The author is supported by the MIT Pappalardo Fellowship in Physics.\n\n## Appendix A: Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n\nIn this Appendix we reproduce from Ref. 35 the couplings of all tetrahedron distortion modes to the spin\n\nsystem. And convert them to pseudo-spin notation in the physical spin singlet sector.\n\nConsider a general small distortion of the tetrahedron, the spin Hamiltonian becomes\n\nH cluster , SL = ( J cluster / 2)( ∑ /lscript S /lscript ) 2 + J ' ∑ /lscript J z (16 / 9)[ S j 2 · ( S j 3 × S j 4 )][ S k 2 · ( S k 3 × S k 4 )] -∑ x -links J x (2 S j 1 · S j 2 +1 / 2)(2 S k 1 · S k 2 +1 / 2) -∑ y -links J y (4 / 3)[ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] (8)\n\nWhile by the represenation (4) and (5), the Hamilto-\n\nnian becomes\n\nH = ∑ j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 -∑ x -links J x (2 S j 1 · S j 2 +1 / 2)(2 S k 1 · S k 2 +1 / 2) -∑ y -links J y (4 / 3)[ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] -∑ z -links J z ( -4 / 3)(2 S j 3 · S j 4 +1 / 2)[ S j 1 · ( S j 3 -S j 4 )](2 S k 3 · S k 4 +1 / 2)[ S k 1 · ( S k 3 -S k 4 )] (9)\n\nThis model, in terms of physical spins S , has full spin rotation symmetry and time-reversal symmetry. A pseudo-magnetic field term ∑ j /vector h · /vectorτ j term can also be included under this mapping, however the resulting Kitaev model with magnetic field is not exactly solvable. It is quite curious that such a formidably looking Hamiltonian (8), with biquadratic and six-spin(or eight-spin) terms, has an exactly solvable low energy sector.\n\nWe emphasize that because the first intra-cluster term ∑ cluster H cluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this model without truncation errors of perturbation theories, namely no ( | J x,y,z | /J cluster ) 2 or higher order terms will be generated under the projection to low energy cluster singlet space. This is unlike, for example, the t/U expansion of the half-filled Hubbard model 22,23 , where at lowest t 2 /U order the effective Hamiltonian is the Heisenberg model, but higher order terms ( t 4 /U 3 etc.) should in principle still be included in the low energy effective Hamiltonian for any finite t/U . Similar comparison can be made to the perturbative expansion studies of the Kitaev-type models by Vidal et al. 9 , where the low energy effective Hamiltonians were obtained in certian anisotropic (strong bond/triangle) limits. Although the spirit of this work, namely projection to low energy sector, is the same as all previous perturbative approaches to effective Hamiltonians.\n\nNote that the original Kitaev model (1) has threefold rotation symmetry around a honeycomb lattice site, combined with a three-fold rotation in pseudo-spin space (cyclic permutation of τ x , τ y , τ z ). This is not apparent in our model (8) in terms of physical spins, under the current representation of τ x,y,z . We can remedy this by using a different set of pseudo-spin Pauli matrices τ ' x,y,z in (7),\n\nτ ' x = √ 1 / 3 τ z + √ 2 / 3 τ x , τ ' y = √ 1 / 3 τ z -√ 1 / 6 τ x + √ 1 / 2 τ y , τ ' z = √ 1 / 3 τ z -√ 1 / 6 τ x -√ 1 / 2 τ y\n\nWith proper representation choice, they have a symmetric form in terms of physical spins,\n\nτ ' x = -(4 / 3) S 2 · ( S 3 × S 4 ) + √ 2 / 3(2 S 1 · S 2 +1 / 2) τ ' y = -(4 / 3) S 3 · ( S 4 × S 2 ) + √ 2 / 3(2 S 1 · S 3 +1 / 2) τ ' z = -(4 / 3) S 4 · ( S 2 × S 3 ) + √ 2 / 3(2 S 1 · S 4 +1 / 2) (10)\n\nSo the symmetry mentioned above can be realized by a three-fold rotation of the honeycomb lattice, with a cyclic permutation of S 2 , S 3 and S 4 in each cluster. This is in fact the three-fold rotation symmetry of the physical spin lattice illustrated in FIG. 2. However this more symmetric representation will not be used in later part of this paper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "modes of neighboring tetrahedra. And these coupling constants λ x,y,z need to be tuned to produce J x,y,z of the Kitaev model. This is still not easy to implement in solid state systems. At lowest non-trivial order of perturbative expansion, we do get our model (9). Higher order terms in expansion destroy the exact solvability, but may be controlled by the small parameters λ x,y,z /k .\n\n## B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\nIn this Subsection we consider more conventional perturbations, magnetic interactions between the clusters, e.g. the Heisenberg coupling S j · S k with j and k belong to different tetrahedra. This has the advantage over the previous phonon approach for not introducing additional degrees of freedom. But it also has a significant disadvantage: the perturbation does not commute with the cluster Heisenberg Hamiltonian (2), so the cluster singlet subspace will be mixed with other total spin states. In this Subsection we will use the spin-chirality representation (6) for τ z .\n\nAgain consider two clusters j and k . For simplicity of notations define a projection operator P jk = P j P k , where P j,k is projection into the singlet subspace of cluster j and k , respectively, P j,k = ∑ s = ± 1 | τ z j,k = s 〉〈 τ z j,k = s | . For a given perturbation λH perturbation with small parameter λ (in factor λ/J cluster is the expansion parameter), lowest two orders of the perturbation series are\n\nλ P jk H perturbation P jk + λ 2 P jk H perturbation (1 -P jk ) × [0 -H cluster j -H cluster k ] -1 (1 -P jk ) H perturbation P jk (15)\n\nWith proper choice of λ and H perturbation we can generate\n\nthe desired J x,y,z terms in (8) from the first and second order of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z /lscript converts the cluster spin singlet states | τ z = ± 1 〉 into spin-1 states of the cluster. This can be checked by explicit calculations and will not be proved here. For all the perturbations to be considered later, the above mentioned fact can be exploited to replace the factor [0 -H cluster j -H cluster k ] -1 in the second order perturbation to a c -number ( -2 J cluster ) -1 .\n\nThe detailed calculations are given in Appendix B. We will only list the results here.\n\nThe perturbation on x -links is given by\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) .\n\nwhere λ x = √ 12 | J x | · J cluster , sgn( J x ) = ± 1 is the sign of J x .\n\nThe perturbation on y -links is\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster .\n\nThe perturbation on z -links is\n\nλ z H perturbation , z = λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) .\n\nwith\n\nλ z = 4 √ | J z | · J cluster . The entire Hamiltonian H magnetic reads explicitly as,\n\nH magnetic = ∑ cluster j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + ∑ x -links {√ 12 | J x | · J cluster [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 ) ] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) } + ∑ y -links { √ 4 | J y | · J cluster [ S j 1 · ( S k 3 -S k 4 ) + sgn( J y ) S k 1 · ( S j 3 -S j 4 ) ] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 ) } + ∑ z -links { 4 √ | J z | · J cluster [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) S k 2 · ( S j 3 × S j 4 ) ] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) } . (16)\n\nIn (16), we have been able to reduce the four spin interactions in (8) to inter-cluster Heisenberg interactions, and the six-spin interactions in (8) to inter-cluster spinchirality interactions. The inter-cluster Heisenberg couplings in H perturbation x,y may be easier to arrange. The", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "Another note to take is that it is not necessary to have such a highly symmetric cluster Hamiltonian (2). The mappings to pseudo-spin-1/2 should work as long as the ground states of the cluster Hamiltonian are the two-fold degenerate singlets. One generalization, which conforms the symmetry of the lattice in FIG. 2, is to have\n\nH cluster = ( J cluster / 2)( r · S 1 + S 2 + S 3 + S 4 ) 2 (11)\n\nwith J cluster > 0 and 0 < r < 3. However this is not convenient for later discussions and will not be used.\n\nWe briefly describe some of the properties of (8). Its low energy states are entirely in the space that each of the clusters is a physical spin singlet (called cluster singlet subspace hereafter). Therefore physical spin correlations are strictly confined within each cluster. The excitations carrying physical spin are gapped, and their dynamics are 'trivial' in the sense that they do not move from one cluster to another. But there are non-trivial low energy physical spin singlet excitations, described by the pseudospins defined above. The correlations of the pseudo-spins can be mapped to correlations of their corresponding physical spin observables (the inverse mappings are not unique, c.f. TABLE I). For example τ x,y correlations become certain dimer-dimer correlations, τ z correlation becomes chirality-chirality correlation, or four-dimer correlation. It will be interesting to see the corresponding picture of the exotic excitations in the Kitaev model, e.g. the Majorana fermion and the Ising vortex. However this will be deferred to future studies.\n\nIt is tempting to call this as an exactly solved spin liquid with spin gap ( ∼ J cluster ), an extremely short-range resonating valence bond(RVB) state, from a model with spin rotation and time reversal symmetry. However it should be noted that the unit cell of this model contains an even number of spin-1/2 moments (so does the original Kitaev model) which does not satisfy the stringent definition of spin liquid requiring odd number of electrons per unit cell. Several parent Hamiltonians of spin liquids have already been constructed. See for example, Ref. 24-27 .\n\n## IV. GENERATE THE HIGH ORDER PHYSICAL SPIN INTERACTIONS BY PERTURBATIVE EXPANSION.\n\nOne major drawback of the present construction is that it involves high order interactions of physical spins[see (8) and (9)], thus is 'unnatural'. In this Section we will make compromises between exact solvability and naturalness. We consider two clusters j and k and try to generate the J x,y,z interactions in (7) from perturbation series expansion of more natural(lower order) physical spin interactions. Two different approaches for this purpose will be laid out in the following two Subsections. In Subsection IV A we will consider the two clusters as two tetrahedra, and couple the spin system to certain optical phonons, further coupling between the phonon modes\n\nFIG. 3: Illustration of the tetragonal to orthorhombic Q E 1 (top) and Q E 2 (bottom) distortion modes. (a) Perspective view of the tetrahedron. 1 , . . . , 4 label the spins. Arrows indicate the motion of each spin under the distortion mode. (b) Top view of (a). (c)(d) Side view of (a).\n\n\n\nof the two clusters can generate at lowest order the desired high order spin interactions. In Subsection IV B we will introduce certain magnetic, e.g. Heisenberg-type, interactions between physical spins of different clusters, at lowest order(second order) of perturbation theory the desired high order spin interactions can be achieved. These approaches involve truncation errors in the perturbation series, thus the mapping to low energy effect Hamiltonian will no longer be exact. However the error introduced may be controlled by small expansion parameters. In this Section we denote the physical spins on cluster j ( k ) as j 1 , . . . , j 4 ( k 1 , . . . , k 4), and denote pseudo-spins on cluster j ( k ) as /vectorτ j ( /vectorτ k ).", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "The results for the conductivity within a spin-fermion model depend in quantitative (but not qualitative) way on the assumption for the momentum dispersion of a collective boson. This momentum dependence comes from", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "How can fractionalised Majorana fermion excitations be understood?", - "target_page": 1, - "target_passage": "from the more familiar Jordan-Wigner transformation of 1D spin systems", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "## III. CONCLUSION\n\nIn this work we analyzed the behavior of optical integrals W ( ω c ) ∝ ∫ ω c o σ ( ω ) dω and Kubo sum rules in the normal and superconducting states of interacting fermionic systems on a lattice. Our key goal was to understand what sets the sign of ∆ W K = ∆ W ( ∞ ) between the normal and superconducting states and what is the behavior of W ( ω c ) and ∆ W ( ω c ) at finite ω c . In a weak coupling BCS superconductor, ∆ W ( ω c ) is positive at ω c < 2∆ due to a contribution from superfluid density, but becomes negative at larger ω c , and approach a negative value of ∆ W K . Our study was motivated by fascinating optical experiments on the cuprates 7-10 . In overdoped cuprates, there is clear indication 11 that ∆ W ( ω c ) becomes negative above a few ∆, consistent with BCS behavior. In underdoped cuprates, two groups argued 8,9 that ∆ W integrated up to the bandwidth remains positive, while the other group argued 10 that it is negative.\n\nThe reasoning why ∆ W K may potentially change sign at strong coupling involves the correlation between -W K and the kinetic energy. In the BCS limit, kinetic energy obviously increases in a SCS because of gap opening, hence -W K increases, and ∆ W K is negative. At strong coupling, there is a counter effect - fermions become more mobile in a SCS due to a smaller self-energy.\n\nWe considered four models: a BCS model with impurities, a model of fermions interacting with an Einstein boson, a phenomenological MFL model with impurities, and a model of fermions interacting with collective spin fluctuations. In all cases, we found that ∆ W K is negative, but how it evolves with ω c and how much of the sum rule is recovered by integrating up to the bandwidth depends on the model.\n\nThe result most relevant to the experiments on the cuprates is obtained for the spin fluctuation model. We found that at strong coupling, the zero-crossing of δW ( ω c ) occurs at a frequency which increases with the coupling strength and may become larger than the bandwidth at a truly strong coupling. Still, at even larger frequencies, ∆ W ( ω c ) is negative.", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "Σ( k, Ω) = 3 g 2 ∫ dω 2 π d 2 q (2 π ) 2 χ ( q, ω ) G ( k + q, ω +Ω) (6)\n\nwhere g is the spin-fermion coupling, and χ ( q, ω ) is the spin susceptibility whose dynamics changes between NS and SCS.\n\nFrom our analysis we found that the introduction of a finite fermionic bandwidth by means of a lattice has generally a notable effect on both W and ∆ W . We found that for all models except for BCSI model, only 70% -80% of the optical spectral weight is obtained by integrating up to the bandwidth. In these three models, there also exists a wide range of ω c in which the behavior of ∆ W ( ω c ) is due to variation of ∆ f ( ω c ) which is dominant comparable to the ∆ W K term. This dominance of the cut off term is consistent with the analysis in Refs. 21,22,33.\n\nWe also found that for all models except for the original version of the MFLI model the optical weight at the highest frequencies is greater in the NS than in the SCS (i.e., ∆ W < 0). This observation is consistent with the findings of Abanov and Chubukov 32 , Benfatto et. al. 28 , and Karakozov and Maksimov 34 . In the original version of the MFLI model 30 the spectral weight in SCS was found to be greater than in the NS (∆ W > 0). We show that the behavior of ∆ W ( ω c ) in this model crucially depends on how the fermionic self-energy modeled to fit ARPES data in a NS is modified when a system becomes a superconductor and can be of either sign. We also found, however, that ω c at which ∆ W becomes negative rapidly increases with the coupling strength and at strong coupling becomes comparable to the bandwidth. In the CB model, which, we believe, is most appropriate for the application to the cuprates, ∆ W K = ∆ W ( ∞ ) is quite small, and at strong coupling a negative ∆ W ( ω c ) up to ω c ∼ 1 eV is nearly compensated by the optical integral between ω c and 'infinity', which, in practice, is", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0764.pdf" - }, - { - "text": "high-energy fermions and is an input for the low-energy theory. Below we follow Refs. 31,33 and assume that the momentum dependence of a collective boson is flat near ( π, π ). The self energy within such model has been worked out consistently in Ref. 31,33. In the normal state\n\nΣ '' ( ω ) = -1 2 λ n ω sf log ( 1 + ω 2 ω 2 sf ) ω (19)\n\nΣ ' ( ω ) = -λ n ω sf arctan ω sf\n\nwhere λ n is the spin-fermion coupling constant, and ω sf is a typical spin relaxation frequency of overdamped spin collective excitations with a propagator\n\nχ ( q ∼ Q, Ω) = χ Q 1 -i Ω ω sf (20)\n\nwhere χ Q is the uniform static susceptibility. If we use Ornstein-Zernike form of χ ( q ) and use either Eliashberg 45 or FLEX computational schemes 48 , we get rather similar behavior of Σ as a function of frequency and rather similar behavior of optical integrals.\n\nThe collective nature of spin fluctuations is reflected in the fact that the coupling λ and the bosonic frequency ω sf are related: λ scales as ξ 2 , where ξ is the bosonic mass (the distance to a bosonic instability), and ω sf ∝ ξ -2 (see Ref. 49). For a flat χ ( q ∼ Q ) the product λω sf does not depend on ξ and is the overall dimensional scale for boson-mediated interactions.\n\nIn the SCS fermionic excitations acquire a gap. This gap affects fermionic self-energy in two ways: directly, via the change of the dispersion of an intermediate boson in the exchange process involving a CB, and indirectly, via the change of the propagator of a CB. We remind ourselves that the dynamics of a CB comes from a particlehole bubble which is indeed affected by ∆.\n\nThe effect of a d -wave pairing gap on a CB has been discussed in a number of papers, most recently in 31 . In\n\na SCS a gapless continuum described by Eq. (20) transforms into a gaped continuum, with a gap about 2∆ and a resonance at ω = ω 0 < 2∆, where for a d -wave gap we define ∆ as a maximum of a d -wave gap.\n\nThe spin susceptibility near ( π, π ) in a superconductor can generally be written up as\n\nχ ( q ∼ Q, Ω) = χ Q 1 -i Π(Ω) ω sf (21)\n\nwhere Π is evaluated by adding up the bubbles made out of two normal and two anomalous Green's functions. Below 2∆, Π(Ω) is real ( ∼ Ω 2 / ∆ for small Ω), and the resonance emerges at Ω = ω 0 at which Π( ω 0 ) = ω sf . At frequencies larger than 2∆, Π(Ω) has an imaginary part, and this gives rise to a gaped continuum in χ (Ω).\n\nThe imaginary part of the spin susceptibility around the resonance frequency ω 0 is 31\n\nχ '' ( q, Ω) = πZ o ω 0 2 δ (Ω -ω 0 ) (22)\n\nwhere Z o ∼ 2 ω sf χ 0 / ∂ Π ∂ω | Ω= ω 0 . The imaginary part of the spin susceptibility describing a gaped continuum exists for for Ω ≥ 2∆ and is\n\nχ '' ( q, Ω) = Im [ χ 0 1 -1 ω sf ( 4∆ 2 Ω D ( 4∆ 2 Ω 2 ) + i Ω K 2 (1 -4∆ 2 Ω 2 ) ) ]\n\n≈ Im [ χ 0 1 -1 ω sf ( π ∆ 2 Ω + i π 2 Ω ) ] f or Ω >> 2∆ (23)\n\nIn Eq. (23) D ( x ) = K 1 ( x ) -K 2 ( x ) x , and K 1 ( x ) and K 2 ( x ) are Elliptic integrals of first and second kind. The real part of χ is obtained by Kramers-Kronig transform of the imaginary part.\n\nSubstituting Eq 6 for χ ( q, Ω) into the formula for the self-energy one obtains Σ '' ( ω ) in a SCS state as a sum of two terms 31\n\nΣ '' ( ω ) = Σ '' A ( ω ) + Σ '' B ( ω ) (24)\n\nwhere,\n\ncomes from the interaction with the resonance and\n\nΣ '' A ( ω ) = πZ o 2 λ n ω o Re ( ω + ω o √ ( ω + ω o ) 2 -∆ 2 )\n\nΣ '' B ( ω ) = -λ n ∫ | E | 2∆ dxRe ω + x √ ( ω + x ) 2 -∆ 2 x ω sf K 2 ( 1 -4∆ 2 x 2 ) [ 1 -4∆ 2 xω sf D ( 4∆ 2 x 2 ) ] 2 + [ x ω sf K 2 ( 1 -4∆ 2 x 2 ) ] 2 (25)\n\ncomes from the interaction with the gaped continuum.\n\nThe real part of Σ is obtained by Kramers-Kronig trans-", - "page_start": 10, - "page_end": 10, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 4: Top - a conductivity plot for the BCSI case in the presence of a lattice. The parameters are ∆ = 30 meV , Γ = 3 . 5 meV . Bottom - the behavior of Kubo sums. Note that (a) the spectral weight in the NS is always greater in the SCS, (b) the spectral weight decreases with Γ, and (c) the difference between NS and SCS decreases as Γ increases.\n\n\n\nlittle variation of ∆ W ( ω c ) at above 0 . 1 -0 . 3 eV what implies that for larger ω c , ∆ W ( ω c ) ≈ ∆ W K >> ∆ f ( ω c ).\n\nTo make this more quantitative, we compare in Fig. 6 ∆ W ( ω c ) obtained for a constant DOS, when ∆ W ( ω c ) = ∆ f ( ω c ), and for the actual lattice dispersion, when ∆ W ( ω c ) = ∆ W K + ∆ f ( ω c ). In the clean limit there is obviously little cutoff dependence beyond 0 . 1 eV , i.e., ∆ f ( ω c ) is truly small, and the difference between the two cases is just ∆ W K . In the dirty limit, the situation is similar, but there is obviously more variation with ω c , and ∆ f ( ω c ) becomes truly small only above 0 . 3 eV . Note also that the position of the dip in ∆ W ( ω c ) in the clean limit is at a larger ω c in the presence of the lattice than in a continuum.\n\n## B. The Einstein boson model\n\nWe next consider the case of electrons interacting with a single boson mode which by itself is not affected by superconductivity. The primary candidate for such mode is an optical phonon. The imaginary part of the NS self energy has been discussed numerous times in the literature. We make one simplifying assumption - approximate the DOS by a constant in calculating fermionic self-energy. We will, however, keep the full lattice dispersion in the calculations of the optical integral. The advantage of this\n\nFIG. 5: The evolution of optical integral in NS(top) and SCS(bottom) for BCSI case. Plots are made for clean limit (solid lines, Γ = 3 . 5 meV ) and dirty limit (dashed lines, Γ = 150 meV ) for ∆ = 30 meV . Observe that (a) W (0) = 0 in the NS, but has a non-zero value in the SCS because of the δ -function (this value decreases in the dirty limit), and (b) the flat region in the SCS is due to the fact that σ ' ( ω ) = 0 for Ω < 2∆. Also note that ∼ 90 -95% of the spectral weight is recovered up to 1 eV\n\n\n\napproximation is that the self-energy can be computed analytically. The full self-energy obtained with the lattice dispersion is more involved and can only be obtained numerically, but its structure is quite similar to the one obtained with a constant DOS.\n\nThe self-energy for a constant DOS is given by\n\nΣ( iω ) = -i 2 π λ n ∫ d/epsilon1 k d ( i Ω) χ ( i Ω) G ( /epsilon1 k , iω + i Ω) (13)\n\nwhere\n\nχ ( i Ω) = ω 2 0 ω 2 0 -( i Ω) 2 (14)\n\nand λ n is a dimensionless electron-boson coupling. Integrating and transforming to real frequencies, we obtain\n\nΣ '' ( ω ) = -π 2 λ n ω o Θ( | ω | -ω o )\n\nIn the SCS, we obtain for ω < 0\n\nΣ ' ( ω ) = -1 2 λ n ω o log ∣ ∣ ∣ ∣ ω + ω o ω -ω o ∣ ∣ ∣ ∣ (15)\n\nΣ '' ( ω ) = -π 2 λ n ω o Re ( ω + ω o √ ( ω + ω o ) 2 -∆ 2 )", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 15: Top σ ( ω ) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: i Γ term transforms into Γ √ -ω 2 +∆ 2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom - the behavior of Kubo sum with Γ. Observe that W ( ω c ) in the NS is larger than in the SCS.\n\n\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ω c for the 'corrected' MFLI model. Now ∆ W ( ω c ) is negative above some frequency. Parameters are same as in the Fig 15.\n\n\n\nmodel, where W K is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to Γ √ -ω 2 +∆ 2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state with-\n\nrst deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆ W K < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆ W K and of the kinetic energy 43 . It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n## D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel 31,44,45 . This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below T c because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity 32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆ W K . Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of W K in a SCS. If this increase exceeds a conventional loss of W K due to a gap opening, the total ∆ W K may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = ( π, π ). This version of a CB boson is commonly known as a spin-fermion model. This model yields d x 2 -y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure in the ARPES profile in the SCS 31,32,46,47 . In our analysis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "modified MFLI models. It is interesting that this holds despite the fact that for large λ CB model displays the physics one apparently needs to reverse the sign of ∆ W K - the absence of the quasiparticle peak in the NS and its emergence in the SCS accompanied by the dip and the hump at larger energies. The absence of coherent quasiparticle in the NS at large λ is also apparent form Fig 21 where we show the normal state distribution functions for two different λ . For large λ the jump (which indicates the presence of quasiparticles) virtually disappears.\n\nOn a more careful look, we found that indifference of δW ( ω c ) to the increase of λ is merely the consequence of the fact that above we kept λω sf constant. Indeed, at small frequencies, fermionic self-energy in the NS is Σ ' = λω , Σ' = λ 2 ω 2 / ( λω sf ), and both Σ ' and Σ '' increase with λ if we keep λω sf constant. But at frequencies larger than ω sf , which we actually probe by ∆ W ( ω c ), the selfenergy essentially depends only on λω sf , and increasing λ but keeping λω sf constant does not bring us closer to the physics associated with the recovery of electron coherence in the SCS. To detect this physics, we need to see how things evolve when we increase λω sf above the scale of ∆ , i.e., consider a truly strong coupling when not only λ /greatermuch 1 but also the normal state Σ NS ( ω ≥ ∆) >> ∆.\n\nTo address this issue, we took a larger λ for the same ω sf and re-did the calculation of the conductivities and optical integrals. The results for σ ( ω ) and ∆ W ( ω c ) are presented in Fig. 22. We found the same behavior as before, i.e., ∆ W K is negative. But we also found that the larger is the overall scale for the self-energy, the larger is a frequency of zero-crossing of ∆ W ( ω c ). In particular, for the same λ and ω sf that were used in Ref. 33 to fit the NS conductivity data, the zero crossing is at ∼ 0 . 8 eV which is quite close to the bandwidth. This implies that at a truly strong coupling the frequency at which ∆ W ( ω c ) changes sign can well be larger than the bandwidth of 1 eV in which case ∆ W integrated up to the bandwidth does indeed remain positive. Such behavior would be consistent with Refs.8,9. we also see from Fig. 22 that ∆ W K becomes small at a truly strong coupling, and over a wide range of frequencies the behavior of ∆ W ( ω c ) is predominantly governed by ∆ f ( ω c ), i.e. by the cut-off term. 50 The implication is that, to first approximation, ∆ W K can be neglected and positive ∆ W ( w c ) integrated to a frequency where it is still positive is almost compensated by the integral over larger frequencies. This again would be consistent with the experimental data in Refs. 8,9.\n\nIt is also instructive to understand the interplay between the behavior of ∆ W ( ω c ) and the behavior of the difference of the kinetic energy between the SCS and the NS, δ KE . We computed the kinetic energy as a function of λω sf and present the results in Fig. 23 for λ = 1 and 10. For a relatively weak λ = 1 the behavior is clearly BCS likeδ KE > 0 and increases with increasing λω sf . However, at large λ = 10, we see that the kinetic energy begin decreasing at large λω sf and eventually changes sign. The behavior of δ KE at a truly strong coupling is\n\nconsistent with earlier calculation of the kinetic energy for Ornstein-Zernike form of the spin susceptibility 43 .\n\nWe clearly see that the increase of the zero crossing frequency of ∆ W ( ω c ) at a truly strong coupling is correlated with the non-BCS behavior of δ KE . At the same time, the behavior of δW ( ω c ) is obviously not driven by the kinetic energy as eventually δW ( ω c ) changes sign and become negative. Rather, the increase in the frequency range where ∆ W ( ω c ) remains positive and non-BCS behavior of δ KE are two indications of the same effect that fermions are incoherent in the NS but acquire coherence in the SCS.\n\n## III. CONCLUSION", - "page_start": 13, - "page_end": 13, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 21: Distribution functions n ( /epsilon1 ) for CB model for λ = 1 and λ = 7 and a constant ω sf = 26 meV . We set ∆ = 30 meV . For smaller λ (top), quasiparticles near the FS are well defined as indicated by the well pronounced jump in n ( /epsilon1 ). For λ = 7, n ( /epsilon1 ) is rather smooth implying that a coherence is almost lost. Some irregularities is the SCS distribution function are due to finite sampling in the frequency domain. The irregularities disappear when finer mesh for frequencies is chosen.\n\n\n\nshows up in the optical gap), where as in the BCSI case it would have always begun from 2∆. In Fig 18 we plot the Kubo sums W K vs coupling λ . We see that for all λ , W K in the NS stays larger than in the SCS. Fig 19 shows the cutoff dependence of the optical integrals W ( ω c ) for λ = 1 separately in the NS and the SCS. We again see that only about 73% of the Kubo sum is recovered up to the bandwidth of 1 eV indicating that there is a significant amount left to recover beyond this energy scale. Fig 20 shows ∆ W for the two different couplings. We see that, for both λ 's, there is only one zero-crossing for the ∆ W curve, and ∆ W is negative at larger frequencies. The only difference between the two plots is that for larger coupling the dip in ∆ W gets 'shallower'. Observe also that the solid line in Fig. 20 is rather far away from the dashed line at ω c > 1 meV , which indicates that, although ∆ W ( ω c ) in this region has some dependence on ω c , still the largest part of ∆ W ( ω c ) is ∆ W K , while the contribution from ∆ f ( ω c ) is smaller.\n\n\n\nc\n\nFIG. 22: Top - conductivity at a larger value of ω sf λ ( ω sf = 26 meV , λ = 7) consistent with the one used in Ref.33). Bottom - ∆ W with and without lattice. Observe that the frequency of zero crossing of ∆ W enhances compared to the case of a smaller λω sf and becomes comparable to the bandwidth. At energies smaller than the bandwidth, ∆ W > 0, as in the Norman- P'epin model.FIG. 23: Kinetic energy difference between the SCS and the NS, δ KE We set λ to be either λ = 1 or λ = 10 and varied ω sf thus changing the overall prefactor in the self-energy. At weak coupling ( λ = 1) the behavior is BCS-like δ KE is positive and increases with the overall factor in the self-energy. At strong coupling ( λ = 7), δ KE shows a reverse trend at larger ω sf .\n\n\n\nThe negative sign of ∆ W ( ω c ) above a relatively small ω c ∼ 0 . 1 -0 . 2 eV implies that the 'compensating' effect from the fermionic self-energy on ∆ W is not strong enough to overshadow the decrease of the optical integral in the SCS due to gap opening. In other words,the CB model displays the same behavior as BCSI, EB, and", - "page_start": 12, - "page_end": 12, - "source_file": "1001.0764.pdf" - }, - { - "text": "FIG. 2: Distribution functions in four cases (a) BCSI model, where one can see that for ε > 0, SC > NS implying KE increases in the SCS. (b) The original MFLI model of Ref. 30, where for ε > 0, SC < NS, implying KE decreases in the SCS. (c) Our version of MFLI model (see text) and (d) the CB model. In both cases, SC > NS, implying KE increases in the SCS. Observe that in the impurity-free CB model there is no jump in n ( /epsilon1 ) indicating lack of fermionic coherence. This is consistent with ARPES 39\n\n\n\n## A. The BCS case\n\nIn BCS theory the quantity Z ( ω ) is given by\n\nand\n\nZ BCSI ( ω ) = 1 + Γ √ ∆ 2 -( ω + iδ ) 2 (11)\n\nΣ BCSI ( ω ) = ω ( Z ( ω ) -1) = i Γ ω √ ( ω + iδ ) 2 -∆ 2 (12)\n\nThis is consistent with having in the NS, Σ = i Γ in accordance with Eq 6. In the SCS, Σ( ω ) is purely imaginary for ω > ∆ and purely real for ω < ∆. The self-energy has a square-root singularity at ω = ∆.\n\nIt is worth noting that Eq.12 is derived from the integration over infinite band. If one uses Eq.6 for finite band, Eq.12 acquires an additional frequency dependence at large frequencies of the order of bandwidth (the low frequency structure still remains the same as in Eq.12). In principle, in a fully self-consistent analysis, one should indeed evaluate the self-energy using a finite bandwidth. In practice, however, the self-energy at frequencies of order bandwidth is generally much smaller than ω and contribute very little to optical conductivity which predominantly comes from frequencies where the self-energy is comparable or even larger than ω . Keeping this in mind, below we will continue with the form of self-energy derived form infinite band. We use the same argument for all four models for the self-energy.\n\nFor completeness, we first present some well known results about the conductivity and optical integral for a\n\nconstant DOS and then extend the discussion to the case where the same calculations are done in the presence of a particular lattice dispersion.\n\nFIG. 3: The BCSI case with a dispersion linearized around the Fermi surface. Evolution of the difference of optical integrals in the SCS and the NS with the upper cut-off ω c Observe that the zero crossing point increases with impurity scattering rate Γ and also the 'dip' spreads out with increasing Γ. ∆ = 30 meV\n\n\n\nFor a constant DOS, ∆ W ( ω c ) = W SC ( ω c ) -W NS ( ω c ) is zero at ω c = ∞ and Kubo sum rule reduces to FGT sum rule. In Fig. 3 we plot for this case ∆ W ( ω c ) as a function of the cutoff ω c for different Γ ' s . The plot shows the two well known features: zero-crossing point is below 2∆ in the clean limit Γ << ∆ and is roughly 2Γ in the dirty limit 21,40 The magnitude of the 'dip' decreases quite rapidly with increasing Γ. Still, there is always a point of zero crossing and ∆ W ( ω c ) at large ω c approaches zero from below.\n\nWe now perform the same calculations in the presence of lattice dispersion. The results are summarized in Figs 4,5, and 6.\n\nFig 4 shows conductivities σ ( ω ) in the NS and the SCS and Kubo sums W K plotted against impurity scattering Γ. We see that the optical integral in the NS is always greater than in the SCS. The negative sign of ∆ W K is simply the consequence of the fact that n k is larger in the NS for /epsilon1 k < 0 and smaller for /epsilon1 k < 0, and ∇ 2 ε /vector k closely follows -ε /vector k for our choice of dispersion 38 ), Hence n k is larger in the NS for ∇ 2 ε /vector k > 0 and smaller for ∇ 2 ε /vector k < 0 and the Kubo sum rule, which is the integral of the product of n k and ∇ 2 ε /vector k (Eq. 3), is larger in the normal state.\n\nWe also see from Fig. 4 that ∆ W K decreases with Γ reflecting the fact that with too much impurity scattering there is little difference in n k between NS and SCS.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0764.pdf" - }, - { - "text": "## Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin Rotation Invariant System\n\nFa Wang 1\n\n1 Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamiltonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low energy effective Hamiltonian is exact, without truncation errors in traditional perturbation series expansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and contains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model is represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet sector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin correlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this model. This exact construction is quite general and can be used to make other interesting spin-1/2 models from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the high order spin interactions from more natural couplings, which involves perturbative expansions thus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\n## Contents\n\n## I. Introduction.\n\n1\n\n- II. Formulation of the Pseudo-spin-1/2 from Four-spin Cluster.\n\n## III. Realization of the Kitaev Model.\n\n3\n\n- IV. Generate the High Order Physical Spin Interactions by Perturbative Expansion.\n- A. Generate the High Order Terms by Coupling to Optical Phonon.\n- B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\n## V. Conclusions.\n\n8\n\n## Acknowledgments\n\n8\n\n- A. Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n- B. Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\n8\n\n9\n\nReferences 10\n\n## I. INTRODUCTION.\n\nKitaev's exactly solvable spin-1/2 honeycomb lattice model 1 (noted as the Kitaev model hereafter) has inspired great interest since its debut, due to its exact solvability, fractionalized excitations, and the potential\n\n5\n\n5\n\n7\n\n2\n\nto realize non-Abelian anyons. The model simply reads\n\nH Kitaev = -∑ x -links J x τ x j τ x k -∑ y -links J y τ y j τ y k -∑ z -links J z τ z j τ z k (1)\n\nwhere τ x,y,z are Pauli matrices, and x, y, z -links are defined in FIG. 1. It was shown by Kitaev 1 that this spin1/2 model can be mapped to a model with one Majorana fermion per site coupled to Ising gauge fields on the links. And as the Ising gauge flux has no fluctuation, the model can be regarded as, under each gauge flux configuration, a free Majorana fermion problem. The ground state is achieved in the sector of zero gauge flux through each hexagon. The Majorana fermions in this sector have Dirac-like gapless dispersion resembling that of graphene, as long as | J x | , | J y | , and | J z | satisfy the triangular relation, sum of any two of them is greater than the third one 1 . It was further proposed by Kitaev 1 that opening of fermion gap by magnetic field can give the Ising vortices non-Abelian anyonic statistics, because the Ising vortex will carry a zero-energy Majorana mode, although magnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand the properties of the Kitaev model. For example, several groups have pointed out that the fractionalized Majorana fermion excitations may be understood from the more familiar Jordan-Wigner transformation of 1D spin systems 2,3 . The analogy between the non-Abelian Ising vortices and vortices in p + ip superconductors has been raised in serveral works 4-7 . Exact diagonalization has been used to study the Kitaev model on small lattices 8 . And perturbative expansion methods have been developed to study the gapped phases of the Kitaev-type models 9 .", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "modes of neighboring tetrahedra. And these coupling constants λ x,y,z need to be tuned to produce J x,y,z of the Kitaev model. This is still not easy to implement in solid state systems. At lowest non-trivial order of perturbative expansion, we do get our model (9). Higher order terms in expansion destroy the exact solvability, but may be controlled by the small parameters λ x,y,z /k .\n\n## B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\nIn this Subsection we consider more conventional perturbations, magnetic interactions between the clusters, e.g. the Heisenberg coupling S j · S k with j and k belong to different tetrahedra. This has the advantage over the previous phonon approach for not introducing additional degrees of freedom. But it also has a significant disadvantage: the perturbation does not commute with the cluster Heisenberg Hamiltonian (2), so the cluster singlet subspace will be mixed with other total spin states. In this Subsection we will use the spin-chirality representation (6) for τ z .\n\nAgain consider two clusters j and k . For simplicity of notations define a projection operator P jk = P j P k , where P j,k is projection into the singlet subspace of cluster j and k , respectively, P j,k = ∑ s = ± 1 | τ z j,k = s 〉〈 τ z j,k = s | . For a given perturbation λH perturbation with small parameter λ (in factor λ/J cluster is the expansion parameter), lowest two orders of the perturbation series are\n\nλ P jk H perturbation P jk + λ 2 P jk H perturbation (1 -P jk ) × [0 -H cluster j -H cluster k ] -1 (1 -P jk ) H perturbation P jk (15)\n\nWith proper choice of λ and H perturbation we can generate\n\nthe desired J x,y,z terms in (8) from the first and second order of perturbations.\n\nThe calculation can be dramatically simplified by the following fact that any physical spin-1/2 operator S x,y,z /lscript converts the cluster spin singlet states | τ z = ± 1 〉 into spin-1 states of the cluster. This can be checked by explicit calculations and will not be proved here. For all the perturbations to be considered later, the above mentioned fact can be exploited to replace the factor [0 -H cluster j -H cluster k ] -1 in the second order perturbation to a c -number ( -2 J cluster ) -1 .\n\nThe detailed calculations are given in Appendix B. We will only list the results here.\n\nThe perturbation on x -links is given by\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) .\n\nwhere λ x = √ 12 | J x | · J cluster , sgn( J x ) = ± 1 is the sign of J x .\n\nThe perturbation on y -links is\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster .\n\nThe perturbation on z -links is\n\nλ z H perturbation , z = λ z [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) · S k 2 · ( S j 3 × S j 4 )] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) .\n\nwith\n\nλ z = 4 √ | J z | · J cluster . The entire Hamiltonian H magnetic reads explicitly as,\n\nH magnetic = ∑ cluster j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + ∑ x -links {√ 12 | J x | · J cluster [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 ) ] -J x ( S j 1 · S j 2 + S k 1 · S k 2 ) } + ∑ y -links { √ 4 | J y | · J cluster [ S j 1 · ( S k 3 -S k 4 ) + sgn( J y ) S k 1 · ( S j 3 -S j 4 ) ] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 ) } + ∑ z -links { 4 √ | J z | · J cluster [ S j 2 · ( S k 3 × S k 4 ) + sgn( J z ) S k 2 · ( S j 3 × S j 4 ) ] -| J z | ( S j 3 · S j 4 + S k 3 · S k 4 ) } . (16)\n\nIn (16), we have been able to reduce the four spin interactions in (8) to inter-cluster Heisenberg interactions, and the six-spin interactions in (8) to inter-cluster spinchirality interactions. The inter-cluster Heisenberg couplings in H perturbation x,y may be easier to arrange. The", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0266.pdf", - "query": "What happens when the spin-rotation symmetry is explicitly broken?", - "target_page": 2, - "target_passage": "makes them harder to realize in solid state systems", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "inter-cluster spin-chirality coupling in H perturbation z explicitly breaks time reversal symmetry and is probably harder to implement in solid state systems. However spin-chirality order may have important consequences in frustrated magnets 36,37 , and a realization of spin-", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0266.pdf" - }, - { - "text": "λ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 -P jk ) × [0 -H cluster j -H cluster k ] -1 × (1 -P jk ) S j 2 · ( S k 3 × S k 4 ) P jk\n\nFor the cluster j part we can use the same arguments as before, the H cluster j can be replaced by a c -number J cluster . For the cluster k part, consider the fact that S k 3 × S k 4 equals to the commutator -i [ S k 4 , S k 3 · S k 4 ], the action of S k 3 × S k 4 on physical singlet states of k will also only produce spin-1 state. So we can replace the H cluster k in the denominator by a c -number J cluster as well. Use spin rotation symmetry to separate the j and k parts, this term simplifies to\n\n-λ 2 6 J cluster P j S j 2 · S j 2 P j · P k ( S k 3 × S k 4 ) · ( S k 3 × S k 4 ) P k .\n\nUse ( S ) 2 = 3 / 4 and\n\n( S k 3 × S k 4 ) · ( S k 3 × S k 4 ) = ∑ a,b ( S a k 3 S b k 4 S a k 3 S b k 4 -S a k 3 S b k 4 S b k 3 S a k 4 )\n\n= ( S k 3 · S k 3 )( S k 4 · S k 4 ) -∑ a,b S a k 3 S b k 3 [ δ ab / 2 -S a k 4 S b k 4 ] = 9 / 16 + ( S k 3 · S k 4 )( S k 3 · S k 4 ) -(3 / 8)", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "## Appendix B: Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\nIn this Appendix we derive the second order perturbations of inter-cluster Heisenberg and spin-chirality interactions. The results can then be used to construct (16).\n\nFirst consider the perturbation λH perturbation = λ [ S j 1 · S k 1 + r ( S j 2 · S k 2 )], where r is a real number to be tuned later. Due to the fact mentioned in Subsection IV B, the action of H perturbation on any cluster singlet state will produce a state with total spin-1 for both cluster j and k . Thus the first order perturbation in (15) vanishes. And the second order perturbation term can be greatly simplified: operator (1 - P jk )[0 -H cluster j -H cluster k ] -1 (1 - P jk ) can be replaced by a c -number ( -2 J cluster ) -1 . Therefore the perturbation up to second order is\n\n-λ 2 2 J cluster P jk ( H perturbation ) 2 P jk\n\nThis is true for other perturbations considered later in this Appendix. The cluster j and cluster k parts can be separated, this term then becomes ( a, b = x, y, z ),\n\n-λ 2 2 J cluster ∑ a,b [ P j S a j 1 S b j 1 P j · P k S a k 1 S b k 1 P k +2 r P j S a j 1 S b j 2 P j · P k S a k 1 S b k 2 P k + r 2 P j S a j 2 S b j 2 P j · P k S a k 2 S b k 2 P k ]\n\nThen use the fact that P j S a j/lscript S b jm P j = δ ab (1 / 3) P j ( S j/lscript · S jm ) P j by spin rotation symmetry, the perturbation becomes\n\n-λ 2 6 J cluster [ 9 + 9 r 2 16 +2 r P jk ( S j 1 · S j 2 )( S k 1 · S k 2 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 16 +( r/ 2) τ x j τ x k -r/ 2 -r P jk ( S j 1 · S j 2 + S k 1 · S k 2 ) P jk ] .\n\nSo we can choose -( r λ 2 ) / (12 J cluster ) = -J x , and include the last intra-cluster S j 1 · S j 2 + S k 1 · S k 2 term in the first order perturbation.\n\nThe perturbation on x -links is then (not unique),\n\nλ x H perturbation , x = λ x [ S j 1 · S k 1 +sgn( J x ) · ( S j 2 · S k 2 )] -J x ( S j 1 · S j 2 + S k 1 · S k 2 )\n\nwith λ x = √ 12 | J x | · J cluster , and r = sgn( J x ) is the sign of J x . The non-trivial terms produced by up to second order perturbation will be the τ x j τ x k term. Note that the last term in the above equation commutes with cluster Hamiltonians so it does not produce second or higher order perturbations.\n\nSimilarly considering the following perturbation on y -links, λH perturbation = λ [ S j 1 · ( S k 3 -S k 4 ) + r S k 1 · ( S j 3 -S j 4 )]. Following similar procedures we get the second order perturbation from this term\n\n-λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r P jk [ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] P jk -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ] = -λ 2 6 J cluster [ 9 + 9 r 2 8 +2 r (3 / 4) τ y j τ y k -(3 / 2) P jk ( S k 3 · S k 4 + r 2 S j 3 · S j 4 ) P jk ]\n\nSo we can choose -( r λ 2 ) / (4 J cluster ) = -J y , and include the last intra-cluster S k 3 · S k 4 + r 2 S j 3 · S j 4 term in the first order perturbation.\n\nTherefore we can choose the following perturbation on y -links (not unique),\n\nλ y H perturbation , y = λ y [ S j 1 · S k 1 +sgn( J y ) · ( S j 3 -S j 4 ) · ( S k 3 -S k 4 )] -| J y | ( S j 3 · S j 4 + S k 3 · S k 4 )\n\nwith λ y = √ 4 | J y | · J cluster , r = sgn( J y ) is the sign of J y . The τ z j τ z k term is again more difficult to get. We use the representation of τ z by spin-chirality (6). And consider the following perturbation\n\nH perturbation = S j 2 · ( S j 3 × S j 4 ) + r S k 2 · ( S j 3 × S j 4 )\n\nThe first order term in (15) vanishes due to the same reason as before. There are four terms in the second order perturbation. The first one is\n\nλ 2 P jk S j 2 · ( S k 3 × S k 4 )(1 -P jk ) × [0 -H cluster j -H cluster k ] -1 × (1 -P jk ) S j 2 · ( S k 3 × S k 4 ) P jk", - "page_start": 8, - "page_end": 8, - "source_file": "1001.0266.pdf" - }, - { - "text": "## II. FORMULATION OF THE PSEUDO-SPIN-1/2 FROM FOUR-SPIN CLUSTER.\n\nIn this Section we will construct the pseudo-spin-1/2 from a cluster of four physical spins, and map the physical spin operators to pseudo-spin operators. The mapping constructed here will be used in later Sections to construct the effective Kitaev model. In this Section we will work entirely within the four-spin cluster, all unspecified physical spin subscripts take values 1 , . . . , 4.\n\nConsider a cluster of four spin-1/2 moments(called physical spins hereafter), labeled by S 1 ,..., 4 , antiferromagnetically coupled to each other (see the right bottom part of FIG. 2). The Hamiltonian within the cluster(up to a constant) is simply the Heisenberg antiferromagnetic(AFM) interactions,\n\nH cluster = ( J cluster / 2) ( S 1 + S 2 + S 3 + S 4 ) 2 (2)\n\nThe energy levels should be apparent from this form: one group of spin-2 quintets with energy 3 J cluster , three groups of spin-1 triplets with energy J cluster , and two spin singlets with energy zero. We will consider large positive", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0266.pdf" - }, - { - "text": "H = ∑ j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 -∑ z -links J z (16 / 9)[ S j 2 · ( S j 3 × S j 4 )][ S k 2 · ( S k 3 × S k 4 )] -∑ x -links J x (2 S j 1 · S j 2 +1 / 2)(2 S k 1 · S k 2 +1 / 2) -∑ y -links J y (4 / 3)[ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] (8)\n\nWhile by the represenation (4) and (5), the Hamilto-\n\nnian becomes\n\nH = ∑ j ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 -∑ x -links J x (2 S j 1 · S j 2 +1 / 2)(2 S k 1 · S k 2 +1 / 2) -∑ y -links J y (4 / 3)[ S j 1 · ( S j 3 -S j 4 )][ S k 1 · ( S k 3 -S k 4 )] -∑ z -links J z ( -4 / 3)(2 S j 3 · S j 4 +1 / 2)[ S j 1 · ( S j 3 -S j 4 )](2 S k 3 · S k 4 +1 / 2)[ S k 1 · ( S k 3 -S k 4 )] (9)\n\nThis model, in terms of physical spins S , has full spin rotation symmetry and time-reversal symmetry. A pseudo-magnetic field term ∑ j /vector h · /vectorτ j term can also be included under this mapping, however the resulting Kitaev model with magnetic field is not exactly solvable. It is quite curious that such a formidably looking Hamiltonian (8), with biquadratic and six-spin(or eight-spin) terms, has an exactly solvable low energy sector.\n\nWe emphasize that because the first intra-cluster term ∑ cluster H cluster commutes with the latter Kitaev terms independent of the representation used, the Kitaev model is realized as the exact low energy Hamiltonian of this model without truncation errors of perturbation theories, namely no ( | J x,y,z | /J cluster ) 2 or higher order terms will be generated under the projection to low energy cluster singlet space. This is unlike, for example, the t/U expansion of the half-filled Hubbard model 22,23 , where at lowest t 2 /U order the effective Hamiltonian is the Heisenberg model, but higher order terms ( t 4 /U 3 etc.) should in principle still be included in the low energy effective Hamiltonian for any finite t/U . Similar comparison can be made to the perturbative expansion studies of the Kitaev-type models by Vidal et al. 9 , where the low energy effective Hamiltonians were obtained in certian anisotropic (strong bond/triangle) limits. Although the spirit of this work, namely projection to low energy sector, is the same as all previous perturbative approaches to effective Hamiltonians.\n\nNote that the original Kitaev model (1) has threefold rotation symmetry around a honeycomb lattice site, combined with a three-fold rotation in pseudo-spin space (cyclic permutation of τ x , τ y , τ z ). This is not apparent in our model (8) in terms of physical spins, under the current representation of τ x,y,z . We can remedy this by using a different set of pseudo-spin Pauli matrices τ ' x,y,z in (7),\n\nτ ' x = √ 1 / 3 τ z + √ 2 / 3 τ x , τ ' y = √ 1 / 3 τ z -√ 1 / 6 τ x + √ 1 / 2 τ y , τ ' z = √ 1 / 3 τ z -√ 1 / 6 τ x -√ 1 / 2 τ y\n\nWith proper representation choice, they have a symmetric form in terms of physical spins,\n\nτ ' x = -(4 / 3) S 2 · ( S 3 × S 4 ) + √ 2 / 3(2 S 1 · S 2 +1 / 2) τ ' y = -(4 / 3) S 3 · ( S 4 × S 2 ) + √ 2 / 3(2 S 1 · S 3 +1 / 2) τ ' z = -(4 / 3) S 4 · ( S 2 × S 3 ) + √ 2 / 3(2 S 1 · S 4 +1 / 2) (10)\n\nSo the symmetry mentioned above can be realized by a three-fold rotation of the honeycomb lattice, with a cyclic permutation of S 2 , S 3 and S 4 in each cluster. This is in fact the three-fold rotation symmetry of the physical spin lattice illustrated in FIG. 2. However this more symmetric representation will not be used in later part of this paper.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0266.pdf" - }, - { - "text": "## Realization of the Exactly Solvable Kitaev Honeycomb Lattice Model in a Spin Rotation Invariant System\n\nFa Wang 1\n\n1 Department of Physics, Massachusetts Institute of Technology, Cambridge, MA 02139, USA\n\nThe exactly solvable Kitaev honeycomb lattice model is realized as the low energy effect Hamiltonian of a spin-1/2 model with spin rotation and time-reversal symmetry. The mapping to low energy effective Hamiltonian is exact, without truncation errors in traditional perturbation series expansions. This model consists of a honeycomb lattice of clusters of four spin-1/2 moments, and contains short-range interactions up to six-spin(or eight-spin) terms. The spin in the Kitaev model is represented not as these spin-1/2 moments, but as pseudo-spin of the two-dimensional spin singlet sector of the four antiferromagnetically coupled spin-1/2 moments within each cluster. Spin correlations in the Kitaev model are mapped to dimer correlations or spin-chirality correlations in this model. This exact construction is quite general and can be used to make other interesting spin-1/2 models from spin rotation invariant Hamiltonians. We discuss two possible routes to generate the high order spin interactions from more natural couplings, which involves perturbative expansions thus breaks the exact mapping, although in a controlled manner.\n\nPACS numbers: 75.10.Jm, 75.10.Kt\n\n## Contents\n\n## I. Introduction.\n\n1\n\n- II. Formulation of the Pseudo-spin-1/2 from Four-spin Cluster.\n\n## III. Realization of the Kitaev Model.\n\n3\n\n- IV. Generate the High Order Physical Spin Interactions by Perturbative Expansion.\n- A. Generate the High Order Terms by Coupling to Optical Phonon.\n- B. Generate the High Order Terms by Magnetic Interactions between Clusters.\n\n## V. Conclusions.\n\n8\n\n## Acknowledgments\n\n8\n\n- A. Coupling between Distortions of a Tetrahedron and the Pseudo-spins\n- B. Derivation of the Terms Generated by Second Order Perturbation of Inter-cluster Magnetic Interactions\n\n8\n\n9\n\nReferences 10\n\n## I. INTRODUCTION.\n\nKitaev's exactly solvable spin-1/2 honeycomb lattice model 1 (noted as the Kitaev model hereafter) has inspired great interest since its debut, due to its exact solvability, fractionalized excitations, and the potential\n\n5\n\n5\n\n7\n\n2\n\nto realize non-Abelian anyons. The model simply reads\n\nH Kitaev = -∑ x -links J x τ x j τ x k -∑ y -links J y τ y j τ y k -∑ z -links J z τ z j τ z k (1)\n\nwhere τ x,y,z are Pauli matrices, and x, y, z -links are defined in FIG. 1. It was shown by Kitaev 1 that this spin1/2 model can be mapped to a model with one Majorana fermion per site coupled to Ising gauge fields on the links. And as the Ising gauge flux has no fluctuation, the model can be regarded as, under each gauge flux configuration, a free Majorana fermion problem. The ground state is achieved in the sector of zero gauge flux through each hexagon. The Majorana fermions in this sector have Dirac-like gapless dispersion resembling that of graphene, as long as | J x | , | J y | , and | J z | satisfy the triangular relation, sum of any two of them is greater than the third one 1 . It was further proposed by Kitaev 1 that opening of fermion gap by magnetic field can give the Ising vortices non-Abelian anyonic statistics, because the Ising vortex will carry a zero-energy Majorana mode, although magnetic field destroys the exact solvability.\n\nGreat efforts have been invested to better understand the properties of the Kitaev model. For example, several groups have pointed out that the fractionalized Majorana fermion excitations may be understood from the more familiar Jordan-Wigner transformation of 1D spin systems 2,3 . The analogy between the non-Abelian Ising vortices and vortices in p + ip superconductors has been raised in serveral works 4-7 . Exact diagonalization has been used to study the Kitaev model on small lattices 8 . And perturbative expansion methods have been developed to study the gapped phases of the Kitaev-type models 9 .", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0266.pdf" - }, - { - "text": "FIG. 15: Top σ ( ω ) in the NS and the SCS in the 'corrected' MFLI model with the feedback from SC on the quasiparticle damping: i Γ term transforms into Γ √ -ω 2 +∆ 2 . In the SCS σ now begins at Ω = 2∆. The parameters are same as in Fig. 10. Bottom - the behavior of Kubo sum with Γ. Observe that W ( ω c ) in the NS is larger than in the SCS.\n\n\n\nFIG. 16: Evolution of the difference of the optical integrals between the SCS and the NS with the upper cut-off ω c for the 'corrected' MFLI model. Now ∆ W ( ω c ) is negative above some frequency. Parameters are same as in the Fig 15.\n\n\n\nmodel, where W K is larger in the NS for all Γ (see Fig. 4). In other words, the original MFLI model does not have the BCSI theory as its limiting case.\n\nWe modified the MFLI model is a minimal way by changing the damping term in a SCS to Γ √ -ω 2 +∆ 2 to be consistent with BCSI model. We still use Eq. (18) for the MFL term simply because this term was introduced in the NS on phenomenological grounds and there is no way to guess how it gets modified in the SCS state with-\n\nrst deriving the normal state self-energy microscopically (this is what we will do in the next section). The results of the calculations for the modified MFLI model are presented in Figs. 15 and 16. We clearly see that the behavior is now different and ∆ W K < 0 for all Γ. This is the same behavior as we previously found in BCSI and EB models. So we argue that the 'unconventional' behavior exhibited by the original MFLI model is most likely the manifestation of a particular modeling inconsistency. Still, Ref. 30 made a valid point that the fact that quasiparticles behave more close to free fermions in a SCS than in a NS, and this effect tends to reverse the signs of ∆ W K and of the kinetic energy 43 . It just happens that in a modified MFLI model the optical integral is still larger in the NS.\n\n## D. The collective boson model\n\nWe now turn to a more microscopic model- the CB model. The model describes fermions interacting by exchanging soft, overdamped collective bosons in a particular, near-critical, spin or charge channel 31,44,45 . This interaction is responsible for the normal state self-energy and also gives rise to a superconductivity. A peculiar feature of the CB model is that the propagator of a collective boson changes below T c because this boson is not an independent degree of freedom (as in EB model) but is made out of low-energy fermions which are affected by superconductivity 32 .\n\nThe most relevant point for our discussion is that this model contains the physics which we identified above as a source of a potential sign change of ∆ W K . Namely, at strong coupling the fermionic self-energy in the NS is large because there exists strong scattering between low-energy fermions mediated by low-energy collective bosons. In the SCS, the density of low-energy fermions drops and a continuum collective excitations becomes gaped. Both effects reduce fermionic damping and lead to the increase of W K in a SCS. If this increase exceeds a conventional loss of W K due to a gap opening, the total ∆ W K may become positive.\n\nThe CB model has been applied numerous times to the cuprates, most often under the assumption that nearcritical collective excitations are spin fluctuations with momenta near Q = ( π, π ). This version of a CB boson is commonly known as a spin-fermion model. This model yields d x 2 -y 2 superconductivity and explains in a quantitative way a number of measured electronic features of the cuprates, in particular the near-absence of the quasiparticle peak in the NS of optimally doped and underdoped cuprates 39 and the peak-dip-hump structure in the ARPES profile in the SCS 31,32,46,47 . In our analysis we assume that a CB is a spin fluctuation.", - "page_start": 9, - "page_end": 9, - "source_file": "1001.0764.pdf" - }, - { - "text": "form\n\nJ ' ( Q E 1 f E 1 + Q E 2 f E 2 )\n\nwhere J ' is the derivative of Heisenberg coupling J cluster between two spins /lscript and m with respect to their distance r /lscriptm , J ' = d J cluster / d r /lscriptm ; Q E 1 , 2 are the generalized coordinates of these two modes; and the functions f E 1 , 2 are\n\nf E 2 = (1 / 2)( S 2 · S 4 + S 1 · S 3 -S 1 · S 4 -S 2 · S 3 ) , f E 1 = √ 1 / 12( S 1 · S 4 + S 2 · S 3 + S 2 · S 4 + S 1 · S 3 -2 S 1 · S 2 -2 S 3 · S 4 ) .\n\nAccording to TABLE I we have f E 1 = -( √ 3 / 2) τ x and f E 2 = ( √ 3 / 2) τ y . Then the coupling becomes\n\n( √ 3 / 2) J ' ( -Q E 1 τ x + Q E 2 τ y ) (12)\n\nThe spin-lattice(SL) Hamiltonian on a single cluster j is [equation (1.8) in Ref. 35 ],\n\nH cluster j, SL = H cluster j + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2 -√ 3 2 J ' ( Q E 1 j τ x j -Q E 2 j τ y j ) , (13)\n\nwhere k > 0 is the elastic constant for these phonon modes, J ' is the spin-lattice coupling constant, Q E 1 j and Q E 2 j are the generalized coordinates of the Q E 1 and Q E 2 distortion modes of cluster j , H cluster j is (2). As already noted in Ref. 35 , this model does not really break the pseudo-spin rotation symmetry of a single cluster.\n\nNow we put two clusters j and k together, and include a perturbation λH perturbation to the optical phonon Hamiltonian,\n\nH jk, SL = H cluster j, SL + H cluster k, SL + λH perturbation [ Q E 1 j , Q E 2 j , Q E 1 k , Q E 2 k ]\n\nwhere λ (in fact λ/k ) is the expansion parameter.\n\nConsider the perturbation H perturbation = Q E 1 j · Q E 1 k , which means a coupling between the Q E 1 distortion modes of the two tetrahedra. Integrate out the optical phonons, at lowest non-trivial order, it produces a term (3 J ' 2 λ ) / (4 k 2 ) τ x j · τ x k . This can be seen by minimizing separately the two cluster Hamiltonians with respect to Q E 1 , which gives Q E 1 = ( √ 3 J ' ) / (2 k ) τ x , then plug this into the perturbation term. Thus we have produced the J x term in the Kitaev model with J x = -(3 J ' 2 λ ) / (4 k 2 ).\n\nThe τ z j · τ z k coupling is more difficult to get. We treat it as -τ x j τ y j · τ x k τ y k . By the above reasoning, we need an anharmonic coupling H perturbation = Q E 1 j Q E 2 j · Q E 1 k Q E 2 k . It will produce at lowest non-trivial order (9 J ' 4 λ ) / (16 k 4 ) τ x j τ y j · τ x k τ y k . Thus we have J z = (9 J ' 4 λ ) / (16 k 4 ).\n\nSimilarly the perturbation H perturbation = Q E 2 j · Q E 2 k will generate (3 J ' 2 λ ) / (4 k 2 ) τ y j · τ y k at lowest non-trivial order. So we can make J y = -(3 J ' 2 λ ) / (4 k 2 ).\n\nFinally we have made up a spin-lattice model H SL , which involves only S /lscript · S m interaction for physical spins,\n\nH SL = ∑ cluster H cluster , SL + ∑ x -links λ x Q E 1 j · Q E 1 k + ∑ y -links λ y Q E 2 j · Q E 2 k + ∑ z -links λ z Q E 1 j Q E 2 j · Q E 1 k Q E 2 k\n\nwhere Q E 1 j is the generalized coordinate for the Q E 1 mode on cluster j , and Q E 1 k , Q E 2 j , Q E 2 k are similarly defined; λ x,y = -(4 J x,y k 2 ) / (3 J ' 2 ) and λ z = (16 J z k 4 ) / (9 J ' 4 ); the single cluster spin-lattice Hamiltonian H cluster , SL is (13).\n\nCollect the results above we have the spin-lattice Hamiltonian H SL explicitly written as,\n\nH SL = ∑ cluster j [ ( J cluster / 2)( S j 1 + S j 2 + S j 3 + S j 4 ) 2 + k 2 ( Q E 1 j ) 2 + k 2 ( Q E 2 j ) 2 + J ' ( Q E 1 j S j 1 · S j 4 + S j 2 · S j 3 + S j 2 · S j 4 + S j 1 · S j 3 -2 S j 1 · S j 2 -2 S j 3 · S j 4 √ 12 + Q E 2 j S j 2 · S j 4 + S j 1 · S j 3 -S j 1 · S j 4 -S j 2 · S j 3 2 )] -∑ x -links 4 J x k 2 3 J ' 2 Q E 1 j · Q E 1 k -∑ y -links 4 J y k 2 3 J ' 2 Q E 2 j · Q E 2 k + ∑ z -links 16 J z k 4 9 J ' 4 Q E 1 j Q E 2 j · Q E 1 k Q E 2 k (14)\n\nThe single cluster spin-lattice Hamiltonian [first three lines in (14)] is quite natural. However we need some\n\nharmonic(on x - and y -links of honeycomb lattice) and anharmonic coupling (on z -links) between optical phonon", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0266.pdf" - }, - { - "text": "## A. Generate the High Order Terms by Coupling to Optical Phonon.\n\nIn this Subsection we regard each four-spin cluster as a tetrahedron, and consider possible optical phonon modes(distortions) and their couplings to the spin system. The basic idea is that the intra-cluster Heisenberg coupling J cluster can linearly depend on the distance between physical spins. Therefore certain distortions of the tetrahedron couple to certain linear combinations of S /lscript · S m . Integrating out phonon modes will then generate high order spin interactions. This idea has been extensively studied and applied to several magnetic materials 28-34 . More details can be found in a recent review by Tchernyshyov and Chern 35 . And we will frequently use their notations. In this Subsection we will use the representation (5) for τ z .\n\nConsider first a single tetrahedron with four spins 1 , . . . , 4. The general distortions of this tetrahedron can be classified by their symmetry (see for example Ref. 35 ). Only two tetragonal to orthorhombic distortion modes, Q E 1 and Q E 2 (illustrated in FIG. 3), couple to the pseudospins defined in Section II. A complete analysis of all modes is given in Appendix A. The coupling is of the", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0266.pdf" - }, - { - "text": "J cluster limit. So only the singlet sector remains in low energy.\n\nThe singlet sector is then treated as a pseudo-spin-1/2 Hilbert space. From now on we denote the pseudo-spin1/2 operators as T = (1 / 2) /vectorτ , with /vectorτ the Pauli matrices. It is convenient to choose the following basis of the pseudo-spin\n\n| τ z = ± 1 〉 = 1 √ 6 ( | ↓↓↑↑〉 + ω -τ z | ↓↑↓↑〉 + ω τ z | ↓↑↑↓〉 + | ↑↑↓↓〉 + ω -τ z | ↑↓↑↓〉 + ω τ z | ↑↓↓↑〉 ) (3)\n\nwhere ω = e 2 πi/ 3 is the complex cubic root of unity, | ↓↓↑↑〉 and other states on the right-hand-side(RHS) are basis states of the four-spin system, in terms of S z quantum numbers of physical spins 1 , . . . , 4 in sequential order. This pseudo-spin representation has been used by Harris et al. to study magnetic ordering in pyrochlore antiferromagnets 21 .\n\nWe now consider the effect of Heisenberg-type interactions S j · S k inside the physical singlet sector. Note that since any S j · S k within the cluster commutes with the cluster Hamiltonian H cluster (2), their action do not mix physical spin singlet states with states of other total physical spin. This property is also true for the spinchirality operator used later. So the pseudo-spin Hamiltonian constructed below will be exact low energy Hamiltonian, without truncation errors in typical perturbation series expansions.\n\n/negationslash\n\nIt is simpler to consider the permutation operators P jk ≡ 2 S j · S k + 1 / 2, which just exchange the states of the two physical spin-1/2 moments j and k ( j = k ). As an example we consider the action of P 34 ,\n\nP 34 | τ z = -1 〉 = 1 √ 6 ( | ↓↓↑↑〉 + ω | ↓↑↑↓〉 + ω 2 | ↓↑↓↑〉 + | ↑↑↓↓〉 + ω | ↑↓↓↑〉 + ω 2 | ↑↓↑↓〉 ) = | τ z = +1 〉\n\nand similarly P 34 | τ z = -1 〉 = | τ z = +1 〉 . Therefore P 34 is just τ x in the physical singlet sector. A complete list of all permutation operators is given in TABLE I. We can choose the following representation of τ x and τ y ,\n\nτ x = P 12 = 2 S 1 · S 2 +1 / 2 τ y = ( P 13 -P 14 ) / √ 3 = (2 / √ 3) S 1 · ( S 3 -S 4 ) (4)\n\nMany other representations are possible as well, because several physical spin interactions may correspond to the same pseudo-spin interaction in the physical singlet sector, and we will take advantage of this later.\n\nFor τ z we can use τ z = -iτ x τ y , where i is the imaginary unit,\n\nτ z = -i (2 / √ 3)(2 S 1 · S 2 +1 / 2) S 1 · ( S 3 -S 4 ) (5)\n\nTABLE I: Correspondence between physical spin operators and pseudo-spin operators in the physical spin singlet sector of the four antiferromagnetically coupled physical spins. P jk = 2 S j · S k +1 / 2 are permutation operators, χ jk/lscript = S j · ( S k × S /lscript ) are spin-chirality operators. Note that several physical spin operators may correspond to the same pseudo-spin operator.\n\n| physical spin | pseudo-spin |\n|-----------------------------------|--------------------------------|\n| P 12 , and P 34 | τ x |\n| P 13 , and P 24 | - (1 / 2) τ x +( √ 3 / 2) τ y |\n| P 14 , and P 23 | - (1 / 2) τ x - ( √ 3 / 2) τ y |\n| χ 234 , χ 341 , χ 412 , and χ 123 | ( √ 3 / 4) τ z |\n\n-\n\n-\n\nHowever there is another simpler representation of τ z , by the spin-chirality operator χ jk/lscript = S j · ( S k × S /lscript ). Explicit calculation shows that the effect of S 2 · ( S 3 × S 4 ) is -( √ 3 / 4) τ z in the physical singlet sector. This can also be proved by using the commutation relation [ S 2 · S 3 , S 2 · S 4 ] = i S 2 · ( S 3 × S 4 ). A complete list of all chirality operators is given in TABLE I. Therefore we can choose another representation of τ z ,\n\nτ z = -χ 234 / ( √ 3 / 4) = -(4 / √ 3) S 2 · ( S 3 × S 4 ) (6)\n\nThe above representations of τ x,y,z are all invariant under global spin rotation of the physical spins.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0266.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "What is the Oxbridge Academy email?", - "target_page": 59, - "target_passage": "Email: info@oxbridgeacademy.co.za", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa twitter.com/oxbridgeEdu www.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offer -ing skills courses, national qualifications, and internationally recognised courses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our students' needs by recruiting industry-expert tutors to provide academic assistance via telephone and e-mail, as well as by designing our study material in such a way that it is clear, simple, and easy for our students to understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\n## CONTACT NUMBERS:\n\nTel: 021 1100 200 Tel:+2721 883 2454 (international) Fax: 086 111 2121\n\nFax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585 Email: info@oxbridgeacademy.co.za\n\nPostal Address:\n\nPO Box 12723, Die Boord, Stellenbosch, 7613\n\n\n\n\n\n\n\n\n\n\n\n\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section 31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "3\n\n4\n\n\n\nSend your registration form to the registrations office at Oxbridge Academy via one of the following channels:\n\nFax:\n\n086 262 5550\n\nPost: PO Box 12723, Die Boord, 7613 E-mail: registrar@oxbridgeacademy.co.za\n\n6", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 1 - SELECT YOUR COURSE\n\nOxbridge Academy Short Course: Marketing Management\n\nADV101\n\nBefore you start filling in the registration form, you need to choose your course. Once you've identified the course that you would like to study, remember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on the relevant detailed course information page on our website. Have a look at the example in the screenshot below (the course name and course code are circled in red):\n\n\n\nPlease make sure to check the accreditation status of your chosen course. Some of our courses are non-credit bearing skills development courses, which are neither accredited by external bodies nor registered on the NQF. Please go to our website: oxbridgeacademy.co.za for more information about our skills development courses.", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 4 - PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\nDifferent courses have different registration fees. Please check the course fees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to find out how much you need to pay to register for your chosen course, and pay this amount using the banking details provided at the bottom of the registration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign this section of the form to state that they are aware of your registration with Oxbridge Academy, and that they do not have any objections. If you are unemployed, you will need a guarantor to sign this section of the form. Your parent or guarantor will be held responsible if you miss any of your payments in relation to your course fees.\n\n", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "\n\n## TIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a daunting experience. Not only do you need to choose a course, but you also need to make sure that you:\n\n - · meet the entry requirements\n - · meet the deadlines\n - · fill in the forms correctly\n - · send the forms to the right address\n - · include all the necessary attachments\n\nTo make the college registration process easier for you, we've compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general tips that will be relevant to the application and registration processes at other colleges.\n\n## There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:\n\n - 1. Select Your Course\n - 2. Fill in Your Student Details\n - 3. Select Your Delivery Option\n - 4. Pay Your Registration Fee and Send in Your Form\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage or retrieval system, without prior permission in writing from the publisher. Subject to any applicable licensing terms and conditions in the case of electronically supplied publications, a person may engage in fair dealing with a copy of this publication for his or her personal or private use, or his or her research or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and to acknowledge the use of copyright material. Should any infringement of copyright have occurred, please contact the publisher, and every effort will be made to rectify omissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015", - "page_start": 1, - "page_end": 1, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "\n\n## CHAPTER 8:\n\n## TIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\n\n\nDepending on which course you study, you will either be assessed by means of written assignments, or through a combination of written assignments and exams. Assignments not only help to deepen your understanding of the work, but they often also count toward your final mark.\n\nIt is therefore important that you put effort into your assignments, and that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of how to go about completing your assignments, or that you might be afraid of failure.\n\nIf you are an Oxbridge Academy student, we'd like you to know that we are here to help you every step of the way, and that we will give you the opportunity to resubmit your assignments if you don't achieve a pass mark the first time around.", - "page_start": 36, - "page_end": 36, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n## 1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment guidelines will be provided in your 'Success' Study Guide. Specific instructions will also be included at the beginning of each of your assignments.\n\n## 2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you focus on answering the right questions, instead of providing irrelevant information.\n\n## 3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count toward the mark that you receive for your assignment.\n\n## 4. Use your course material and other external sources to find answers to the assignment questions.\n\nBut make sure to use your own words - don't just copy. You need to show the person marking your assignment that you have developed a sound understanding of the subject.\n\n## 5. When you use external resources, remember to reference them properly, and to include them in a bibliography.\n\nIf you don't, you may be guilty of plagiarism (www.oxforddictionaries. com/definition/english/plagiarism), which is a serious offence.\n\n - 6. Always hand in your own work, and make sure that you use your own words when you formulate your answers.\n\n## 7. When it comes to essay questions:\n\n - · Plan/outline your answer before doing the final draft.\n - · Remember that essays have titles, introductions, bodies, and conclusions.\n - · Use headings and paragraphs to structure your answer.", - "page_start": 37, - "page_end": 37, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "\n\n## CHAPTER 7:\n\n## HOW TO ASK FOR HELP FROM YOUR TUTOR\n\n\n\nAs a student, you are going to experience times when you need help with your studies. You might be unsure about an assignment question, you might be confused by a particular concept, or you might be stressed about the upcoming exams.\n\nAnd if you are studying via distance learning (www.oxbridgeacademy.co. za/distance-learning/), where you don't have any face-to-face interaction with lecturers, you will need to rely on your tutors for the necessary academic support.", - "page_start": 32, - "page_end": 32, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 2 - FILL IN YOUR STUDENT DETAILS\n\n\n\nTo complete this section, you need to provide us with your personal details:\n\n## E-mail address\n\nPlease provide a valid e-mail address that you check on a regular basis, as we'll be using this address to communicate with you throughout your studies.\n\n## Occupation\n\nRefers to your current job (if you are employed). If you are unemployed, you can simply write 'unemployed' or 'not applicable'.\n\n## Delivery address\n\nRefers to the address at which you want your study material to be delivered. The reason why we prefer you to select your work address is so that there will always be someone available to receive your study material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "When is it necessary to use a host multipathing driver for load balancing?", - "target_page": 340, - "target_passage": "For load balancing and access redundancy on the host side, the use of a host multipathing driver is required in the following situations: Protection from fabric link failures, including port failures on the IBM Spectrum Virtualize system nodes Protection from a host HBA failure (if two HBAs are in use) Protection from fabric failures if the host is connected through two HBAs to two separate fabrics Provide load balancing across the host HBA", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- c. Hosts usually do not support concurrent multipath drivers at the same time. You might need to remove drivers that are not compatible with the Storwize V7000, from the hosts and use the recommended device drivers. For more information about supported drivers, see the IBM SSIC.", - "page_start": 412, - "page_end": 412, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 3-4 Overview of four-path host zoning\n\n\n\nWhen possible, use the minimum number of paths that are necessary to achieve a sufficient level of redundancy. For the Storwize V7000 environment, no more than four paths per I/O Group are required to accomplish this layout.\n\nAll paths must be managed by the multipath driver on the host side. Make sure that the multipath driver on each server can handle the number of paths required to access all volumes mapped to the host.\n\nFor hosts that use four HBAs/ports with eight connections to an I/O Group, use the zoning schema that is shown in Figure 3-5 on page 57. You can combine this schema with the previous four-path zoning schema.", - "page_start": 77, - "page_end": 77, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Balanced host load across HBA ports\n - If the host has more than one HBA port per fabric, zone each host port with a separate group of Storwize V7000 ports.\n - /SM590000 Balanced host load across Storwize V7000 ports\n - To obtain the best overall performance of the subsystem and to prevent overloading, the load of each Storwize V7000 port should be equal. Assuming a similar load is generated by each host, you can achieve this balance by zoning approximately the same number of host ports to each Storwize V7000 port.\n\nFigure 3-4 on page 56 shows an example of a balanced zoning configuration that was created by completing the following steps:", - "page_start": 76, - "page_end": 76, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Number of paths per host multipath device\n\nThe maximum supported number of paths per multipath device that is visible on the host is eight. Although the IBM Subsystem Device Driver Path Control Module (SDDPCM), related products, and most vendor multipathing software can support more paths, the Storwize V7000 expects a maximum of eight paths. In general, you see only an effect on performance from more paths than eight. Although the IBM Spectrum Virtualize can work with more than eight paths, this design is technically unsupported.", - "page_start": 762, - "page_end": 762, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 3-5 Overview of eight-path host zoning\n\n\n\nFor more information, see Chapter 8, 'Hosts' on page 317.\n\n## 3.6.6 Zoning considerations for Metro Mirror and Global Mirror\n\nThe SAN configurations that use intercluster Metro Mirror and Global Mirror relationships require the following other switch zoning considerations:\n\n - /SM590000 Review the latest requirements and recommendations at this website.\n - /SM590000 If two ISLs are connecting the sites, split the ports from each node between the ISLs. That is, exactly one port from each node must be zoned across each ISL.\n - /SM590000 Local clustered system zoning continues to follow the standard requirement for all ports on all nodes in a clustered system to be zoned to one another.\n\nWhen designing zoning for a geographically dispersed solution, consider the effect of the cross-site links on the performance of the local system.\n\nImportant: Be careful when you perform the zoning so that ports that are dedicated for intra-cluster communication are not used for Host/Storage traffic in the 8-port and 12-port configurations.\n\nThe use of mixed port speeds for intercluster communication can lead to port congestion, which can negatively affect the performance and resiliency of the SAN. Therefore, it is not supported.", - "page_start": 78, - "page_end": 78, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Host system failover capabilities using N-Port ID Virtualization (NPIV)", - "page_start": 695, - "page_end": 695, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Production application performance that is affected by round-trip latency", - "page_start": 541, - "page_end": 541, - "source_file": "sg247938.pdf" - }, - { - "text": "## 3.12.1 Queue depth\n\nTypically, hosts issue subsequent I/O requests to storage systems without waiting for completion of previous ones. The number of outstanding requests is called queue depth . Sending multiple I/O requests in parallel (asynchronous I/O) provides significant performance benefits compared to sending them one-by-one (synchronous I/O). However, if the number of queued requests exceeds the maximum that is supported by the storage controller, you experience performance degradation.\n\nTherefore, for large storage networks, plan for setting correct SCSI commands queue depth on your hosts. For this purpose, a large storage network is defined as one that contains at least 1000 volume mappings. For example, a deployment with 50 hosts with 20 volumes mapped to each of them is considered a large storage network. For more information about the queue depth calculations, search for 'Queue depth in large SANs' at this IBM Knowledge Center web page.\n\n## 3.12.2 Offloaded data transfer\n\nIf your Windows hosts are configured to use Microsoft Offloaded Data Transfer (ODX) to offload the copy workload to the storage controller, consider the benefits of this technology against extra load on storage controllers. The benefits and effects of enabling ODX are especially prominent in Microsoft Hyper-V environments with ODX enabled.\n\n## 3.13 Host mapping and LUN masking\n\nHost mapping is similar in concept to LUN mapping or masking. LUN mapping is the process of controlling which hosts have access to specific LUs within the disk controllers. LUN mapping is typically done at the storage system level. Host mapping is done at the software level.\n\nLUN masking is usually implemented in the device driver software on each host. The host has visibility of more LUNs than it is intended to use. The device driver software masks the LUNs that are not to be used by this host. After the masking is complete, only some disks are visible to the operating system. The system can support this type of configuration by mapping all volumes to every host object and by using operating system-specific LUN masking technology. However, the default (and preferred) system behavior is to map only those volumes that the host is required to access.\n\nThe act of mapping a volume to a host makes the volume accessible to the WWPNs or iSCSI names such as iSCSI qualified names (IQNs) or extended-unique identifiers (EUIs) that are configured in the host object.\n\n## 3.13.1 Planning for large deployments\n\nEach I/O Group can have up to 512 host objects defined. This limit is the same whether hosts are attached by using FC, iSCSI, or a combination of both. To allow more than 512 hosts to access the storage, you must divide them into groups of 512 hosts or less, and map each group to single I/O Group only. This approach allows you to configure up to 2048 host objects on a system with four I/O Groups (eight nodes).\n\nFor best performance, split each host group into two sets. For each set, configure the preferred access node for volumes presented to the host set to one of the I/O Group nodes. This approach helps to evenly distribute load between the I/O Group nodes.", - "page_start": 92, - "page_end": 92, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Advanced Copy Services functions offered across storage systems from separate vendors\n - /SM590000 Only one multipath driver is required for attached hosts", - "page_start": 339, - "page_end": 339, - "source_file": "sg247938.pdf" - }, - { - "text": "Figure 13-21 Update process paused for host path recovery\n\n\n\n - 11.After a 30-minute pause, a node failover occurs and you temporarily lose connection to the GUI to ensure that multipathing recovered on all attached hosts. A warning window displays, prompting you to refresh the current session, as shown in Figure 13-22 on page 694.", - "page_start": 714, - "page_end": 714, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "Which orbiting instrument provides near-continuous full-sky coverage in the hard X-ray/low-energy gamma-ray range?", - "target_page": 1, - "target_passage": "Gamma ray Burst Monitor", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi Dept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\n## A. Camero-Arranz\n\nFundaci'on Espa˜nola de Ciencia y Tecnolog'ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\n## E. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\n## P. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\n## M.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n## I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It con-\n\nsists of 12 NaI detectors 5 '' in diameter by 0.5 '' thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 5 '' in diameter by 5 '' thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140 · , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ± 35 · slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26 . 5 · , individual occultation steps last for ∼ 10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "## 2. VERITAS\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ -rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼ 100 GeV, an energy resolution of ∼ 15%, an angular resolution of ∼ 0.1 · , and a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\n\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T ( t ) = exp [ -µ ( E ) A ( h )], where µ ( E ) is the mass attenuation coefficient of gamma rays at energy E in air and A ( h ) is the air mass along the line of sight at a given altitude h ( t ). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5 σ after ∼ 490 days of observations, and one transient source.\n\n## III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm 2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\n\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n## A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBMCTIMEdata do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both 'quiescent' and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VERITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0 . 3 < z < 0 . 7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n## Acknowledgments\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation of the instrument.\n\n## References\n\n - [1] F. Aharonian et al. 2007, ApJ , 664 , L71\n - [2] F. Aharonian et al. 2006, Nature , 440 , 1018\n - [3] F. Aharonian et al. 2007, A&A , 475 , L9\n - [4] J. Holder, et al. 2008, AIPC , 1085 , 657\n - [5] L. Costamante & G. Ghisellini 2002, A&A , 384 , 56\n - [6] E.S. Perlman 2000, AIPC , 515 , 53\n - [7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n - [8] P. Giommi et al. 2005, A&A , 434 , 385\n - [9] S. Turriziani et al. 2007, A&A , 472 , 699\n - [10] L. Costamante 2006, arXiv:0612709\n - [11] P. Padovani et al. 2002, ApJ , 581 , 895\n - [12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n - [13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n - [14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n - [15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n - [16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n - [17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n - [18] L.C. Reyes 2009, arXiv:0907.5175\n - [19] R.A. Ong 2009, ATel , 1941\n - [20] R.A. Ong et al. 2009, ATel , 2272\n - [21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n - [22] R.A. Ong et al. 2009, ATel , 2301\n - [23] R.A. Ong et al. 2009, ATel , 2260\n - [24] R.A. Ong et al. 2009, ATel , 2309\n - [25] W. Benbow 2009, arXiv:0908.1412\n - [26] V.A. Acciari et al. 2009, ApJ , submitted\n - [27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n - [28] V.A. Acciari et al. 2009, ApJ , in press\n - [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "\n\nFIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\n\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1 . 8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.FIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What is Cyg X-1?", - "target_page": 3, - "target_passage": "is a HMXB and one of the first systems determined to contain a black hole", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "http://www.cygwin.com", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Cygwin Linux-like environment for Windows", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\nFIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\n\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1 . 8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.FIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "- GLYPH<129> Remote copy group: 1", - "page_start": 589, - "page_end": 589, - "source_file": "sg247938.pdf" - }, - { - "text": "- GLYPH<129> Node 1:", - "page_start": 590, - "page_end": 590, - "source_file": "sg247938.pdf" - }, - { - "text": "## CABLE\n\n - GLYPH<129> Acquisition of Mountain Cable, Shaw Communications' (Shaw) cable system in Hamilton, Ontario was completed.\n - GLYPH<129> Next generation TV experience was unveiled with NextBox 3.0 giving viewers access to record up to eight HD programs at one time and store up to 240 hours of HD content. The NextBox 3.0 experience includes Whole Home PVR capability and becomes a wireless TV experience allowing viewers to navigate their cable guide, use a virtual remote, set PVR recordings and live stream channels all from a tablet or smartphone while at home or away.\n - GLYPH<129> Rogers was named both the fastest broadband Internet service provider and the fastest wireless network in Canada in October 2013 by PCMag.com, a leading US based technology website.\n - GLYPH<129> SamKnows, an independent broadband performance company, stated through in-home testing in May 2013 that we delivered, on average, 100 % or more of our advertised download speeds on our most popular Internet packages, better than most providers in the US and Europe that were tested.\n - GLYPH<129> MLB Network, a 24-hour network dedicated exclusively to baseball was launched on Rogers digital television, marking the first time this network is available in Canada. MLB Network's year-round programming features live games, news, highlights, and the game's top analysts.\n - GLYPH<129> Our TV experience was significantly enriched with the launch of our Recommendations App for NextBox, giving customers access to personalized live, rental, on-demand and previously recorded program recommendations displayed on their TV screens. A Canadian cable industry first, the application recommends similar\n\nprograms based on what customers are viewing, helping Canadians to explore and uncover more programming that appeals to their individual tastes.\n\n## BUSINESS SOLUTIONS\n\n - GLYPH<129> Following the acquisition of Blackiron and Pivot Data Centres this year, Business Solutions announced it is expanding its hosting and colocation business in Western Canada through a newly expanded data centre in Edmonton and a new Western Canada flagship data centre in Calgary.\n - GLYPH<129> SIP Trunking, a new IP-based voice solution, was announced for enterprises designed to complement our fibre-based Internet and WAN connectivity services. Merging voice services with a business data network, SIP Trunking solutions dynamically allocate bandwidth as needed to support voice and/or data needs depending upon capacity requirements during peak hours and also provide a platform for next generation IP-based video, mobile and productivity applications and services.\n\n## MEDIA", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Regulation 3(1)", - "page_start": 54, - "page_end": 54, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "| RC::FLTG | B6.Cg- Gt(ROSA) 26Sor tm1.3(CAG-tdTomato,- EGFP)Pjen /J | Flp-mediated tdTomato; Cre 1 Flp-mediated GFP expression | 40 | The Jackson Laboratory (RRID: IMSR\\_JAX:026932) | N.A. |\n| Ai14 | B6.Cg- Gt(ROSA) 26Sor tm14(CAG-tdTomato)Hze / J | Cre-mediated tdTomato expression | 33 | The Jackson Laboratory (RRID: IMSR\\_JAX:007914) | N.A. |\n| Ai32 | B6.Cg- Gt(ROSA) 26Sor tm32(CAG- COP4*H134R/EYFP)Hze | Cre-mediated ChR2-eYFP expression | 32 | The Jackson Laboratory (RRID: IMSR\\_JAX:024109) | N.A. |", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed2.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\n\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T ( t ) = exp [ -µ ( E ) A ( h )], where µ ( E ) is the mass attenuation coefficient of gamma rays at energy E in air and A ( h ) is the air mass along the line of sight at a given altitude h ( t ). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5 σ after ∼ 490 days of observations, and one transient source.\n\n## III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm 2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\n\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n## A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBMCTIMEdata do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "## KEY HIGHLIGHTS\n\n## WIRELESS\n\n - GLYPH<129> Canada's first and fastest wireless LTE 4G broadband network continued its expansion. Our network covered approximately 73 % of the Canadian population at December 31, 2013, while continuing to offer the largest selection of LTE devices of any carrier in Canada. We were also the first carrier in North America and one of the first in the world to offer international LTE roaming to wireless customers.\n - GLYPH<129> Our wireless offerings and pricing tiers were simplified, reducing complexity and service times for our sales and support teams and adding customer value. These innovations include Canada's first complete wireless Share Everything plan which allows individuals, families and small businesses to share wireless data, unlimited nationwide talk and text and calling features across 1 to 10 wireless devices.\n - GLYPH<129> Our 'worry free' $7.99 per day US wireless data roaming plan was launched, with twice the daily data capacity (50 MB) typically used daily by consumers for wireless Internet, as well as enhanced voice, text and data roaming value packages.\n - GLYPH<129> A hybrid wireless home and small business phone solution was launched, that operates on our national wireless network. The service is available in regions outside Rogers' cable territories and offers a traditional home or office phone service and features without the need for a landline or Internet connection.\n - GLYPH<129> The M2M World Alliance, an organization comprised of eight leading international mobile operators including Rogers, demonstrated a single global SIM card which makes it easier to deploy connected devices in multiple countries and expected to drive further growth for our machine-to-machine business.\n\n## CABLE", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0955.pdf", - "query": "What satellite is the Gamma Ray Burst Observatory on?", - "target_page": 1, - "target_passage": " Fermi satellite", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Observations of Soft Gamma Ray Sources > 100 keV Using Earth Occultation with GBM\n\nG.L. Case, M.L. Cherry, J. Rodi Dept. of Physics & Astronomy, Louisiana State Univ., Baton Rouge, LA 70803, USA\n\n## A. Camero-Arranz\n\nFundaci'on Espa˜nola de Ciencia y Tecnolog'ıa (MICINN), C/Rosario Pino,14-16, 28020-Madrid, Spain\n\n## E. Beklen\n\nMiddle East Technical University (METU), 06531, Ankara, Turkey\n\nC. A. Wilson-Hodge\n\nNASA Marshall Space Flight Center, Huntsville, AL 35812\n\n## P. Jenke\n\nNASA Postdoctoral Program Fellow, NASA Marshall Space Flight Center, Huntsville, AL 35812\n\nP.N. Bhat, M.S. Briggs, V. Chaplin, V. Connaughton, R. Preece University of Alabama in Huntsville, Huntsville, AL 35899\n\n## M.H. Finger\n\nUSRA, National Space Science and Technology Center, Huntsville, AL 35899\n\nThe NaI and BGO detectors on the Gamma ray Burst Monitor (GBM) on Fermi are now being used for long term monitoring of the hard X-ray/low energy gamma ray sky. Using the Earth occultation technique demonstrated previously by the BATSE instrument on the Compton Gamma Ray Observatory, GBM produces multiband light curves and spectra for known sources and transient outbursts in the 8 keV - 1 MeV band with its NaI detectors and up to 40 MeV with its BGO. Coverage of the entire sky is obtained every two orbits, with sensitivity exceeding that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV. We describe the technique and present preliminary results after the first ∼ 17 months of observations at energies above 100 keV. Seven sources are detected: the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105, and the transient source XTE J1752-223.\n\n## I. INTRODUCTION\n\nThe Gamma ray Burst Monitor (GBM) on Fermi is currently the only instrument in orbit providing nearly continuous full sky coverage in the hard X-ray/low energy gamma ray energy range. The Earth occultation technique, used very successfully on BATSE, has been adapted to GBM. An initial catalog of 64 sources is currently being monitored and continuously augmented. At energies above 100 keV, six steady sources (the Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, GRS 1915+105) and one transient source (XTE J1752-223) have been detected in the first year of observation. We describe the instrument, outline the technique, and present light curves for the seven sources.\n\n## II. GBM AND THE EARTH OCCULTATION OBSERVATIONAL TECHNIQUE\n\nThe Gamma ray Burst Monitor is the secondary instrument onboard the Fermi satellite [1, 2]. It con-\n\nsists of 12 NaI detectors 5 '' in diameter by 0.5 '' thick mounted on the corners of the spacecraft and oriented such that they view the entire sky not occulted by the Earth. GBM also contains 2 BGO detectors 5 '' in diameter by 5 '' thick located on opposite sides of the spacecraft. None of the GBM detectors have direct imaging capability.\n\nKnown sources of gamma ray emission can be monitored with non-imaging detectors using the Earth occultation technique, as was successfully demonstrated with BATSE [3, 4]. When a source of gamma rays is occulted by the Earth, the count rate measured by the detector will drop, producing a step-like feature. When the source reappears from behind the Earths limb, the count rate will increase, producing another step. The diameter of the Earth seen from Fermi is ∼ 140 · , so roughly 30% of the sky is occulted by the Earth at any one time. Coupled with the ± 35 · slewing of the pointing direction every orbit, this means that the entire sky is occulted every two orbits. With an altitude of 565 km, a period of 96 minutes, and an orbital inclination of 26 . 5 · , individual occultation steps last for ∼ 10 seconds (Fig. 1).", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0955.pdf" - }, - { - "text": "## 2. VERITAS\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ -rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼ 100 GeV, an energy resolution of ∼ 15%, an angular resolution of ∼ 0.1 · , and a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\n\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T ( t ) = exp [ -µ ( E ) A ( h )], where µ ( E ) is the mass attenuation coefficient of gamma rays at energy E in air and A ( h ) is the air mass along the line of sight at a given altitude h ( t ). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5 σ after ∼ 490 days of observations, and one transient source.\n\n## III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm 2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\n\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n## A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBMCTIMEdata do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - }, - { - "text": "\n\nFIG. 3: Cen A light curve. Horizontal scale is in modified Julian days.\n\n\n\nto observe these breaks, GBM is able to see significant emission above 300 keV, consistent with the canonical hard spectrum.\n\nCen A (Fig. 3) is a Sy 2 galaxy that is the brightest AGN in hard x-rays/low energy gamma rays. It has a hard spectrum (Γ = 1 . 8) and has been observed at energies > 1 MeV [9]. The GBM results are consistent with this hard spectrum, though GBM does not have the sensitivity to determine if the hard spectrum continues beyond 300 keV or if the spectrum cuts off.\n\nCyg X-1 (Fig. 4) is a HMXB and one of the first systems determined to contain a black hole. It has been observed to emit significant emission above 100 keV including a power law tail extending out to greater than 1 MeV [10, 11]. The GBM results show significant emission above 300 keV, consistent with the power law tail observed when Cyg X-1 is in its hard state.\n\nGRS 1915+105 (Fig. 5) is a LMXB with the compact object being a massive black hole. Evidence for emission above 100 keV has been seen previously [12] with BATSE. The GBM light curve integrated over 490 days shows significant emission above 100 keV.\n\n1E 1740-29 (Fig. 6) is a LMXB very near the Galactic Center. It is a microquasar, and spends most of its time in the low/hard state. Integral observations indicate the presence of a power law tail above 200 keV [13]. The present GBM results are consistent with this high energy emission. In the future, we\n\nFIG. 4: Cyg X-1 light curve. Horizontal scale is in modified Julian days.FIG. 5: GRS 1915+105 light curve. Horizontal scale is in modified Julian days.\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0955.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "- /SM590000 Global Mirror and GM with Change Volumes", - "page_start": 571, - "page_end": 571, - "source_file": "sg247938.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "When in present-day Poland did the first shift away from earlier ancestry occur?", - "target_page": 3, - "target_passage": "in the Middle to Late Bronze Age (1500 bce to 1000 bce), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In the region of present-day Poland, our analysis suggests several clear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 BCE to 1000 BCE), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures 55 (Fig. 3a). Second, in the first to fifth century CE, individuals associated with Wielbark culture 5,12 show an additional strong shift away from the preceding Bronze Age groups, and can only be modelled with a >75% component attributed to the EIA Scandinavian Peninsula. Multiple individuals, especially from earlier Wielbark cemeteries, have approximately 100%", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\nFig. 3 | Time transects across six geographical regions in Europe.\n\n\n\na -f , Ancestry change visualized over a time transect spanning from the Bronze Age to the present day in Poland ( a ), southeastern Europe ( b ), central Europe ( c ), Italy ( d ), Britain and Ireland ( e ) and Scandinavia ( f ). The maps show sample locations of all available ancient genomes with at least 0.5× coverage from\n\nmedieval individuals ( P ≪ 1 × 10 -32 ). Instead, the majority of individuals from medieval Poland can be modelled only as a mixture of ancestries related to Roman Iron Age Lithuania, which is similar to ancestries of individuals from middle to late Bronze Age Poland (44%, 95% confidence interval 36-51%), an ancestry component related to Hungarian Scythians or Slovakian La Tène individuals (49%, 95% confidence interval 41-57%) and potentially a minority component of ancestry related to Sarmatians from the Caucasus ( P = 0.13) (Fig. 2c). Four out of twelve individuals from medieval Poland, three of whom are from the late Viking Age 6 , carried detectable Scandinavian-related ancestry. Some of the ancestry detected in individuals from later medieval Poland may have persisted during the late first millennium CE in the cremating portion of the population, but regardless, this points to large-scale ancestry transformation in medieval Poland (Fig. 3a). Future data could shed light on the extent to which this reflects the influence of groups speaking Slavic languages in the region.\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same MDS model as in Fig. 2a for each time period. For each geographic region, the early medieval period is highlighted in orange and the area in the MDS corresponding to Scandinavian and central European ancestries is highlighted in an orange box.\n\nIn present-day Slovakia, individuals associated with the Iron Age La Tène period appear close to Hungarian Scythians in the two dimensions of our MDS analysis, and are modelled as a mixture of central and eastern European ancestry. However, a first-century CE burial of a 50-60-year-old woman from Zohor is modelled only with Scandinavian-related ancestry, providing evidence of ancestry related to the Scandinavian EIA appearing southwest of the range of the Wielbark archaeological complex 5,57 (Fig. 3b). Later early medieval individuals from Slovakia have partial Scandinavian-related ancestry, providing evidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related ancestry components in several burials dating to the sixth century CE associated with Longobards (Longobard\\_earlyMED(I)) 10 (Fig. 2c). This is consistent with the original study 10 , which reported affinity to present-day groups from northwestern Europe (GBR, CEU and FIN in the 1000 Genomes Project (1000GP)) 10 but which we can resolve with", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "Across Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups-the one with individuals primarily from the northern parts of Scandinavia in the EIA-with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from\n\nEIA southern Scandinavia-as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain-or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n## Influx into pre-Viking Age Scandinavia\n\nIn EIA Scandinavia (<500 CE), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 CE-300 CE) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century CE (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected ( P = 1 × 10 -17 using Twigstats; P = 7.5 × 10 -4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 CE-300 CE) 6 , an individual from the southern tip of Sweden (around 500 CE) 16 , individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 CE) 7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden 6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium CE.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "## High-resolution genomic history of early medieval Europe\n\nhttps://doi.org/10.1038/s41586-024-08275-2\n\nReceived: 14 December 2023\n\nAccepted: 23 October 2024\n\nPublished online: 1 January 2025\n\nOpen access\n\n\n\nLeo Speidel 1,2,3 ✉ , Marina Silva 1 , Thomas Booth 1 , Ben Raffield 4 , Kyriaki Anastasiadou 1 , Christopher Barrington 5 , Anders Götherström 6,7 , Peter Heather 8 & Pontus Skoglund 1 ✉\n\nMany known and unknown historical events have remained below detection thresholds of genetic studies because subtle ancestry changes are challenging to reconstruct. Methods based on shared haplotypes 1,2 and rare variants 3,4 improve power but are not explicitly temporal and have not been possible to adopt in unbiased ancestry models. Here we develop Twigstats, an approach of time-strati/fied ancestry analysis that can improve statistical power by an order of magnitude by focusing on coalescences in recent times, while remaining unbiased by population-speci/fic drift. We apply this framework to 1,556 available ancient whole genomes from Europe in the historical period. We are able to model individual-level ancestry using preceding genomes to provide high resolution. During the /first half of the /first millennium CE, we observe at least two di/fferent streams of Scandinavian-related ancestry expanding across western, central and eastern Europe. By contrast, during the second half of the /first millennium CE, ancestry patterns suggest the regional disappearance or substantial admixture of these ancestries. In Scandinavia, we document a major ancestry in/flux by approximately 800 CE, when a large proportion of Viking Age individuals carried ancestry from groups related to central Europe not seen in individuals from the early Iron Age. Our /findings suggest that time-strati/fied ancestry analysis can provide a higher-resolution lens for genetic history.\n\nCheck for updates\n\nAncient genome sequencing has revolutionized our ability to reconstruct expansions, migrations and admixture events in the ancient past and understand their impact on human genetic variation today. However, tracing history using genetic ancestry has remained challenging, particularly in historical periods for which the richest comparative information from history and archaeology often exists. This is because ancestries in many geographical regions are often so similar as to be statistically indistinguishable with current approaches. One example is northern and central Europe since the start of the Iron Age around 500 BCE, a period for which many long-standing questions remain, such as the nature of large-scale patterns of human migration during the fourth to sixth centuries CE, their impact on the Mediterranean world and later patterns of human mobility during the Viking Age (around 750-1050 CE).\n\nSeveral recent studies have documented substantial mobility and genetic diversity in these time periods, suggesting stable population structure despite high mobility 5 , and have revealed genetic variation in Viking Age Scandinavia 6-8 , early medieval England 3,9 , early medieval Hungary 10,11 and Iron Age and medieval Poland 12 . However, previous studies mostly used large modern cohorts to study ancestry change through time and space. This is because the differentiation between Iron Age groups in central and northern Europe is an order of magnitude lower (fixation index ( F ST) = 0.1-0.7%; Extended Data Fig. 1) than, for example, the more commonly studied hunter-gatherer, early farmer and steppe-pastoralist groups that shaped the ancestry landscape of", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed3.pdf" - }, - { - "text": "higher resolution using earlier genomes. Several other individuals from these Longobard burials (Longobard\\_earlyMED(II)) show no detectable ancestry from northern Europe and, instead, are more closely related to Iron Age groups in continental central Europe, putatively representing descendants of local people buried in a Longobard style. Our results are consistent with attestations that the Longobards originated in the areas of present-day northern Germany or Denmark, but that by the sixth century CE they incorporated multiple different cultural identities, and mixed ancestries. Present-day populations of Hungary do not appear to derive detectable ancestry from early medieval individuals from Longobard contexts, and are instead more similar to Scythian-related ancestry sources (Extended Data Fig. 6), consistent with the later impact of Avars, Magyars and other eastern groups 58 .\n\nIn southern Germany, the genetic ancestry of individuals from early medieval Bavaria probably associated with the historical Germanic-language-speaking Baiuvarii 59 cannot be modelled as deriving ancestry solely from earlier groups in Iron Age central Germany ( P ≪ 1 × 10 -36 ). The Baiuvarii probably appeared in the region in the fifth century CE 59 , but their origins remain unresolved. Our current best model indicates a mixture with ancestry derived from EIA Peninsular Scandinavia and central Europe, suggesting an expansion of Scandinavian-related ancestry producing a regional ancestry shift (Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ancestries appear by the Late Antiquity (approximately fourth century CE), where a clear diversification of ancestry can be observed compared with preceding time periods (Fig. 3d). However, no individuals with near 100% Scandinavian ancestry can be observed in the sampling data available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a tight cluster in our MDS analysis (Fig. 3e), shifted relative to available preceding Bronze Age individuals from Ireland and Orkney, and adjacent to, but distinct from, available individuals in Iron Age and Roman central Europe. However, two first- to second-century CE burials from a Roman military fortress site in Austria (Klosterneuburg) 5 carry ancestry that is currently indistinguishable from Iron Age or Roman populations of Britain, to the exclusion of other groups (qpWave cladality P = 0.11). One option is that they had ancestry from Britain; alternatively, currently unsampled populations from western continental Europe carried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between ancestries from Iron Age Britain and northern Europe in early medieval England 9 , halving standard errors from 9% with SNPs to 4% when using time stratification (point estimates 80% and 79% Iron Age Britain-related ancestry, respectively). We used this improved resolution to demonstrate that an earlier Roman individual (6DT3) dating to approximately second to fourth century CE from the purported gladiator or military cemetery at Driffield Terrace in York (Roman Eboracum ), England 60 , who was previously identified as an ancestry outlier 61,62 , specifically carried approximately 25% EIA Scandinavian Peninsula-related ancestry (Fig. 2c). This documents that people with Scandinavian-related ancestry already were in Britain before the fifth century CE, after which there was a substantial influx associated with Anglo-Saxon migrations 9 . Although it is uncertain whether this individual was a gladiator or soldier, individuals and groups from northern Europe are indeed recorded in Roman sources both as soldiers and as enslaved gladiators 63,64 .", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Ancestry models of early medieval Europe\n\nHaving demonstrated that the Twigstats approach can effectively improve resolution and statistical power to test ancestry models and estimate proportions, we turn to the history of early medieval Europe.\n\nIn the first half of the first millennium CE, Roman historians such as Tacitus and Ammianus Marcellinus described the geographical distribution and movements of groups beyond the imperial frontier and suggested a potential role for them in the fall of the western Roman Empire 52 . However, the exact nature and scale of these historically attested demographic phenomena-and their genetic impacthave been questioned 53 , and have been difficult to test with genetic approaches owing to the close relations shared between many groups that were ostensibly involved. Less is understood at further distances from the Roman frontier owing to a lack of historical accounts. The improved statistical power of time-restricted ancestry in Twigstats thus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supplementary Table 1), we first need a broad characterization of the ancestry of the earlier sources from the early Iron Age (EIA) and Roman periods. We use hierarchical UPGMA clustering based on pairwise clade testing between all individuals, and formally test the cladality of proposed ancestry groups with qpWave 5 (cladality in this sense means whether they are consistent with being symmetrically related to all other tested groups; Methods). This resulted in a set of model ancestry sources that included Iron Age and Roman Britain ( n = 11), the Iron Age of central European regions of mostly Germany, Austria and France ( n = 10), Roman Portugal ( n = 4), Roman Italy ( n = 10), Iron Age Lithuania ( n = 5), the EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several other more eastern groups dating to the Bronze Age and EIA ( n = 25) (Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm approach 54 to narrow down the set of contributing sources from this larger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling (MDS) on outgroupf 3 statistics 44 computed using Twigstats, the results of which do not depend on any modelling assumptions and which show increased resolution compared with conventional outgroupf 3 statistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). Encouragingly, the MDS model supports regional fine-scale genetic structures reflected in our source groups, such as the separation of predominantly Norwegian and northern Swedish EIA individuals from southern Peninsular Scandinavia (Fig. 2a); this relationship is not detected without Twigstats. In this MDS analysis, we note a close affinity of wide-ranging individuals from Portugal, France, Germany, Austria and Britain. We hypothesize that this corresponds to areas associated with the Celtic-speaking world, and that their close genetic affinity is due to earlier expansions. Sparse sampling limits our understanding of the full extent of regional ancestry variation in central Europe and some other regions, but the continental ancestries differentiated in the MDS model suggests that major ancestry variation across Europe in this period is relatively well captured.\n\n## Expansions of Scandinavian-like ancestry\n\nWe assembled time transects using available aDNA data across several geographical regions in Europe, and infer their ancestry using a model with the EIA or Roman Iron Age sources previously defined (shown in Fig. 2a). Our modelling provides direct evidence of individuals with ancestry originating in northern Germany or Scandinavia appearing across Europe as early as the first century CE (Figs. 2b,c and 3 and Supplementary Table 3).", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "(including one with ancestry related to Britain) are part of the majority strontium values, consistent with them having grown up locally. By contrast, the six most clearly non-local individuals based on the stable isotopes all have 50% or more EIA Scandinavian Peninsula-related ancestry, although three individuals with wholly EIA Scandinavian Peninsula-related ancestry also had local values. This suggests that the presence of central European-related ancestry was not a transient phenomenon, but an ancestry shift that occurred at some point after about 500 CE, the period to which individuals from the massacre site at Sandby Borg ringfort on Öland were dated; these individuals all have strictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is that the massacre at Sandby Borg could represent conflict associated with movements of people that contributed to later ancestry change, although other scenarios are possible and further synthesis of biomolecular and archaeological data is necessary to test this hypothesis.\n\n## Viking Age mobility into Scandinavia\n\nPrevious studies had suggested a major influx of ancestry related to Britain into Viking Age Scandinavia 6,7 . Although we detect this ancestry in some individuals (7 individuals in Norway, 14 in Denmark and 14 in Sweden), including some individuals whose ancestry appears to be entirely derived from Iron Age Britain, its overall impact appears reduced compared with previous reports. Our analysis indicates a proportionally larger impact of ancestry from Iron Age Britain in northern Norway, with southern Scandinavia predominantly influenced by continental central European ancestries (Fig. 4d). We hypothesize that our estimates of ancestry from Britain are reduced relative to previous studies because ancestry related to Britain and continental central Europe may have been indistinguishable. This could be due to a lack of statistical power to distinguish these closely related sources with standard methods, as well as through potential biases introduced by using modern surrogate populations that have since been influenced by later gene flow (such as gene flow into Britain). We illustrate this by replicating the analyses previously described 6,7 (Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such as Kärda in southern Sweden carried ancestry from southern Europe 6 . In our models, two Kärda individuals fit with central European-related ancestry, but none of the individuals has a substantial proportion of ancestry related to southern European sources (Extended Data Fig. 9). Instead, we detect ancestry from southern European sources in only three individuals from Scandinavia, and in relatively small proportions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources from Eastern Europe (present-day Lithuania and Poland), concentrated in southeastern parts of Sweden, particularly the island of Gotland (14 individuals; Fig. 4a). This is consistent with previous genetic studies 6,7 . We find that this ancestry is enriched in male individuals (Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. The closest match tends to be Roman Iron Age Lithuanian genomes associated with Balts, which would be consistent with mobility across the Baltic Sea, but we caution that the geographical representation of available genomes is still limited.\n\n## Viking Age expansion from Scandinavia\n\nTraditionally, historical perspectives on what is now often referred to as the Viking diaspora placed an emphasis on the movements and settlements of population groups from various parts of Scandinavia 67 . Our explorative MDS analysis again indicates mixed ancestries related to the Scandinavian EIA, with regional differences that point to varied local admixture (Fig. 4e and Extended Data Fig. 10).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.\n\n\n\na , Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup f 3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. b , The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in a . The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. c , Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in a and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy P > 0.01, unless a -log10[ P value] is shown next to the model. If models satisfy P > 0.05, we show all such models; otherwise, we show only the model with the largest P value. d , The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in c that have a feasible model ( P > 0.01). In c , d , we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries CE 56 . Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries CE, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region 12 . With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "In Britain, most of the individuals recovered from the two late Viking Age mass graves identified at Ridgeway Hill, Dorset, and St John's\n\nCollege, Oxford 6 , show ancestries typical of those seen in Viking Age southern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age individuals in the Faroe Islands, Iceland and Greenland carry ancestry from the Scandinavian Peninsula, with several individuals showing the continental central Europe-related ancestry signal found in southern Scandinavia (Fig. 4f) and others who share substantial ancestry with Iron Age Britain. In contrast to previous hypotheses 68 , we found a marginal enrichment of ancestry related to Britain and Ireland in men (15 out of 17 men and 3 out of 6 women with at least one accepted model involving Iron or Roman Age Britain as source; Fisher's exact test P = 0.089) (Extended Data Fig. 7c,e). However, sampling of additional individuals to improve distinction between early English- and Norse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking Age burial from Ukraine, and these ancestries are overrepresented in Viking Age burials from present-day Russia. At Staraya Ladoga in western Russia, we observe several individuals with EIA Scandinavian Peninsula-related ancestry and at least one individual dated to the eleventh century with apparent ancestry related to Iron Age Britain. The relative absence of Iron Age central European ancestry, which was largely restricted to southern Scandinavia during the Viking Age, is thus indicative that these individuals may have originated in the central/ northern parts of Sweden or Norway, where Viking Age individuals show the most similar ancestry profiles to them.\n\n## Conclusions\n\nOur approach, Twigstats, transfers the power advantage of haplotypebased approaches to a fully temporal framework, which is applicable to f -statistics and enables previously unavailable unbiased and time-stratified analyses of admixture. We demonstrated that Twigstats enables fine-scale quantitative modelling of ancestry proportions, revealing wide-ranging ancestry changes that affect northern and central Europe during the Iron, Roman and Viking ages. We reveal evidence of the southward and/or eastward expansion of individuals who probably spoke Germanic languages and who had Scandinavian-related ancestry in the first half of the first millennium CE. We note that 'Scandinavian-related' in this context relates to the ancient genomes available, and so it is entirely possible that these processes were driven, for example, from regions in northern-central Europe. This could be consistent with the attraction of the greater wealth, which tended to build up among Rome's immediate neighbours and may have played a major role in vectors of migration internal to communities in Europe who lived beyond the Roman frontier 52 . Later, patterns of gene flow seem to have turned northwards, with the spread of Iron Age Central Europe-related ancestry into Scandinavia. Overall, our approach can be used for the reconstruction of new high-resolution genetic histories around the world.\n\n## Online content\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41586-024-08275-2.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "- 56. Heather, P. The Goths (Wiley-Blackwell, 1996).\n - 57. Elschek, K. in Grundprobleme. Thema: Macht des Goldes - Gold der Macht (Forschungen zu Spätantike und Mittelalter 2) (eds Hardt, M. & Heinrich-Tamáska, O.) 91-123 (Greiner, Bernhard A., 2013).\n - 58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin and rapid trans-Eurasian migration of 7th century Avar elites. Cell 185 , 1402-1413 (2022).\n - 59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive female-biased immigration in Early Medieval Bavaria. Proc. Natl Acad. Sci. USA 115 , 3494-3499 (2018).\n - 60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the Anglo-Saxons. Nat. Commun. 7 , 10326 (2016).\n - 61. Schiffels, S. & Sayer, D. in Migration and Integration From Prehistory to the Middle Ages (eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, 2017).\n - 62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early medieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and the modern people of the UK. PLoS Genet. 19 , e1010360 (2023).\n - 63. Symmachus, Letters 2. 46.1-2. WordPress https://aleatorclassicus.wordpress.com/2011/08/ 19/symmachus-letters-2-46-1-2/ (2011).\n - 64. Emperor, J. The Works of the Emperor Julian (translator Wright, W. C.) Vol. 1 (Project Gutenberg, 2015); https://www.gutenberg.org/ebooks/48664.\n - 65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration patterns in a Viking Age town. Curr. Biol. 28 , 2730-2738 (2018).\n - 66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the Iron Age. J. Archaeol. Sci. Rep. 12 , 183-196 (2017).\n - 67. Sawyer, P. H. The Age of the Vikings (St. Martin's Press, 1972).\n - 68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of Iceland. Am. J. Hum. Genet. 67 , 697-717 (2000).\n - 69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment of strontium by means of Bayesian mixing analysis. J. Archaeol. Sci. 64 , 30-45 (2015).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "How many clusters has the Scandinavian peninsula been divided into thanks to Twigstats?", - "target_page": 12, - "target_passage": "This approach results in two clusters in the Scandinavian Penin- sula, approximately separating northern from southern Scandinavia", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "To assess the full extent of the impact of this ancestry influx into Scandinavia, we next aimed to understand the ancestry of individuals in Scandinavia during the Viking Age. Previous studies have suggested that there was a diversity of ancestries in Scandinavia during this period 6,7,65 , due to increased maritime mobility, but have not reported per-individual ancestry estimates based on preceding ancestry. We analysed each individual's ancestry using a rotational qpAdm scheme (Fig. 4a, Extended Data Fig. 9 and Supplementary Table 4), which showed increased power in distinguishing models when restricted to recent coalescences with Twigstats (more than 80% of accepted one-source models in Twigstats were also accepted one-source models using all SNPs, compared with less than 17% for the inverse).\n\nWe investigated regional differences in non-local ancestry across Scandinavia. In Denmark, 25 out of 53 Viking Age individuals had detectable ( zscore > 1) central European-related ancestry (CentralEurope. IronRoman or Portugal.IronRoman) in their best accepted qpAdm models. In Sweden 20 out of 62 individuals had detectable central European-related ancestry, concentrated almost entirely in southern regions (Fig. 4a,d). By contrast, in Norway, this ancestry was observed in only 2 out of 24 individuals, indicating a wide-ranging impact of incoming ancestry in southern Scandinavia and suggesting more", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Ancestry models of early medieval Europe\n\nHaving demonstrated that the Twigstats approach can effectively improve resolution and statistical power to test ancestry models and estimate proportions, we turn to the history of early medieval Europe.\n\nIn the first half of the first millennium CE, Roman historians such as Tacitus and Ammianus Marcellinus described the geographical distribution and movements of groups beyond the imperial frontier and suggested a potential role for them in the fall of the western Roman Empire 52 . However, the exact nature and scale of these historically attested demographic phenomena-and their genetic impacthave been questioned 53 , and have been difficult to test with genetic approaches owing to the close relations shared between many groups that were ostensibly involved. Less is understood at further distances from the Roman frontier owing to a lack of historical accounts. The improved statistical power of time-restricted ancestry in Twigstats thus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supplementary Table 1), we first need a broad characterization of the ancestry of the earlier sources from the early Iron Age (EIA) and Roman periods. We use hierarchical UPGMA clustering based on pairwise clade testing between all individuals, and formally test the cladality of proposed ancestry groups with qpWave 5 (cladality in this sense means whether they are consistent with being symmetrically related to all other tested groups; Methods). This resulted in a set of model ancestry sources that included Iron Age and Roman Britain ( n = 11), the Iron Age of central European regions of mostly Germany, Austria and France ( n = 10), Roman Portugal ( n = 4), Roman Italy ( n = 10), Iron Age Lithuania ( n = 5), the EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several other more eastern groups dating to the Bronze Age and EIA ( n = 25) (Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm approach 54 to narrow down the set of contributing sources from this larger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling (MDS) on outgroupf 3 statistics 44 computed using Twigstats, the results of which do not depend on any modelling assumptions and which show increased resolution compared with conventional outgroupf 3 statistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). Encouragingly, the MDS model supports regional fine-scale genetic structures reflected in our source groups, such as the separation of predominantly Norwegian and northern Swedish EIA individuals from southern Peninsular Scandinavia (Fig. 2a); this relationship is not detected without Twigstats. In this MDS analysis, we note a close affinity of wide-ranging individuals from Portugal, France, Germany, Austria and Britain. We hypothesize that this corresponds to areas associated with the Celtic-speaking world, and that their close genetic affinity is due to earlier expansions. Sparse sampling limits our understanding of the full extent of regional ancestry variation in central Europe and some other regions, but the continental ancestries differentiated in the MDS model suggests that major ancestry variation across Europe in this period is relatively well captured.\n\n## Expansions of Scandinavian-like ancestry\n\nWe assembled time transects using available aDNA data across several geographical regions in Europe, and infer their ancestry using a model with the EIA or Roman Iron Age sources previously defined (shown in Fig. 2a). Our modelling provides direct evidence of individuals with ancestry originating in northern Germany or Scandinavia appearing across Europe as early as the first century CE (Figs. 2b,c and 3 and Supplementary Table 3).", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\n\n\nExtended Data Fig. 5 | Three examples of applying Twigstats.\n\na\n\nFine-scale\n\npopulation structure simulation emulating ref. 39 (see Methods for simulation details). First two principal components are computed from pairwise outgroup f 3 statistics on the genotypes directly and on Relate trees inferred from the 50 target individuals. Labels in plots show the average coordinates of members of that population. For each panel, we calculate a separation index (SI) as in 39 , which we define as the proportion of individuals for which the closest individual (by the Euclidean distance in PC space) is in the same population.\n\n - b , Fine-scale genetic structure in Neolithic Europe quantified using an MDS calculated on a symmetric matrix that contains all pairwise outgroup f 3 statistics (outgroup: YRI) between individuals. These are either calculated directly on genotypes or calculated using Twigstats on Relate genealogies with a cutoff of 1000 generations. Individuals were selected by filtering based on Steppe and Western Hunter-gatherer ancestry (Methods). c , Admixture proportions inferred using qpAdm with three distal sources of Western\n\nHunter-gatherers, early European farmers, and Yamnaya Steppe people 46 . We show results for Twigstats-5000. Bias is measured as the difference in admixture proportions obtained from Twigstats-5000 and all SNPs, and we show standard errors of the latter. We plot two standard errors around the mean. The standard error improvement shown is one minus the ratio of standard errors obtained from Twigstats-5000 and using all SNPs. d , Neanderthal admixture proportion inferred using an f 4-ratio of the form f 4(outgroup, Altai, target, Mbuti)/ f 4(outgroup, Altai, Vindija, Mbuti). We compute these on genetic variation data from the Simon's Genome Diversity Project (SGDP) 75 and use the high-coverage Altai and Vindija Neanderthals 78,79 . We also compute equivalent f 4-ratio statistics in a simulation emulating Neanderthal admixture 50,000 years ago and a second simulation involving no Neanderthal admixture but deep structure that leads to a similar inference unless deep coalescences are ignored by Twigstats. We plot two standard errors around the mean.", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\nFig. 4 | Ancestry in the Viking world. a , Map showing ancestry carried by Scandinavian Viking Age individuals as inferred using the best-fitting qpAdm model. These are chosen by either choosing the one-source model with largest P value and P > 0.01 or the two-source model with the largest P value and P > 0.01. Extended Data Fig. 7 shows the same map with all accepted models. b , Stable isotope data indicating the geology of childhood origin. The histogram shows the ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland 69 . For individuals included in our ancestry modelling, we plot Iron Age central European-related ancestry against their stable isotope values (grey circles, r = -0.39, P = 0.075). Shared area corresponds to the 95% confidence band\n\n\n\naround the regression line. c , The ancestry shift observed in Viking Age Danish groups using qpAdm on all SNPs or Twigstats. We show the best one-source and all two-source models with P > 0.05. For models with P < 0.05, the -log10[ P value] is shown under the plot. Sample sizes for each group are shown in brackets. d , The ancestry proportion across Viking Age individuals in Denmark, Sweden and Norway grouped by latitude. e , Viking Age genetic variation (grey circles) visualized on the same MDS as in Fig. 2a,b. f , The best-fitting qpAdm ancestry model for far-flung Viking individuals. Detailed models for all individuals are shown in Extended Data Figs. 9 and 10. In c and f , we show one s.e. Rotating qpAdm sources are marked in bold in the key.\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When considered collectively, the individuals who show evidence of central European-related ancestry are mostly observed in regions historically within the Danish sphere of influence and rule. Currently, no such individuals, for example, are noted in eastern central Sweden, which was a focus of regional power of the Svear (Fig. 4a). The difference in distribution could suggest that the central European-related ancestry was more common in regions dominated by the historical Götar and groups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent with mobility during the lifetime of the individuals or, alternatively,\n\nthat of established groups, we focused on the island of Öland in southeast Sweden, where 23 individuals for whom we could reconstruct ancestry portraits also had associated strontium stable isotope data 66 . Strontium isotope data from dental enamel reflect the geology of the region where an individual grew to maturity, and there are considerable differences in expectations between Öland and many other regions in northern Europe. The full range of strontium isotope ratios in 109 individuals show two modes, a majority group with low ratios and a second minority group with high ratios falling outside the expected range of local fauna (Fig. 4b). Among 23 individuals with genomes in our data, all 5 individuals with 100% ancestry relating to central Europe", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\n\n\n## Extended Data Fig. 9 | Ancestry models of Viking Age individuals in\n\nScandinavia. a , MDS of each Scandinavian Viking group plotted on top of preceding Iron age and Roman individuals. b , All accepted qpAdm models using Twigstats-1000 for every Scandinavian Viking individual in Denmark, Sweden, and Norway, computed in a rotational qpAdm with source groups identical to Fig. 4. We only retain models with feasible admixture proportions, standard errors of <0.25, and show models with 1 source and a p-value greater than 0.01\n\nor otherwise with 2 sources and a p-value greater than 0.01. If several models satisfy p > 0.05, we show all such models, otherwise we select the model with the largest p-value. The -log10 p-values are shown to the left of each model. We combine models involving related sources, if they exist, by averaging their respective admixture proportions, standard errors, and p-values. We plot one standard error.", - "page_start": 20, - "page_end": 20, - "source_file": "pubmed3.pdf" - }, - { - "text": "Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.\n\n\n\na , Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup f 3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. b , The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in a . The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. c , Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in a and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy P > 0.01, unless a -log10[ P value] is shown next to the model. If models satisfy P > 0.05, we show all such models; otherwise, we show only the model with the largest P value. d , The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in c that have a feasible model ( P > 0.01). In c , d , we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries CE 56 . Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries CE, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region 12 . With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "In Britain, most of the individuals recovered from the two late Viking Age mass graves identified at Ridgeway Hill, Dorset, and St John's\n\nCollege, Oxford 6 , show ancestries typical of those seen in Viking Age southern Scandinavia (Fig. 4f). Further west, North Atlantic Viking Age individuals in the Faroe Islands, Iceland and Greenland carry ancestry from the Scandinavian Peninsula, with several individuals showing the continental central Europe-related ancestry signal found in southern Scandinavia (Fig. 4f) and others who share substantial ancestry with Iron Age Britain. In contrast to previous hypotheses 68 , we found a marginal enrichment of ancestry related to Britain and Ireland in men (15 out of 17 men and 3 out of 6 women with at least one accepted model involving Iron or Roman Age Britain as source; Fisher's exact test P = 0.089) (Extended Data Fig. 7c,e). However, sampling of additional individuals to improve distinction between early English- and Norse-related ancestries would be required to fully test this hypothesis.\n\nIn eastern Europe, we observe EIA Scandinavian ancestries in a Viking Age burial from Ukraine, and these ancestries are overrepresented in Viking Age burials from present-day Russia. At Staraya Ladoga in western Russia, we observe several individuals with EIA Scandinavian Peninsula-related ancestry and at least one individual dated to the eleventh century with apparent ancestry related to Iron Age Britain. The relative absence of Iron Age central European ancestry, which was largely restricted to southern Scandinavia during the Viking Age, is thus indicative that these individuals may have originated in the central/ northern parts of Sweden or Norway, where Viking Age individuals show the most similar ancestry profiles to them.\n\n## Conclusions\n\nOur approach, Twigstats, transfers the power advantage of haplotypebased approaches to a fully temporal framework, which is applicable to f -statistics and enables previously unavailable unbiased and time-stratified analyses of admixture. We demonstrated that Twigstats enables fine-scale quantitative modelling of ancestry proportions, revealing wide-ranging ancestry changes that affect northern and central Europe during the Iron, Roman and Viking ages. We reveal evidence of the southward and/or eastward expansion of individuals who probably spoke Germanic languages and who had Scandinavian-related ancestry in the first half of the first millennium CE. We note that 'Scandinavian-related' in this context relates to the ancient genomes available, and so it is entirely possible that these processes were driven, for example, from regions in northern-central Europe. This could be consistent with the attraction of the greater wealth, which tended to build up among Rome's immediate neighbours and may have played a major role in vectors of migration internal to communities in Europe who lived beyond the Roman frontier 52 . Later, patterns of gene flow seem to have turned northwards, with the spread of Iron Age Central Europe-related ancestry into Scandinavia. Overall, our approach can be used for the reconstruction of new high-resolution genetic histories around the world.\n\n## Online content\n\nAny methods, additional references, Nature Portfolio reporting summaries, source data, extended data, supplementary information, acknowledgements, peer review information; details of author contributions and competing interests; and statements of data and code availability are available at https://doi.org/10.1038/s41586-024-08275-2.", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - }, - { - "text": "Across Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups-the one with individuals primarily from the northern parts of Scandinavia in the EIA-with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from\n\nEIA southern Scandinavia-as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain-or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n## Influx into pre-Viking Age Scandinavia\n\nIn EIA Scandinavia (<500 CE), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 CE-300 CE) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century CE (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected ( P = 1 × 10 -17 using Twigstats; P = 7.5 × 10 -4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 CE-300 CE) 6 , an individual from the southern tip of Sweden (around 500 CE) 16 , individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 CE) 7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden 6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium CE.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "\n\n## Extended Data Fig. 10 | Ancestry models of farflung Viking individuals.\n\n - a , MDS of each farflung Viking group plotted on top of preceding Iron age and Roman individuals. b , All accepted qpAdm models using Twigstats-1000 for\n\nevery non-Scandinavian Viking individual computed in a rotational qpAdm with source groups identical to Fig. 4. We plot one standard error.", - "page_start": 21, - "page_end": 21, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\n\n\n## Extended Data Fig. 7 | Ancestry estimates stratified by genetic sex. a , Map\n\nshowing ancestry carried by each Scandinavian Viking age individual. b , Ancestry proportions across individuals grouped by Latitude and genetic sex. c , Odds ratio and p-values calculated using a two-sided Fisher's exact test on the number of males and females carrying each ancestry in Viking Age Denmark, Sweden, Norway, Iceland, and Gotland. d , F4 values of the form f 4(Scandinavian\\_Peninsula\\_ EIA(I), alternative source group, males in Viking group, females in Viking group) computed using all SNPs and Twigstats. A significantly positive value is\n\nevidence of attraction of females with pop2 or males with Scandinavian\\_ Peninsula\\_EIA(I). Number of males and females is shown in each facet title and we restrict to groups with at least four males and females. We plot one standard error. e , Map showing 'farflung' Viking individuals grouped by ancestry and genetic sex. In contrast to Fig. 4a and d where we showed results for the 'best' qpAdm model, here in panels a , b, c, and e , an individual is assigned an ancestry group, if it has any accepted model (p > 0.01) where that ancestry features.", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed3.pdf", - "query": "What are the cultures with which the Wielbark culture is associated?", - "target_page": 4, - "target_passage": "linked to the later Chernyakhov cul- ture to the southeast and to early Goths", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "In the region of present-day Poland, our analysis suggests several clear shifts in ancestry. First, in the Middle to Late Bronze Age (1500 BCE to 1000 BCE), we observe a clear shift away from preceding ancestry originally associated with Corded Ware cultures 55 (Fig. 3a). Second, in the first to fifth century CE, individuals associated with Wielbark culture 5,12 show an additional strong shift away from the preceding Bronze Age groups, and can only be modelled with a >75% component attributed to the EIA Scandinavian Peninsula. Multiple individuals, especially from earlier Wielbark cemeteries, have approximately 100%", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "higher resolution using earlier genomes. Several other individuals from these Longobard burials (Longobard\\_earlyMED(II)) show no detectable ancestry from northern Europe and, instead, are more closely related to Iron Age groups in continental central Europe, putatively representing descendants of local people buried in a Longobard style. Our results are consistent with attestations that the Longobards originated in the areas of present-day northern Germany or Denmark, but that by the sixth century CE they incorporated multiple different cultural identities, and mixed ancestries. Present-day populations of Hungary do not appear to derive detectable ancestry from early medieval individuals from Longobard contexts, and are instead more similar to Scythian-related ancestry sources (Extended Data Fig. 6), consistent with the later impact of Avars, Magyars and other eastern groups 58 .\n\nIn southern Germany, the genetic ancestry of individuals from early medieval Bavaria probably associated with the historical Germanic-language-speaking Baiuvarii 59 cannot be modelled as deriving ancestry solely from earlier groups in Iron Age central Germany ( P ≪ 1 × 10 -36 ). The Baiuvarii probably appeared in the region in the fifth century CE 59 , but their origins remain unresolved. Our current best model indicates a mixture with ancestry derived from EIA Peninsular Scandinavia and central Europe, suggesting an expansion of Scandinavian-related ancestry producing a regional ancestry shift (Figs. 2c and 3c).\n\nIn Italy, southward expansions of northern and central European ancestries appear by the Late Antiquity (approximately fourth century CE), where a clear diversification of ancestry can be observed compared with preceding time periods (Fig. 3d). However, no individuals with near 100% Scandinavian ancestry can be observed in the sampling data available so far.\n\nIn Britain, the ancestries of Iron Age and Roman individuals form a tight cluster in our MDS analysis (Fig. 3e), shifted relative to available preceding Bronze Age individuals from Ireland and Orkney, and adjacent to, but distinct from, available individuals in Iron Age and Roman central Europe. However, two first- to second-century CE burials from a Roman military fortress site in Austria (Klosterneuburg) 5 carry ancestry that is currently indistinguishable from Iron Age or Roman populations of Britain, to the exclusion of other groups (qpWave cladality P = 0.11). One option is that they had ancestry from Britain; alternatively, currently unsampled populations from western continental Europe carried ancestries similar to Iron Age southern Britain.\n\nTwigstats substantially improves models of admixture between ancestries from Iron Age Britain and northern Europe in early medieval England 9 , halving standard errors from 9% with SNPs to 4% when using time stratification (point estimates 80% and 79% Iron Age Britain-related ancestry, respectively). We used this improved resolution to demonstrate that an earlier Roman individual (6DT3) dating to approximately second to fourth century CE from the purported gladiator or military cemetery at Driffield Terrace in York (Roman Eboracum ), England 60 , who was previously identified as an ancestry outlier 61,62 , specifically carried approximately 25% EIA Scandinavian Peninsula-related ancestry (Fig. 2c). This documents that people with Scandinavian-related ancestry already were in Britain before the fifth century CE, after which there was a substantial influx associated with Anglo-Saxon migrations 9 . Although it is uncertain whether this individual was a gladiator or soldier, individuals and groups from northern Europe are indeed recorded in Roman sources both as soldiers and as enslaved gladiators 63,64 .", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\nFig. 3 | Time transects across six geographical regions in Europe.\n\n\n\na -f , Ancestry change visualized over a time transect spanning from the Bronze Age to the present day in Poland ( a ), southeastern Europe ( b ), central Europe ( c ), Italy ( d ), Britain and Ireland ( e ) and Scandinavia ( f ). The maps show sample locations of all available ancient genomes with at least 0.5× coverage from\n\nmedieval individuals ( P ≪ 1 × 10 -32 ). Instead, the majority of individuals from medieval Poland can be modelled only as a mixture of ancestries related to Roman Iron Age Lithuania, which is similar to ancestries of individuals from middle to late Bronze Age Poland (44%, 95% confidence interval 36-51%), an ancestry component related to Hungarian Scythians or Slovakian La Tène individuals (49%, 95% confidence interval 41-57%) and potentially a minority component of ancestry related to Sarmatians from the Caucasus ( P = 0.13) (Fig. 2c). Four out of twelve individuals from medieval Poland, three of whom are from the late Viking Age 6 , carried detectable Scandinavian-related ancestry. Some of the ancestry detected in individuals from later medieval Poland may have persisted during the late first millennium CE in the cremating portion of the population, but regardless, this points to large-scale ancestry transformation in medieval Poland (Fig. 3a). Future data could shed light on the extent to which this reflects the influence of groups speaking Slavic languages in the region.\n\nthese regions (Supplementary Table 1). Their ancestry is shown on the same MDS model as in Fig. 2a for each time period. For each geographic region, the early medieval period is highlighted in orange and the area in the MDS corresponding to Scandinavian and central European ancestries is highlighted in an orange box.\n\nIn present-day Slovakia, individuals associated with the Iron Age La Tène period appear close to Hungarian Scythians in the two dimensions of our MDS analysis, and are modelled as a mixture of central and eastern European ancestry. However, a first-century CE burial of a 50-60-year-old woman from Zohor is modelled only with Scandinavian-related ancestry, providing evidence of ancestry related to the Scandinavian EIA appearing southwest of the range of the Wielbark archaeological complex 5,57 (Fig. 3b). Later early medieval individuals from Slovakia have partial Scandinavian-related ancestry, providing evidence for the integration between expanding and local groups.\n\nNearby, in present-day Hungary, we observe Scandinavian-related ancestry components in several burials dating to the sixth century CE associated with Longobards (Longobard\\_earlyMED(I)) 10 (Fig. 2c). This is consistent with the original study 10 , which reported affinity to present-day groups from northwestern Europe (GBR, CEU and FIN in the 1000 Genomes Project (1000GP)) 10 but which we can resolve with", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed3.pdf" - }, - { - "text": "individuals form a clade with respect to reference groups. The reason why this is a principled approach despite the 1000GP groups post-dating the ancient individuals is that if a group of ancient individuals are truly homogeneous, they will be so also with respect to later individuals.\n\nWe then define clusters by running UPGMA (unweighted pair group method with arithmetic mean) on -log10[ P values] obtained from qpwave between all pairs of individuals and cut the resulting dendrogram at a height corresponding to a P value of 0.01. We then further subdivide clusters by requiring all samples to be within 500 years of the mean cluster age.\n\nTo choose the source groups shown in Fig. 2a and Extended Data Fig. 1d, we run this algorithm on samples from Iron and Roman Age Europe (Supplementary Table 1). We retain groups that have at least three individuals and, therefore, exclude clusters of size one or two.\n\nThis approach results in two clusters in the Scandinavian Peninsula, approximately separating northern from southern Scandinavia, three clusters in Poland and Ukraine that separate samples temporally between the early and later Bronze Age, a cluster combining the Hungarian Scythian and Slovakian La Tène-associated individuals, and a cluster each for Iron and Roman Age Portugal, Italy and Lithuania. In present-day Austria, Germany and France, this approach identifies three clusters, with each cluster spanning multiple archaeological sites in different countries, indicating genetic diversity in this region in the first millennium CE. Encouragingly, these clusters separate in our non-parametric MDS analysis (Fig. 2a), indicating that we are capturing real genetic differences between groups using this approach.\n\nFine-scale structure in Neolithic Europe. To quantify fine-scale structure in Neolithic Europe (Extended Data Fig. 5b), we aimed to select individuals in Neolithic Europe who have not yet been affected by the arrival of Steppe ancestry and do not show excess hunter-gatherer ancestry. We infer distal ancestry sources using Balkan\\_N, Yamnaya and Western Hunter-gatherers as source groups and reference groups according to a previously proposed qpAdm setup 46 (Supplementary Table 1). For this analysis, we infer ancestry using qpAdm applied to 1.2 million SNP sites of imputed genomes. We retain only Neolithic individuals with P > 0.01, z < 2 for Yamnaya ancestry, and z < 2 or proportion <0.25 for Western Hunter-gatherer ancestry.\n\n## Reporting summary\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n## Data availability\n\nAll aDNA data used in this study were publicly available, and accession codes are listed in Supplementary Table 1.\n\n## Code availability\n\nTwigstats is freely available under an MIT licence through GitHub (https://github.com/leospeidel/twigstats), and detailed documentation, as well as example data, is available at https://leospeidel.github. io/twigstats/. The code has also been deposited at Zenodo (https:// zenodo.org/records/13833120) 76 . All scripts to reproduce simulations, and to run Relate on imputed ancient genomes, and downstream analyses, including computation of f -statistics and running qpAdm models, are available through GitHub (https://github.com/leospeidel/ twigstats\\_paper).", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Ancestry models of early medieval Europe\n\nHaving demonstrated that the Twigstats approach can effectively improve resolution and statistical power to test ancestry models and estimate proportions, we turn to the history of early medieval Europe.\n\nIn the first half of the first millennium CE, Roman historians such as Tacitus and Ammianus Marcellinus described the geographical distribution and movements of groups beyond the imperial frontier and suggested a potential role for them in the fall of the western Roman Empire 52 . However, the exact nature and scale of these historically attested demographic phenomena-and their genetic impacthave been questioned 53 , and have been difficult to test with genetic approaches owing to the close relations shared between many groups that were ostensibly involved. Less is understood at further distances from the Roman frontier owing to a lack of historical accounts. The improved statistical power of time-restricted ancestry in Twigstats thus offers an opportunity to revisit these questions.\n\nTo develop an ancestry model for early medieval individuals (Supplementary Table 1), we first need a broad characterization of the ancestry of the earlier sources from the early Iron Age (EIA) and Roman periods. We use hierarchical UPGMA clustering based on pairwise clade testing between all individuals, and formally test the cladality of proposed ancestry groups with qpWave 5 (cladality in this sense means whether they are consistent with being symmetrically related to all other tested groups; Methods). This resulted in a set of model ancestry sources that included Iron Age and Roman Britain ( n = 11), the Iron Age of central European regions of mostly Germany, Austria and France ( n = 10), Roman Portugal ( n = 4), Roman Italy ( n = 10), Iron Age Lithuania ( n = 5), the EIA Scandinavian Peninsula (Sweden and Norway, n = 10) and several other more eastern groups dating to the Bronze Age and EIA ( n = 25) (Fig. 2a and Extended Data Fig. 1). We then use a rotational qpAdm approach 54 to narrow down the set of contributing sources from this larger pool of putative sources.\n\nWe additionally perform non-parametric multidimensional scaling (MDS) on outgroupf 3 statistics 44 computed using Twigstats, the results of which do not depend on any modelling assumptions and which show increased resolution compared with conventional outgroupf 3 statistics (Fig. 2a,b, Extended Data Fig. 6 and Supplementary Table 2). Encouragingly, the MDS model supports regional fine-scale genetic structures reflected in our source groups, such as the separation of predominantly Norwegian and northern Swedish EIA individuals from southern Peninsular Scandinavia (Fig. 2a); this relationship is not detected without Twigstats. In this MDS analysis, we note a close affinity of wide-ranging individuals from Portugal, France, Germany, Austria and Britain. We hypothesize that this corresponds to areas associated with the Celtic-speaking world, and that their close genetic affinity is due to earlier expansions. Sparse sampling limits our understanding of the full extent of regional ancestry variation in central Europe and some other regions, but the continental ancestries differentiated in the MDS model suggests that major ancestry variation across Europe in this period is relatively well captured.\n\n## Expansions of Scandinavian-like ancestry\n\nWe assembled time transects using available aDNA data across several geographical regions in Europe, and infer their ancestry using a model with the EIA or Roman Iron Age sources previously defined (shown in Fig. 2a). Our modelling provides direct evidence of individuals with ancestry originating in northern Germany or Scandinavia appearing across Europe as early as the first century CE (Figs. 2b,c and 3 and Supplementary Table 3).", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed3.pdf" - }, - { - "text": "Across Europe, we see regional differences in the southeastern and southwestern expansions of Scandinavian-related ancestries. Early medieval groups from present-day Poland and Slovakia carry specific ancestry from one of the Scandinavian EIA groups-the one with individuals primarily from the northern parts of Scandinavia in the EIA-with no evidence of ancestry related to the other primary group in more southern Scandinavia (Fig. 2d). By contrast, in southern and western Europe, Scandinavian-related ancestry either derives from\n\nEIA southern Scandinavia-as in the cases of the probable Baiuvarii in Germany, Longobard-associated burials in Italy and early medieval burials in southern Britain-or cannot be resolved to a specific region in Scandinavia. If these expansions are indeed linked to language, this pattern is remarkably concordant with the main branches of Germanic languages, with the now-extinct eastern Germanic spoken by Goths in Ukraine on the one hand, and western Germanic languages such as Old English and Old High German recorded in the early medieval period on the other hand.\n\n## Influx into pre-Viking Age Scandinavia\n\nIn EIA Scandinavia (<500 CE), we find evidence for broad genetic homogeneity. Specifically, individuals from Denmark (100 CE-300 CE) were indistinguishable from contemporary people in the Scandinavian Peninsula (Fig. 2c). However, we observe a clear shift in genetic ancestry already in the eighth century CE (Late Iron Age/early Viking Age) on Zealand (present-day Denmark) for which a 100% EIA ancestry model is rejected ( P = 1 × 10 -17 using Twigstats; P = 7.5 × 10 -4 without). This shift in ancestry persists among later Viking Age groups in Denmark, where all groups are modelled with varying proportions of ancestry related to Iron Age continental groups in central Europe (Figs. 3f and 4c). A non-parametric MDS of Viking Age individuals suggests that variation between individuals forms a cline spanning from the EIA Scandinavian Peninsula individuals to ancestry characteristic of central Europe (Fig. 4e). The observed shift in ancestry in Denmark cannot be confounded by potentially earlier unknown gene flow into Iron Age source groups in Austria, France and Germany, but such gene flow could affect the exact ancestry proportions.\n\nThese patterns are consistent with northward expansion of ancestry, potentially starting before the Viking Age, into the Jutland peninsula and Zealand island towards southern Sweden. The geographical origin of this ancestry is currently difficult to discern, as the available samples from Iron Age central Europe remain sparse. The timing of this expansion is constrained only by the samples available: this ancestry is not observed in individuals from the Copenhagen area of Denmark (around 100 CE-300 CE) 6 , an individual from the southern tip of Sweden (around 500 CE) 16 , individuals from the Sandby Borg massacre site on Öland in present-day Sweden (around 500 CE) 7 and 31 individuals from the mid-eighth century Salme ship burials in present-day Estonia (Extended Data Fig. 9), who probably originated in central Sweden 6 . Therefore, this ancestry transformation most likely postdated these individuals in each particular region and mostly occurred in the second half of the first millennium CE.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed3.pdf" - }, - { - "text": "Fig. 2 | Ancestry from the Iron Age to the early medieval period in Europe.\n\n\n\na , Source groups used for qpAdm modelling of early medieval Europe. MDS is computed jointly with individuals from later periods using pairwise outgroup f 3 statistics (outgroup: Han Chinese people). These are calculated using Twigstats on Relate genealogies with a cut-off of 1,000 generations. The geographical map shows sampling locations of these individuals. b , The genetic structure of ancient groups predominantly from early medieval contexts shown on the same MDS as in a . The magnified inset shows an MDS computed without Twigstats on the same samples as the Twigstats MDS and focusing on early medieval or later individuals. c , Ancestry models of early medieval (EM) groups across Europe computed using qpAdm. Sample sizes are\n\nshown in black boxes. Sources are highlighted in a and marked as bold in the key, and were used in a rotational qpAdm scheme. For each target group, we remove models with infeasible admixture proportions (falling outside [0, 1]) and use a Twigstats cut-off of 1,000 generations. All models satisfy P > 0.01, unless a -log10[ P value] is shown next to the model. If models satisfy P > 0.05, we show all such models; otherwise, we show only the model with the largest P value. d , The ancestry proportion derived from EIA Scandinavia in groups with a non-zero component of this ancestry. We show groups modelled in c that have a feasible model ( P > 0.01). In c , d , we show one s.e. BA, Bronze Age; CNE, continental northern Europeans; EBA, early Bronze Age; EVA, early Viking Age; IA, Iron Age; MED, medieval; MLBA, middle/late Bronze Age; VA, Viking Age.\n\nancestry related to EIA Scandinavian Peninsula (Fig. 2c). The Wielbark archaeological complex has been linked to the later Chernyakhov culture to the southeast and to early Goths, an historical Germanic group that flourished in the second to fifth centuries CE 56 . Our modelling supports the idea that some groups that probably spoke Germanic languages from Scandinavia expanded south across the Baltic into the area between the Oder and Vistula rivers in the early centuries CE, although whether these expansions can be linked specifically with historical Goths is still debatable. Moreover, since a considerable\n\nproportion of Wielbark burials during this period were cremations, the possible presence of individuals with other ancestries cannot be strictly rejected if they were exclusively cremated (and are therefore invisible in the aDNA record).\n\nA previous study could not reject continuity in ancestry from the Wielbark-associated individuals to later medieval individuals from a similar region 12 . With the improved power of Twigstats, models of continuity are strongly rejected, with no one-source model of any preceding Iron Age or Bronze Age group providing a reasonable fit for the", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed3.pdf" - }, - { - "text": "## Article\n\nFig. 4 | Ancestry in the Viking world. a , Map showing ancestry carried by Scandinavian Viking Age individuals as inferred using the best-fitting qpAdm model. These are chosen by either choosing the one-source model with largest P value and P > 0.01 or the two-source model with the largest P value and P > 0.01. Extended Data Fig. 7 shows the same map with all accepted models. b , Stable isotope data indicating the geology of childhood origin. The histogram shows the ratio of strontium isotopes 87 to 86 measured in 109 individuals in Öland 69 . For individuals included in our ancestry modelling, we plot Iron Age central European-related ancestry against their stable isotope values (grey circles, r = -0.39, P = 0.075). Shared area corresponds to the 95% confidence band\n\n\n\naround the regression line. c , The ancestry shift observed in Viking Age Danish groups using qpAdm on all SNPs or Twigstats. We show the best one-source and all two-source models with P > 0.05. For models with P < 0.05, the -log10[ P value] is shown under the plot. Sample sizes for each group are shown in brackets. d , The ancestry proportion across Viking Age individuals in Denmark, Sweden and Norway grouped by latitude. e , Viking Age genetic variation (grey circles) visualized on the same MDS as in Fig. 2a,b. f , The best-fitting qpAdm ancestry model for far-flung Viking individuals. Detailed models for all individuals are shown in Extended Data Figs. 9 and 10. In c and f , we show one s.e. Rotating qpAdm sources are marked in bold in the key.\n\ncontinuity from the EIA in Norway and northern Sweden (Fig. 4a). When considered collectively, the individuals who show evidence of central European-related ancestry are mostly observed in regions historically within the Danish sphere of influence and rule. Currently, no such individuals, for example, are noted in eastern central Sweden, which was a focus of regional power of the Svear (Fig. 4a). The difference in distribution could suggest that the central European-related ancestry was more common in regions dominated by the historical Götar and groups inhabiting the lands on the borders of the Danish kingdom.\n\nTo test the extent to which the variation in ancestry was consistent with mobility during the lifetime of the individuals or, alternatively,\n\nthat of established groups, we focused on the island of Öland in southeast Sweden, where 23 individuals for whom we could reconstruct ancestry portraits also had associated strontium stable isotope data 66 . Strontium isotope data from dental enamel reflect the geology of the region where an individual grew to maturity, and there are considerable differences in expectations between Öland and many other regions in northern Europe. The full range of strontium isotope ratios in 109 individuals show two modes, a majority group with low ratios and a second minority group with high ratios falling outside the expected range of local fauna (Fig. 4b). Among 23 individuals with genomes in our data, all 5 individuals with 100% ancestry relating to central Europe", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed3.pdf" - }, - { - "text": "- 56. Heather, P. The Goths (Wiley-Blackwell, 1996).\n - 57. Elschek, K. in Grundprobleme. Thema: Macht des Goldes - Gold der Macht (Forschungen zu Spätantike und Mittelalter 2) (eds Hardt, M. & Heinrich-Tamáska, O.) 91-123 (Greiner, Bernhard A., 2013).\n - 58. Gnecchi-Ruscone, G. A., Szecsenyi-Nagy, A. & Koncz, I. Ancient genomes reveal origin and rapid trans-Eurasian migration of 7th century Avar elites. Cell 185 , 1402-1413 (2022).\n - 59. Veeramah, K. R. et al. Population genomic analysis of elongated skulls reveals extensive female-biased immigration in Early Medieval Bavaria. Proc. Natl Acad. Sci. USA 115 , 3494-3499 (2018).\n - 60. Martiniano, R. et al. Genomic signals of migration and continuity in Britain before the Anglo-Saxons. Nat. Commun. 7 , 10326 (2016).\n - 61. Schiffels, S. & Sayer, D. in Migration and Integration From Prehistory to the Middle Ages (eds Meller, H. et al.) Vol. 17, 255 (Tagungen des Landesmuseums für Vorgeschichte Halle, 2017).\n - 62. Morez, A. et al. Imputed genomes and haplotype-based analyses of the Picts of early medieval Scotland reveal fine-scale relatedness between Iron Age, early medieval and the modern people of the UK. PLoS Genet. 19 , e1010360 (2023).\n - 63. Symmachus, Letters 2. 46.1-2. WordPress https://aleatorclassicus.wordpress.com/2011/08/ 19/symmachus-letters-2-46-1-2/ (2011).\n - 64. Emperor, J. The Works of the Emperor Julian (translator Wright, W. C.) Vol. 1 (Project Gutenberg, 2015); https://www.gutenberg.org/ebooks/48664.\n - 65. Krzewińska, M. et al. Genomic and strontium isotope variation reveal immigration patterns in a Viking Age town. Curr. Biol. 28 , 2730-2738 (2018).\n - 66. Wilhelmson, H. & Price, T. D. Migration and integration on the Baltic Island of Öland in the Iron Age. J. Archaeol. Sci. Rep. 12 , 183-196 (2017).\n - 67. Sawyer, P. H. The Age of the Vikings (St. Martin's Press, 1972).\n - 68. Helgason, A. et al. Estimating Scandinavian and Gaelic ancestry in the male settlers of Iceland. Am. J. Hum. Genet. 67 , 697-717 (2000).\n - 69. Wilhelmson, H. & Ahlström, T. Iron Age migration on the island of Öland: apportionment of strontium by means of Bayesian mixing analysis. J. Archaeol. Sci. 64 , 30-45 (2015).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed3.pdf" - }, - { - "text": "(including one with ancestry related to Britain) are part of the majority strontium values, consistent with them having grown up locally. By contrast, the six most clearly non-local individuals based on the stable isotopes all have 50% or more EIA Scandinavian Peninsula-related ancestry, although three individuals with wholly EIA Scandinavian Peninsula-related ancestry also had local values. This suggests that the presence of central European-related ancestry was not a transient phenomenon, but an ancestry shift that occurred at some point after about 500 CE, the period to which individuals from the massacre site at Sandby Borg ringfort on Öland were dated; these individuals all have strictly EIA Scandinavian-related ancestry. Indeed, one hypothesis is that the massacre at Sandby Borg could represent conflict associated with movements of people that contributed to later ancestry change, although other scenarios are possible and further synthesis of biomolecular and archaeological data is necessary to test this hypothesis.\n\n## Viking Age mobility into Scandinavia\n\nPrevious studies had suggested a major influx of ancestry related to Britain into Viking Age Scandinavia 6,7 . Although we detect this ancestry in some individuals (7 individuals in Norway, 14 in Denmark and 14 in Sweden), including some individuals whose ancestry appears to be entirely derived from Iron Age Britain, its overall impact appears reduced compared with previous reports. Our analysis indicates a proportionally larger impact of ancestry from Iron Age Britain in northern Norway, with southern Scandinavia predominantly influenced by continental central European ancestries (Fig. 4d). We hypothesize that our estimates of ancestry from Britain are reduced relative to previous studies because ancestry related to Britain and continental central Europe may have been indistinguishable. This could be due to a lack of statistical power to distinguish these closely related sources with standard methods, as well as through potential biases introduced by using modern surrogate populations that have since been influenced by later gene flow (such as gene flow into Britain). We illustrate this by replicating the analyses previously described 6,7 (Extended Data Fig. 8).\n\nSimilarly, a previous study has suggested that individuals at sites such as Kärda in southern Sweden carried ancestry from southern Europe 6 . In our models, two Kärda individuals fit with central European-related ancestry, but none of the individuals has a substantial proportion of ancestry related to southern European sources (Extended Data Fig. 9). Instead, we detect ancestry from southern European sources in only three individuals from Scandinavia, and in relatively small proportions (Fig. 4a).\n\nInterestingly, we detect ancestry from Bronze and Iron Age sources from Eastern Europe (present-day Lithuania and Poland), concentrated in southeastern parts of Sweden, particularly the island of Gotland (14 individuals; Fig. 4a). This is consistent with previous genetic studies 6,7 . We find that this ancestry is enriched in male individuals (Extended Data Fig. 7d), suggesting male-biased mobility and/or burial. The closest match tends to be Roman Iron Age Lithuanian genomes associated with Balts, which would be consistent with mobility across the Baltic Sea, but we caution that the geographical representation of available genomes is still limited.\n\n## Viking Age expansion from Scandinavia\n\nTraditionally, historical perspectives on what is now often referred to as the Viking diaspora placed an emphasis on the movements and settlements of population groups from various parts of Scandinavia 67 . Our explorative MDS analysis again indicates mixed ancestries related to the Scandinavian EIA, with regional differences that point to varied local admixture (Fig. 4e and Extended Data Fig. 10).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed3.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "What do the timescales during which high-amplitude flaring events occur in blazars indicate?", - "target_page": 1, - "target_passage": "that much of the en- ergy is being produced deep within the jet on small, sub-parsec scales", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: (Left) The preliminary significance measured from each of the 49 non-detected candidates using standard analysis cuts. The curve shows a Gaussian distribution, with mean zero and standard deviation one, normalized to the number of blazars. A similar result is obtained using analysis cuts optimized for soft-spectrum sources. (Right) The distribution of flux upper limits for the non-detected blazars in percentage of Crab Nebula flux above the observation threshold. The time-weighted average limit is less than ∼ 2% Crab flux.\n\n\n\n\n\nσ\n\nsince the launch of Fermi include LAT detections. In addition, several MWL campaigns on the well-studied VHE blazars Mkn 421 and Mkn 501 (please see the contributions of D. Gall and A. Konopelko in these proceedings) were also performed. Highlights of these campaigns include:\n\n - · 1ES 2344+514: A major (50% Crab) VHE flare, along with correlations of the VHE and X-ray flux were observed from this HBL. The VHE and X-ray spectra harden during bright states, and a synchrotron self-Compton (SSC) model can explain the observed SED in both the high and low states [26].\n - · 1ES 1218+304: This HBL flared during VERITAS MWL observations. Its unusually hard VHE spectrum strongly constrains the EBL. The observed flaring rules out kpc-scale jet emission as the explanation of the spectral hardness and places the EBL constraints on more solidfooting [27, 28].\n - · 1ES 0806+524: The observed SED of this new VHE HBL can be explained by an SSC model [16].\n - · W Comae: This IBL, the first discovered at VHE, flared twice in 2008 [14, 15]. Modeling of the SED is improved by including an externalCompton (EC) component in an SSC interpretation.\n - · 3C 66A: This IBL flared at VHE and MeV-GeV energies in 2008[17, 18]. Similar to W Comae and PKS 1424+240, modeling of observed SED suggests a strong EC component in addition to an SSC component.\n - · Mkn 421: This HBL exhibited major flaring behavior for several months in 2008. Correlations of the VHE and X-ray flux were observed, along with spectral hardening with increased flux in both bands [29].\n - · RGBJ0710+591: Modeling the SED of this HBL with an SSC model yields a good fit to the data. The inclusion of an external Compton component does not improve the fit.\n - · PKS1424+240: The broadband SED of this IBL (at unknown redshift) is well described by an SSC model favoring a redshift of less than 0.1 [21]. Using the photon index measured with Fermi-LAT in combination with recent EBL absorption models, the VERITAS data indicate that the redshift of PKS 1424+240 is less than 0.66.\n\n## 8. Conclusions\n\nThe first two years of the VERITAS blazar KSP were highly successful. Highlights include the detection of more than a 16 VHE blazars with the observations almost always having contemporaneous MWL data. Among these detections are 8 VHE blazar discoveries, including the first three IBLs known to emit VHE γ -rays. All but a handful of the blazars on the initial VERITAS discovery target list were observed, and the flux limits generated for those not VHE detected are generally the most-constraining ever. The excess seen in the stacked blazar analysis suggests that the initial direction of the VERITAS discovery program was well justified, and that follow-up observations of many of these initial targets will result in VHE discoveries. In addition, the Fermi-LAT is identifying many new compelling targets for the VERITAS blazar discovery program. These new candidates have already resulted in 3 VHE blazar discoveries. The future of the VERITAS blazar discovery program is clearly very bright.\n\nThe MWL aspect of the VERITAS blazar KSP has also been highly successful. Every VERITAS observation of a known, or newly discovered, VHE blazar has been accompanied by contemporaneous MWL observations. These data have resulted in the identifica-", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar 'state', with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n\n\n - · BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n - · Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τ rest < 500 days.\n - · The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n - · FSRQs exhibit higher ratios of γ -ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ -ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τ rest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## Acknowledgments\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ -ray index versus submillimeter index plane. The blazars fall more steeply in the γ -rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around α S ∼ 0.\n\n\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ -ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ -ray component than during its 'low state'. 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ -ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## 5. CONCLUSIONS\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- · The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "detailed variability analysis for one of two reasons: (1) too few data points or (2) flux measurement uncertainties on the order of the amplitude of observed variability. It is important to note that, due to discrepancies between the sampling frequency in both bands, the variability indices for the 850 µ mband may be artificially depressed due to the fact that there are not always corresponding measurements at higher frequencies during flaring epochs.\n\n## 3.2. First-Order Continuous Autoregression\n\nWe follow the method of Kelly et al. [9], who model quasar optical light curves as a continuous time firstorder autoregressive process (CAR(1)) in order to extract characteristic time scales and the amplitude of flux variations. Although flaring behavior is not typically thought of as an autoregressive process, we find that the light curves are well-fit by the models and therefore adopt the method here to study blazar submillimeter light curves.\n\nThe CAR(1) process is described by a stochastic differential equation [9],\n\ndS ( t ) = 1 τ S ( t ) dt + σ √ dt glyph[epsilon1] ( t ) + b dt, (3)\n\nassociated with a power spectrum of the form\n\nP X ( f ) = 2 σ 2 τ 2 1 + (2 πτf ) 2 . (4)\n\nIn equations 3 and 4, τ is called the 'relaxation time' of the process S ( t ) and is identified by the break in P X ( f ). The power spectrum appears flat for timescales longer than this and falls off as 1 /f 2 for timescales shorter than the characteristic timescale of the process.\n\nTaking the logarithm of the blazar light curve (in Jy) to be S ( t ), we adopt τ (in days) as the characteristic timescale of variability, after which the physical process 'forgets' about what has happened at time lags of greater than τ . The two other relevant parameters, σ and µ = b/a , are the overall amplitude of variability and the logarithm of mean value of the light curve, respectively.\n\nIn the routine, we construct an autoregressive model for the light curves for a minimum of 100,000 iterations and calculate the value of τ from the break in the power spectrum in each instance. Due to the limited number of observations in the 850 µ m band, we performed this autoregressive analysis only for the 1mm light curves, which typically have more than 10 points per light curve.\n\nThis method yielded some surprising results. In Figure 3, we see that the BL Lacs and FSRQs exhibit virtually no difference in characteristic timescale, with\n\nFigure 3: Characteristic timescale (days) versus submillimeter luminosity (erg s -1 ) in the 1mm band for all objects. Physically, τ represents a 'relaxation timescale', the timescale beyond which events are no longer correlated.\n\n\n\nboth classes extending across a large range in τ . Because of the uncertainty for objects with shorter characteristic timescales, it is hard to draw any definitive conclusions about the differences between classes. It is important to note that τ does not necessarily represent a flaring timescale, which is a behavior that typically operates on a scale of ∼ 10-100 days and not on the longer timescales we see in τ .\n\n## 4. CONNECTION WITH GAMMA-RAYS\n\nIn general, we find that in the submillimeter, we are observing these blazars at or near the peak of the synchrotron component ( α S ∼ 0), but that Fermi -detected sources have more negative energy spectral indices overall than Fermi -nondetected sources. In Figure 4, we see that while the majority of Fermi blazars are observed on the rising part of the synchrotron component (at lower energies than the peak), all of the objects have very steeply falling γ -ray energy spectral indexes, putting the γ -ray peak at lower energies than the observed Fermi band. Knowing that we are not observing the synchrotron and γ -ray components at analagous points in the spectrum may allow us to better understand the magnetic field in the parsec-scale jet region and the population of external photons that is being upscattered to γ -rays.", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0806.pdf" - }, - { - "text": "tion of correlated VHE and X-ray flux variability, as well as correlated spectral hardening in both the VHE and X-ray bands. The VHE MWL observations were performed in both 'quiescent' and flaring states for some of the observed blazars. For the observed HBL objects, the SEDs can be well described by a simple SSC model in both high and low states. However, an additional external Compton component is necessary to adequately fit the SEDs of the IBL objects.\n\nThe Fermi-LAT is already having a significant impact on the blazar KSP. In future seasons, the VERITAS blazar discovery program will focus its discovery program on hard-spectrum blazars detected by Fermi-LAT, and will likely have a greater focus on high-risk/high-reward objects at larger redshifts (0 . 3 < z < 0 . 7). In addition, the number of VHE blazars studied in pre-planned MWL campaigns will increase as data from the Fermi-LAT will be publicly available. In particular, the extensive pre-planned MWL campaigns will focus on objects that are noteworthy for the impact their data may have on understanding the EBL. The simultaneous observations of blazars by VERITAS and Fermi-LAT will completely resolve the higher-energy SED peak, often for the first time, enabling unprecedented constraints on the underlying blazar phenomena to be derived.\n\n## Acknowledgments\n\nThis research is supported by grants from the US Department of Energy, the US National Science Foundation, and the Smithsonian Institution, by NSERC in Canada, by Science Foundation Ireland, and by STFC in the UK. We acknowledge the excellent work of the technical support staff at the FLWO and the collab-\n\norating institutions in the construction and operation of the instrument.\n\n## References\n\n - [1] F. Aharonian et al. 2007, ApJ , 664 , L71\n - [2] F. Aharonian et al. 2006, Nature , 440 , 1018\n - [3] F. Aharonian et al. 2007, A&A , 475 , L9\n - [4] J. Holder, et al. 2008, AIPC , 1085 , 657\n - [5] L. Costamante & G. Ghisellini 2002, A&A , 384 , 56\n - [6] E.S. Perlman 2000, AIPC , 515 , 53\n - [7] F.W. Stecker et al. 1996, ApJ , 473 , L75\n - [8] P. Giommi et al. 2005, A&A , 434 , 385\n - [9] S. Turriziani et al. 2007, A&A , 472 , 699\n - [10] L. Costamante 2006, arXiv:0612709\n - [11] P. Padovani et al. 2002, ApJ , 581 , 895\n - [12] R. Muhkerjee et al. 2001, AIPC , 558 , 324\n - [13] A.A. Abdo et al. 2009, ApJ , 700 , 597\n - [14] V.A. Acciari et al. 2008, ApJ , 684 , L73\n - [15] V.A. Acciari et al. 2009, ApJ , 707 , 612\n - [16] V.A. Acciari et al. 2009, ApJ , 690 , L126\n - [17] V.A. Acciari et al. 2009, ApJ , 693 , L104\n - [18] L.C. Reyes 2009, arXiv:0907.5175\n - [19] R.A. Ong 2009, ATel , 1941\n - [20] R.A. Ong et al. 2009, ATel , 2272\n - [21] V.A. Acciari et al. 2009, ApJ , 708 , L100\n - [22] R.A. Ong et al. 2009, ATel , 2301\n - [23] R.A. Ong et al. 2009, ATel , 2260\n - [24] R.A. Ong et al. 2009, ATel , 2309\n - [25] W. Benbow 2009, arXiv:0908.1412\n - [26] V.A. Acciari et al. 2009, ApJ , submitted\n - [27] V.A. Acciari et al. 2009, ApJ , 695 , 1370\n - [28] V.A. Acciari et al. 2009, ApJ , in press\n - [29] J. Grube 2009, arXiv:0907.4862", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850 µ m observations, and the open triangles represent the 1mm observations.\n\n\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0 . 03 ≤ z ≤ 2 . 19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## 2.1. Submillimeter Properties\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\nν e L ν e = 4 πD 2 L ν obs F obs 1 + z , (1)\n\nwhere D L is the luminosity distance, ν obs is the frequency of the observed band, and F obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850 µ m), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the 'tail' to the left is populated by objects with errors larger than the intrinsic variability.\n\n\n\nflux (in erg cm -2 s -1 Hz -1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H 0 = 71 km s -1 Mpc -1 , Ω M = 0 . 27, and Λ = 0 . 73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of α γ , we define spectral energy index as νF ν = ν -α S and calculate α S from the average of the energy spectral indices over the corresponding three months. We only calculate α S for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850 µ m during this time frame.\n\n## 3. VARIABILITY ANALYSIS\n\n## 3.1. Variability Index\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\nV = ( F max -σ F max ) -( F min + σ F min ) ( F max -σ F max ) + ( F min + σ F min ) (2)\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 8: XTEJ1752-223 light curve. Horizontal scale is in modified Julian days.\n\n\n\n- [1] C. Meegan et al., Ap. J. 702 , 791 (2009).\n- [2] C. Wilson-Hodge et al. (2010), these proceedings.\n- [3] B. A. Harmon et al., Ap. J. Suppl. 138 , 149 (2002).\n- [4] B. A. Harmon et al., Ap. J. Suppl. 154 , 585 (2004).\n- [5] G. L. Case et al., in The First GLAST Symposium , edited by S. Ritz, P. Michelson, and C. Meegan (2007), vol. 921 of AIP Conf. Proceedings , p. 538.\n- [6] J. Tueller et al. (2010), ap. J. Suppl., (to be published), astro-ph/0903.3037.\n- [7] J. C. Ling and W. A. Wheaton, Ap. J. 598 , 334 (2003).\n- [8] E. Jourdain and J. P. Roques, Ap. J. 704 , 17 (2009).\n- [9] H. Steinle et al., Astron. and Astrophys. 330 , 97\n\n12-25 keV band, where the flux initially rose to about 240 mCrab (2009 Oct 25-28), suddenly dropped to non-detectable on 2009 October 29-30, then rose again during the period 2009 October 31 to November 2. As of mid December 2009, the source remains in a high intensity state. The light curve is shown for the period MJD 54700-55200, again with 1-day resolution, in Fig. 8. The fluxes for XTE J1752-223 in Table 1 are given are for the interval of flaring activity, TJD 55130-55180.\n\n## Acknowledgments\n\nThis work is supported by the NASA Fermi Guest Investigator program. At LSU, additional support is provided by NASA/Louisiana Board of Regents Cooperative Agreement NNX07AT62A.\n\n(1998).\n\n- [10] M. McConnell et al., Ap. J. 523 , 928 (2000).\n- [11] J. C. Ling and W. A. Wheaton, Chinese J. Astron. Astrophys. Suppl. 5 , 80 (2005).\n- [12] G. L. Case et al., Chinese J. Astron. Astrophys. Suppl. 5 , 341 (2005).\n- [13] L. Bouchet et al., Ap. J. 693 , 1871 (2009).\n- [14] M. C. Bell et al., Ap. J. 659 , 549 (2007).\n- [15] G. L. Case et al. (2010), to be submitted.\n- [16] C. Wilson-Hodge et al., Astron. Telegram 2280 (2009).", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0955.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "Where is the Submillimeter Array?", - "target_page": 1, - "target_passage": "near the summit of Mauna Ke", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 5: Ratio of γ -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar 'state', with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n\n\n - · BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n - · Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τ rest < 500 days.\n - · The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n - · FSRQs exhibit higher ratios of γ -ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ -ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τ rest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## Acknowledgments\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 4: The γ -ray index versus submillimeter index plane. The blazars fall more steeply in the γ -rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around α S ∼ 0.\n\n\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ -ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ -ray component than during its 'low state'. 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ -ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## 5. CONCLUSIONS\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- · The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 2. VERITAS\n\nVERITAS, a stereoscopic array of four 12-m atmospheric-Cherenkov telescopes located in Arizona, is used to study VHE γ -rays from a variety of astrophysical sources [4]. VERITAS began scientific observations with a partial array in September 2006 and has routinely observed with the full array since September 2007. The performance metrics of VERITAS include an energy threshold of ∼ 100 GeV, an energy resolution of ∼ 15%, an angular resolution of ∼ 0.1 · , and a sensitivity yielding a 5 σ detection of a 1% Crab Nebula flux object in < 30 hours 1 . VERITAS has an active maintenance program (e.g. frequent mirror recoating and alignment) to ensure its continued high performance over time, and an upgrade improving both the camera (higher quantum-efficiency PMTs) and the trigger system has been proposed to the funding agencies.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850 µ m observations, and the open triangles represent the 1mm observations.\n\n\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0 . 03 ≤ z ≤ 2 . 19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## 2.1. Submillimeter Properties\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\nν e L ν e = 4 πD 2 L ν obs F obs 1 + z , (1)\n\nwhere D L is the luminosity distance, ν obs is the frequency of the observed band, and F obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850 µ m), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the 'tail' to the left is populated by objects with errors larger than the intrinsic variability.\n\n\n\nflux (in erg cm -2 s -1 Hz -1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H 0 = 71 km s -1 Mpc -1 , Ω M = 0 . 27, and Λ = 0 . 73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of α γ , we define spectral energy index as νF ν = ν -α S and calculate α S from the average of the energy spectral indices over the corresponding three months. We only calculate α S for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850 µ m during this time frame.\n\n## 3. VARIABILITY ANALYSIS\n\n## 3.1. Variability Index\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\nV = ( F max -σ F max ) -( F min + σ F min ) ( F max -σ F max ) + ( F min + σ F min ) (2)\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "## References\n\n - [1] M. Sikora and G. Madejski, in American Institute of Physics Conference Series , edited by F. A. Aharonian and H. J. Volk (2001), vol. 558 of American Institute of Physics Conference Series , pp. 275-288.\n - [2] M. Sikora, in Blazar Demographics and Physics , edited by P. Padovani and C. M. Urry (2001), vol. 227 of Astronomical Society of the Pacific Conference Series , pp. 95-104.\n - [3] J. A. Stevens, S. J. Litchfield, E. I. Robson, D. H. Hughes, W. K. Gear, H. Terasranta, E. Valtaoja, and M. Tornikoski, ApJ 437 , 91 (1994).\n - [4] P. T. P. Ho, J. M. Moran, and K. Y. Lo, ApJl 616 , L1 (2004).\n - [5] M. A. Gurwell, A. B. Peck, S. R. Hostler, M. R. Darrah, and C. A. Katz, in From Z-Machines to ALMA: (Sub)Millimeter Spectroscopy of Galaxies , edited by A. J. Baker, J. Glenn, A. I. Harris,\n - J. G. Mangum, and M. S. Yun (2007), vol. 375 of Astronomical Society of the Pacific Conference Series , p. 234.\n - [6] S. E. Healey, R. W. Romani, G. Cotter, P. F. Michelson, E. F. Schlafly, A. C. S. Readhead, P. Giommi, S. Chaty, I. A. Grenier, and L. C. Weintraub, ApJS 175 , 97 (2008).\n - [7] A. A. Abdo, M. Ackermann, M. Ajello, W. B. Atwood, M. Axelsson, L. Baldini, J. Ballet, G. Barbiellini, D. Bastieri, B. M. Baughman, et al., ApJ 700 , 597 (2009).\n - [8] T. Hovatta, E. Nieppola, M. Tornikoski, E. Valtaoja, M. F. Aller, and H. D. Aller, A&A 485 , 51 (2008).\n - [9] B. C. Kelly, J. Bechtold, and A. Siemiginowska, ApJ 698 , 895 (2009).\n - [10] M. Sikora, R. Moderski, and G. M. Madejski, ApJ 675 , 71 (2008).", - "page_start": 5, - "page_end": 5, - "source_file": "1001.0806.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "FIG. 1: Single Crab occultation step in a single GBM NaI detector. Horizontal scale is in seconds centered on the occultation time. Vertical scale is in measured counts.\n\n\n\nThe shape of the individual occultation steps depends on energy and occultation angle. Transmission as a function of time is modeled as T ( t ) = exp [ -µ ( E ) A ( h )], where µ ( E ) is the mass attenuation coefficient of gamma rays at energy E in air and A ( h ) is the air mass along the line of sight at a given altitude h ( t ). Account is taken of the detector response as it changes as a function of angle across the fit window. For each source, occultation times are predicted. Each step is fit over a 4-minute window along with a quadratic background and using an assumed spectrum to determine the detector count rate due to the source. The instrument response is used to convert the count rate to a flux. Up to 31 steps are possible for a given source in a day, and these steps are summed to get a single daily average flux. The GBM occultation sensitivity exceeds that of BATSE at energies below ∼ 25 keV and above ∼ 1 . 5 MeV [5].\n\nThis work uses the GBM CTIME data, with its 8 broad energy channels and 0.256-second resolution, rebinned to 2-second resolution. The occultation technique relies on an input catalog of known sources. Currently, we are monitoring 64 sources. Of these 64 sources, 6 steady sources are detected above 100 keV with a significance of at least 5 σ after ∼ 490 days of observations, and one transient source.\n\n## III. RESULTS\n\nThe results presented here are preliminary. We have not completed the fine tuning of our algorithms, though the average fluxes are not expected to change much. Future work will include using the GBM CSPEC data, with its finer energy binning, to examine the detailed spectra for these sources.\n\nThe measured 20 - 50 keV GBM light curves are compared to Swift's 15 - 50 keV light curves for sev-\n\nFIG. 2: Crab light curve. Horizontal scale is in modified Julian days over the 490 day GBM exposure period. Vertical scale is in photons/cm 2 /sec/keV averaged over daily intervals. Horizontal lines show the average flux in each of five energy bands increasing from top to bottom\n\n\n\neral sources over the same time intervals in ref. [2], where it is seen that the results measured by the two instruments compare well. At energies above the upper energy limit of ∼ 195 keV of the Swift 22-month catalog [6], however, the GBM observations provide the only wide-field monitor available of the low energy gamma ray sky.\n\n## A. Steady Sources\n\nThe sources Crab, Cyg X-1, Swift J1753.5-0127, 1E 1740-29, Cen A, and GRS 1915+105 are detected by GBM at energies above 100 keV. We show GBM light curves generated from the Earth occultation analysis in several energy bands with one day resolution for these six sources in Figures 2 - 7.\n\nTable I gives the fluxes and significances averaged over all the days from Aug. 12, 2008 (the beginning of science operations) to Dec. 15, 2009, approximately 490 days.\n\nThe Crab (Fig. 2) spectrum in the hard x-ray/low energy gamma-ray region can be described by a broken power law, with the spectrum steepening at 100 keV and then hardening at 650 keV [7, 8]. While the GBMCTIMEdata do not have the spectral resolution", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0955.pdf" - } - ] - }, - { - "references": { - "source_file": "1001.0806.pdf", - "query": "How many blazars were observed by the SMA in either band during the three months August-October 2008?", - "target_page": 2, - "target_passage": "only 129 of the SMA blazars", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## 2. SMA BLAZARS\n\nThe Submillimeter Array [4] consists of eight 6 m antennas located near the summit of Mauna Kea. The SMA is used in a variety of baseline configurations and typically operates in the 1mm and 850 µ m windows, achieving spatial resolution as fine as 0.25' at 850 µ m. The sources used as phase calibrators for the array are compiled in a database known as the SMA Calibrator List 2 [5]. Essentially a collection of bright objects (stronger than 750 mJy at 230 GHz and 1 Jy at 345 GHz), these sources are monitored regularly, both during science observations and dedicated observing tracks.\n\nTo select our sample, we identified objects in the calibrator list that were also classified as BL Lacs or FSRQs by the Candidate Gamma-Ray Blazar Survey [6, CGRaBS]. Of the 243 total objects in the calibrator list, 171 (35 BL Lacs and 136 FSRQs) have positive blazar class identifications, although there are three sources (J0238+166, J0428-379, and", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "Figure 1: The SMA light curves for 3C 454.3. The open circles represent the 850 µ m observations, and the open triangles represent the 1mm observations.\n\n\n\nJ1751+096) which have conflicting classifications between Fermi and CGRaBS. Some blazars found in the calibrator list have been studied extensively (e.g., 3C 279 and 3C 454.3) but the SMA blazars have not been studied collectively.\n\nForty-four of the objects in our total blazar sample were detected by Fermi and can be found in the catalog of LAT Bright AGN Sources (LBAS) from Abdo et al. [7]. J0050-094 has no redshift in either the LBAS catalog or CGRaBS and is not included in our study. Of the 43 remaining sources, 14 are BL Lac objects and 29 are FSRQs, with 0 . 03 ≤ z ≤ 2 . 19.\n\nWe examined submillimeter light curves for all of the SMA blazars, with observations beginning in approximately 2003 (see Figure 1). Typically, the 1mm band is much more well-sampled in comparison to the 850m band, but visual inspection reveals that the regularity and quality of observations vary greatly from source to source. Many of the objects exhibit nonperiodic variability, either in the form of persistent, low-amplitude fluctuations or higher amplitude flaring behavior.\n\n## 2.1. Submillimeter Properties\n\nSubmillimeter Luminosities. Since we are primarily concerned with comparisons to Fermi observations, we note that only 129 of the SMA blazars (23 BL Lacs and 106 FSRQs) were observed by the SMA in either band during the three months August-October 2008. For these objects, submillimeter luminosities are calculated in the standard way:\n\nν e L ν e = 4 πD 2 L ν obs F obs 1 + z , (1)\n\nwhere D L is the luminosity distance, ν obs is the frequency of the observed band, and F obs is the average\n\nFigure 2: Variability index for our sample (top: 1mm, bottom: 850 µ m), with FSRQs as the hatched distribution and BL Lacs as the solid distribution. There is no signicant difference in the class distributions in either band; the 'tail' to the left is populated by objects with errors larger than the intrinsic variability.\n\n\n\nflux (in erg cm -2 s -1 Hz -1 ) over the three month period. We adopt a lambda cold dark matter cosmology with values of H 0 = 71 km s -1 Mpc -1 , Ω M = 0 . 27, and Λ = 0 . 73.\n\nEnergy Spectral Indices. We derive submillimeter spectral energy indices from observations quasisimultaneous with the Fermi observations. To be consistent with the use of α γ , we define spectral energy index as νF ν = ν -α S and calculate α S from the average of the energy spectral indices over the corresponding three months. We only calculate α S for the 16 objects (8 BL Lacs and 35 FSRQs) with observations at both 1mm and 850 µ m during this time frame.\n\n## 3. VARIABILITY ANALYSIS\n\n## 3.1. Variability Index\n\nWe roughly characterize the level of variability of each source using the variability index from Hovatta et al. [8]:\n\nV = ( F max -σ F max ) -( F min + σ F min ) ( F max -σ F max ) + ( F min + σ F min ) (2)\n\nFigure 2 shows the distribution for the SMA blazars. Objects with V ≤ 0 are typically unsuitable for more", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0806.pdf" - }, - { - "text": "## Submillimeter Variability and the Gamma-ray Connection in Fermi Blazars\n\nA. Strom Univ. of Arizona, AZ 85721, USA A. Siemiginowska, M. Gurwell, B. Kelly\n\nCfA, MA 02138, USA\n\nWe present multi-epoch observations from the Submillimeter Array ( SMA ) for a sample of 171 bright blazars, 43 of which were detected by Fermi during the first three months of observations. We explore the correlation between their gamma-ray properties and submillimeter observations of their parsec-scale jets, with a special emphasis on spectral index in both bands and the variability of the synchrotron component. Subclass is determined using a combination of Fermi designation and the Candidate Gamma-Ray Blazar Survey (CGRaBS), resulting in 35 BL Lac objects and 136 flat-spectrum radio quasars (FSRQs) in our total sample. We calculate submillimeter energy spectral indices using contemporaneous observations in the 1 mm and 850 micron bands during the months August-October 2008. The submillimeter light curves are modeled as first-order continuous autoregressive processes, from which we derive characteristic timescales. Our blazar sample exhibits no differences in submillimeter variability amplitude or characteristic timescale as a function of subclass or luminosity. All of the the light curves are consistent with being produced by a single process that accounts for both low and high states, and there is additional evidence that objects may be transitioning between blazar class during flaring epochs.\n\n## 1. INTRODUCTION\n\nThe timescales on which high-amplitude flaring events occur in blazars indicate that much of the energy is being produced deep within the jet on small, sub-parsec scales [1, 2]. Understanding if/how emission differs between blazar subclasses (i.e., BL Lacs objects and flat-spectrum radio quasars (FSRQs)) may offer important insight into the similarity between blazars and, furthermore, can provide constraints on the formation and acceleration of the jets themselves.\n\nFor the synchrotron component of blazar spectra, the low-frequency spectral break due to synchrotron self-absorption moves to higher frequencies as one measures closer to the base of the jet [2]. This often places the peak of the spectrum in the millimeter and submillimeter bands, where the emission is optically-thin and originates on parsec and sub-parsec scales [3], allowing direct observation of the most compact regions near the central engine. The high energy γ -ray emission originates as a Compton process, typically a combination of synchrotron-self-Compton (SSC) and external-radiation-Compton (ERC). Depending on the source properties, the synchrotron photons or external photons are upscattered by the same population of electrons that emit the millimeter and submillimeter spectra. Therefore the submillimeter and γ -ray emission are closely linked and give the full information about the source emission.\n\nA systematic study of the submillimeter properties of the entire sample of Fermi blazars has yet to be conducted and is one of the primary goals of our work. We present here preliminary analysis of the submillimeter properties of Fermi blazars detected by the Submil-\n\nlimeter Array 1 ( SMA ) at 1mm and 850 µ m, including an investigation of variable behavior and the determination of submillimeter energy spectral indices. In addition, we consider the connection to the observed γ -ray indices and luminosities.\n\n## 2. SMA BLAZARS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 6. Blazars Upper Limits\n\nMore than 50 VHE blazar candidates were observed by VERITAS between September 2007 and June 2009. The total exposure on the 49 non-detected candidates is ∼ 305 h live time (average of 6.2 h per candidate). Approximately 55% of the total exposure is split amongst the 27 observed HBL. The remainder is divided amongst the 8 IBL (26%), 5 LBL (6%), and 9 FSRQ (13%). There are no clear indications of significant VHE γ -ray emission from any of these 49 blazars [25]. However, the observed significance distribution is clearly skewed towards positive values (see Figure 1). A stacking analysis performed on the entire data sample shows an overall excess of 430 γ -rays, corresponding to a statistical significance of 4.8 σ , observed from the directions of the candidate blazars. The IBL and HBL targets make up 96% of the observed excess. Observations of these objects also comprise ∼ 80% of the total exposure. An identical stacked analysis of all the extragalactic non-blazar targets observed, but not clearly detected ( > 5 σ ), by VERITAS does not show a significant excess ( ∼ 120 h exposure). The stacked excess persists using alternate methods for estimating the background at each blazar location, and with different event selection criteria (e.g. soft cuts optimized for sources with Γ VHE > 4). The distribution of VHE flux upper limits is shown in Figure 1. These 49 VHE flux upper limits are generally the most-constraining ever reported for these objects.\n\n## 7. Multi-wavelength Studies of VHE Blazars\n\nDuring the first three seasons of VERITAS observations, pre-planned extensive MWL campaigns were organized for three blazars 1ES 2344+514 (2007-08), 1ES 1218+304 (2008-09) and 1ES 0229+200 (200910 - ongoing). In addition, numerous ToO MWLobservation campaigns were performed. These include campaigns for every blazar/AGN discovered by VERITAS, and all include Swift (XRT and UVOT) data. All MWL campaigns on the VHE blazars discovered", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 4: The γ -ray index versus submillimeter index plane. The blazars fall more steeply in the γ -rays than in the submillimeter band, where most are, in fact, rising. This LAT-detected sample contrasts with the full SMA sample, where the blazars are more distributed around α S ∼ 0.\n\n\n\nas the presence of SSC versus ERC. Here, we use submillimeter luminosity as a proxy for jet power, which is correlated with the integrated luminosity of the synchrotron component. Elevated γ -ray luminosity with respect to the synchrotron component (which is often seen in FSRQs) suggests the upscattering of external photons off the synchrotron-emitting electrons. These objects should occupy the upper right of the ratio/jet power plot, and BL Lacs, which generally exhibit components with roughly comparable luminosities, should occupy the lower left. It is clear from the figure, however, that many FSRQs exhibit ratios similar to those of the BL Lacs and vis versa.\n\nSikora et al. [10] report that, during its flaring epochs, 3C 454.3 transitions from its typical FSRQ state to a more BL Lac-like state, where the synchrotron component emits much more strongly compared to the γ -ray component than during its 'low state'. 3C 454.3, which is the highest submillimeter luminosity FSRQ in our sample, would then shift down and to the right in Figure 5 when it enters a flaring period. For the first three months of the Fermi mission, 3C 454.3 was not flaring, which may explain its present location in Figure 5. The three objects for which there is a type discrepancy between CGRaBS and LBAS are all FSRQs (in CGRaBS) and exhibit\n\nlow luminosity ratios and high luminosity, which suggest they may be undergoing the same changes as 3C 454.3. A possible interpretation of the elevated luminosity ratios observed in some BL Lacs objects is that there has been a dramatic increase in γ -ray luminosity due to ERC, which would not be reflected in the synchrotron component.\n\n## 5. CONCLUSIONS\n\nThe motivation for observing blazars in the submillimeter is to study behavior close to the central engine, where the jet material is presumably still being accelerated. The separate emission processes that contribute to overall SED may present differently in BL Lacs and FSRQs, allowing us to understand the similarities and differences between blazar types. We have investigated these differences between objects in terms of submillimeter behavior and, in conclusion, find that\n\n- · The SMA blazars exhibit submillimeter energy spectral indexes that follow the spectral sequence interpretation of blazars.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.0806.pdf" - }, - { - "text": "## 3. VERITAS Blazar KSP\n\nVERITAS observes for ∼ 750 h and ∼ 250 h each year during periods of astronomical darkness and partial moonlight, respectively. The moonlight observations are almost exclusively used for a blazar discovery program, and a large fraction of the dark time is used for the blazar KSP, which consists of:\n\n- · A VHE blazar discovery program ( ∼ 200 h / yr): Each year ∼ 10 targets are selected to receive ∼ 10 h of observations each during astronomical darkness. These data are supplemented by discovery observations during periods of partial moonlight.\n- · A target-of-opportunity (ToO) observation program ( ∼ 50 h / yr): VERITAS blazar observations can be triggered by either a VERITAS blazar discovery, a VHE flaring alert ( > 2 Crab) from the blazar monitoring program of the Whipple 10-m telescope or from another VHE instrument, or a lower-energy flaring alert (optical, X-ray or Fermi-LAT). Should the guaranteed allocation be exhausted, further time can be requested from a pool of director's discretionary time.\n- · Multi-wavelength (MWL) studies of VHE blazars ( ∼ 50 h / yr + ToO): Each year one blazar receives a deep exposure in a pre-planned campaign of extensive, simultaneous MWL (Xray, optical, radio) measurements. ToO observation proposals for MWL measurements are also submitted to lower-energy observatories (e.g. Swift) and are triggered by a VERITAS discovery or flaring alert.\n- · Distant VHE blazar studies to constrain the extragalactic background light (EBL): Here distant targets are given a higher priority in the blazar discovery program, as well as for the MWL observations of known VHE blazars, particularly those with hard VHE spectra.\n\n## 4. Blazar Discovery Program\n\nThe blazars observed in the discovery program are largely high-frequency-peaked BL Lac objects. However, the program also includes IBLs (intermediatepeaked) and LBLs (low-peaked), as well as flat spectrum radio quasars (FSRQs), in an attempt to increase the types of blazars known to emit VHE γ -rays. The observed targets are drawn from a target list containing objects visible to the telescopes at reasonable zenith angles ( -8 · < δ < 72 · ), without a previously published VHE limit below 1.5% Crab, and with a measured redshift z < 0 . 3. To further the study of the\n\nEBL a few objects having a large ( z > 0 . 3) are also included in the target list. The target list includes:\n\n- · All nearby ( z < 0 . 3) HBL and IBL recommended as potential VHE emitters in [5, 6, 7].\n- · The X-ray brightest HBL ( z < 0 . 3) in the recent Sedentary [8] and ROXA [9] surveys.\n- · Four distant ( z > 0 . 3) BL Lac objects recommended by [5, 10].\n- · Several FSRQ recommended as potential VHE emitters in [6, 11].\n- · All nearby ( z < 0 . 3) blazars detected by EGRET [12].\n- · All nearby ( z < 0 . 3) blazars contained in the Fermi-LAT Bright AGN Sample [13].\n- · All sources ( | b | > 10 · ) detected by Fermi-LAT where extrapolations of their MeV-GeV γ -ray spectrum (including EBL absorption; assuming z = 0.3 if the redshift is unknown) indicates a possible VERITAS detection in less than 20 h. This criteria is the focus of the 2009-10 VERITAS blazar discovery program.\n\n## 5. VERITAS AGN Detections\n\nVERITAS has detected VHE γ -ray emission from 16 AGN (15 blazars), including 8 VHE discoveries. These AGN are shown in Table I, and each has been detected by the Large Area Telescope (LAT) instrument aboard the Fermi Gamma-ray Space Telescope. Every blazar discovered by VERITAS was the subject of ToO MWL observations to enable modeling of its simultaneously-measured SED. The known VHE blazars detected by VERITAS were similarly the targets of MWL observations.\n\n## 5.1. Recent VERITAS Blazar Discoveries", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - }, - { - "text": "Figure 5: Ratio of γ -ray luminosity to submillimeter luminosity in the 1mm band. The location of an object in this plot should be directly correlated with its blazar 'state', with FSRQs occupying the upper right and BL Lacs the lower left. Flat-spectrum radio quasar 3C 454.3 is the object with the highest submillimeter luminosity in this plot.\n\n\n\n - · BL Lacs and FSRQs do not exhibit significant differences in amplitude of submillimeter variability or characteristic timescale, but our sample of BL Lacs may be dominated by highpeaked BL Lacs (HBLs), which exhibit observational similarities with FSRQs.\n - · Blazar submillimeter light curves are consistent with being produced by a single process that accounts for both high and low states, with characteristic timescales 10 < τ rest < 500 days.\n - · The blazars detected by Fermi have synchrotron peaks at higher frequencies, regardless of submillimeter luminosity.\n - · FSRQs exhibit higher ratios of γ -ray to submillimeter luminosity than BL Lacs (Figure 5), but all objects inhabit a region of parameter space suggesting transitions between states during flaring epochs.\n\nAs Fermi continues to observe fainter sources, the sample of objects for which we can perform this type of analysis will increase and provide better limits on our results. To understand the physical relevance of these results, however, it is important to be able to distinguish between the difference in variability between BL\n\nLacs and FSRQs. One avenue for exploring this difference is to monitor changing submillimeter energy spectral index and the ratio of γ -ray to submillimeter luminosity as functions of time. The full meaning of the results of our autoregressive method is not yet clear, and will require better-sampled blazar light curves and the comparison between τ rest with physical timescales such as the synchrotron cooling timescale. These analyses would allow us to place constraints on the processes occurring near the base of the jet in blazars and further understand the intimate connection between them.\n\n## Acknowledgments\n\nThis work was supported in part by the NSF REU and DoD ASSURE programs under Grant no. 0754568 and by the Smithsonian Institution. Partial support was also provided by NASA contract NAS8-39073 and NASA grant NNX07AQ55G. We have made use of the SIMBAD database, operated at CDS, Strasbourg, France, and the NASA/IPAC Extragalactic Database (NED) which is operated by the JPL, Caltech, under contract with NASA.", - "page_start": 4, - "page_end": 4, - "source_file": "1001.0806.pdf" - }, - { - "text": "## VERITAS Observations of Blazars\n\nW. Benbow for the VERITAS Collaboration\n\nHarvard-Smithsonian Center for Astrophysics, F.L. Whipple Observatory, PO Box 6369, Amado, AZ 85645, USA\n\nThe VERITAS array of four 12-m diameter imaging atmospheric-Cherenkov telescopes in southern Arizona is used to study very high energy (VHE; E > 100 GeV) γ -ray emission from astrophysical objects. VERITAS is currently the most sensitive VHE γ -ray observatory in the world and one of the VERITAS collaboration's Key Science Projects (KSP) is the study of blazars. These active galactic nuclei (AGN) are the most numerous class of identified VHE sources, with ∼ 30 known to emit VHE photons. More than 70 AGN, almost all of which are blazars, have been observed with the VERITAS array since 2007, in most cases with the deepest-ever VHE exposure. These observations have resulted in the detection of VHE γ -rays from 16 AGN (15 blazars), including 8 for the first time at these energies. The VERITAS blazar KSP is summarized in this proceeding and selected results are presented.\n\n## 1. Introduction\n\nActive galactic nuclei are the most numerous class of identified VHE γ -ray sources. These objects emit non-thermal radiation across ∼ 20 orders of magnitude in energy and rank among the most powerful particle accelerators in the universe. A small fraction of AGN possess strong collimated outflows (jets) powered by accretion onto a supermassive black hole (SMBH). VHE γ -ray emission can be generated in these jets, likely in a compact region very near the SMBH event horizon. Blazars, a class of AGN with jets pointed along the line-of-sight to the observer, are of particular interest in the VHE regime. Approximately 30 blazars, primarily high-frequency-peaked BL Lacs (HBL), are identified as sources of VHE γ -rays, and some are spectacularly variable on time scales comparable to the light crossing time of their SMBH ( ∼ 2 min; [1]). VHE blazar studies probe the environment very near the central SMBH and address a wide range of physical phenomena, including the accretion and jet-formation processes. These studies also have cosmological implications, as VHE blazar data can be used to strongly constrain primordial radiation fields (see the extragalactic background light (EBL) constraints from, e.g., [2, 3]).\n\nVHE blazars have double-humped spectral energy distributions (SEDs), with one peak at UV/X-ray energies and another at GeV/TeV energies. The origin of the lower-energy peak is commonly explained as synchrotron emission from the relativistic electrons in the blazar jets. The origin of the higher-energy peak is controversial, but is widely believed to be the result of inverse-Compton scattering of seed photons off the same relativistic electrons. The origin of the seed photons in these leptonic scenarios could be the synchrotron photons themselves, or photons from an external source. Hadronic scenarios are also plausible explanations for the VHE emission, but generally are not favored.\n\nContemporaneous multi-wavelength (MWL) obser-\n\nvations of VHE blazars, can measure both SED peaks and are crucial for extracting information from the observations of VHE blazars. They are used to constrain the size, magnetic field and Doppler factor of the emission region, as well as to determine the origin (leptonic or hadronic) of the VHE γ -rays. In leptonic scenarios, such MWL observations are used to measure the spectrum of high-energy electrons producing the emission, as well as to elucidate the nature of the seed photons. Additionally, an accurate measure of the cosmological EBL density requires accurate modeling of the blazar's intrinsic VHE emission that can only be performed with contemporaneous MWL observations.\n\n## 2. VERITAS", - "page_start": 0, - "page_end": 0, - "source_file": "1001.0770.pdf" - }, - { - "text": "Table I VERITAS AGN Detections. The only non-blazar object is the radio galaxy M 87. The blazars discovered at VHE by VERITAS are marked with a dagger.\n\n| Object | | Class Redshift |\n|----------------|------|------------------|\n| M87 | FR I | 0.004 |\n| Mkn421 | HBL | 0.030 |\n| Mkn501 | HBL | 0.034 |\n| 1ES2344+514 | HBL | 0.044 |\n| 1ES1959+650 | HBL | 0.047 |\n| WComae † | IBL | 0.102 |\n| RGBJ0710+591 † | HBL | 0.125 |\n| H1426+428 | HBL | 0.129 |\n| 1ES0806+524 † | HBL | 0.138 |\n| 1ES0229+200 | HBL | 0.139 |\n| 1ES1218+304 | HBL | 0.182 |\n| RBS0413 † | HBL | 0.190 |\n| 1ES0502+675 † | HBL | 0.341 |\n| 3C66A † | IBL | 0.444? |\n| PKS1424+240 † | IBL | ? |\n| VERJ0521+211 † | ? | ? |\n\n( ∼ 5.5 σ ; 3% Crab flux above 300 GeV; Γ VHE ∼ 2 . 7) during VERITAS observations from December 2008 to March 2009. The initial announcement of the VHE discovery [19] led to its discovery above 1 GeV in the Fermi-LAT data using a special analysis. RBS 0413, a relatively distant HBL (z=0.19), was observed for 16 h good-quality live time in 2008-09 2 . These data resulted in the discovery of VHE gamma-rays ( > 270 γ , ∼ 6 σ ) at a flux ( > 200 GeV) of ∼ 2% of the Crab Nebula flux. The discovery [20] was announced simultaneously with the LAT MeV-GeV detection. The VHE and other MWL observations, including Fermi-LAT data, for each of these three sources will be the subject of a joint publication involving both the VERITAS and LAT collaborations.\n\n## 5.2. Discoveries Motivated by Fermi-LAT\n\nThe successful VHE discovery observations by VERITAS of three blazars was motivated primarily by results from the first year of LAT data taking. In particular, the VHE detections of PKS 1424+240 [21] and 1ES0502+675 [22] were the result of VERITAS observations triggered by the inclusion of these objects in the Fermi-LAT Bright AGN List [13]. The former is only the third IBL known to emit VHE gammarays, and the latter is the most distant BL Lac object\n\n( z = 0 . 341) detected in the VHE band. In addition, VERJ0521+211, likely associated with the radio-loud AGN RGBJ0521.8+2112, was detected by VERTAS in ∼ 4 h of observations in October 2009 [23]. These observations were motivated by its identification as a > 30 GeV γ -ray source in the public Fermi-LAT data. Its VHE flux is 5% of the Crab Nebula flux, placing it among the brightest VHE blazars detected in recent years. VERITAS later observed even brighter VHE flaring from VERJ0521+211 in November 2009 [24], leading to deeper VHE observations.\n\n## 6. Blazars Upper Limits", - "page_start": 2, - "page_end": 2, - "source_file": "1001.0770.pdf" - }, - { - "text": "## 5.1. Recent VERITAS Blazar Discoveries\n\nPrior to the launch of Fermi VERITAS had discovered VHE emission from 2 blazars. These included the first VHE-detected IBL, W Comae [14, 15], and the HBL 1ES0806+524 [16]. VERITAS has discovered 6 VHE blazars since the launch of Fermi. Three of these were initially observed by VERITAS prior to the release of Fermi-LAT results, due to the X-ray brightness of the synchrotron peaks of their SEDs.\n\nVHEemission from 3C66A was discovered by VERITAS in September 2008 [17] during a flaring episode that was also observed by the Fermi-LAT [18]. The observed flux above 200 GeV was 6% of the Crab Nebula flux and the measured VHE spectrum was very soft (Γ VHE ∼ 4 . 1). RGBJ0710+591 was detected", - "page_start": 1, - "page_end": 1, - "source_file": "1001.0770.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "How big is the Mermaid fleet?", - "target_page": 12, - "target_passage": "Mermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## MERMAID FLEET\n\n\n\n", - "page_start": 25, - "page_end": 25, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## OPERATIONS REVIEW\n\n## SEAGOING OPERATIONS\n\nMermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. DAMPIER BASE\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n\n\n·\n\n\n\n·\n\nAn 'all tides' approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nvessels engaged in routine offshore logistics tasks operate fully laden with 7.4 m draft which means there will be very few occasions when the largest vessels in the industry have to make a tide dependent entry or departure through the Mermaid channel. Further the Mermaid Base will not suffer operational disadvantages experienced by the adjacent Woodshed Base or nearby Damper Public Wharf in terms of entry and departure draft restrictions.\n\nThe function and purpose of Berth 1 will be:\n\n- · To service the larger offshore supply boat market on a fast turnaround basis.\n- · To receive and offload very heavy ro/ro cargoes up to 1500 tonne delivered by ocean going heavy lift ships and barges.\n- · To handle inbound and outbound cargoes related to major offshore pipe lay projects.\n- · To receive and efficiently load reel ships used for deep water small diameter pipelay.\n\nThe wharf will be an earth filled structure with steel sheet pile faces and concrete capping beam surround. Most of the construction will be performed using land based equipment working from the core of the earth filled system.\n\nMuch effort has gone into a design concept which allows very large cranes (>100 tonne capacity) to operate without restriction on the wharf.\n\nThe separation between Berth 1 and Berth 2 is such to allow Road Train Triples (the max allowable) to turn unassisted on the wharf.\n\n## C. QUAY WALL (BERTH 2)\n\nThe inner berth, Berth 2 has a minimum depth alongside of 5.0 m allowing unrestricted operation of all the Mermaid fleet, and the majority of other vessels servicing the offshore oil/gas industry and mineral ports. This berth will offer excellent weather protection for small and medium size vessels.\n\n## D. BREAKWATER.\n\nThe rubble mount type breakwater will be an extension of the wharf, constructed using core and armor rock largely won from excavations on the Base. The excavations created will become depositories for dredge spoil.\n\nBecause the storm surge associated with major cyclones can be up to 7 m above chart datum (low tide), before imposing the wave height, a fully protective breakwater is not practical. The\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "2000\n\nT\n\nREPOR\n\nAL\n\nANNU\n\n\n\nMERMAID MARINE AUSTRALIA LIMITED\n\nACN 083 185 693", - "page_start": 0, - "page_end": 0, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## DIRECTORS' REPORT\n\nMermaid's principal activities during the course of the Financial Year were:\n\n - Operating crewed vessel charters; ·\n - Vessel manning, management and logistics; ·\n - Operating supply base facilities; and ·\n - Equipment hire. ·\n\nOther than detailed in the Chairman's Report set out at pages 1 and 2 of this report and/or in the Operations Review set out on pages 3 to 9 of this report, (together the 'Chairman's and Operations Reviews'), there have been no significant changes to these activities during the Financial Year.\n\nIn respect of the financial year ended 30 June 1999, as detailed in the directors' report for that financial year, a final dividend of 1.25 cents per share, franked to 100 per cent at 36 per cent corporate income tax rate, was paid to the holders of fully paid ordinary shares on 1 November 1999.\n\nIn respect of the financial year ended 30 June 2000 the directors have not recommended the payment of a dividend.\n\nA review of operations for the Financial Year and the results of those operations are set out in the Chairman's and Operations Reviews.\n\nThe Chairman's and Operations\n\n## REVIEW OF OPERATIONS\n\n## SIGNIFICANT CHANGES IN THE STATE OF AFFAIRS\n\nReviews set out the matters which have had a significant effect on the state of affairs of Mermaid. Other than those matters there were no significant changes in the state of affairs of Mermaid during the Financial Year.\n\n## SUBSEQUENT EVENTS\n\nOn 25 August 2000 the Company announced that it had reached two agreements for the placement of a total of 16,666,666 ordinary fully paid shares in the Company at an issue price of 30 cents each (Shares).\n\nThe first agreement was with Mr Mark Bradley, who agreed to take a placement of 3,225,000 Shares by 29 September 2000, followed by, if approved of by shareholders at the Company's annual general meeting, a further 3,441,666 within 7 days of that meeting.\n\nOn Mr Bradley being appointed a Director of the Company, in order to comply with the\n\n## PRINCIPAL ACTIVITIES\n\n## DIVIDEND", - "page_start": 32, - "page_end": 32, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\n\n\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n## F. ONSHORE LAND RECLAMATION.\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage.\n\n13\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\n## MERMAID LABOUR AND MANAGEMENT LIMITED\n\nSAFETY\n\n\n\nDuring 2000 Mermaid Marine formed a new business unit Mermaid Labour and Management Limited. The focus of this unit will be labour supply and industrial relations management to the marine, offshore construction industry and onshore resources projects in the NW of Australia. The Directors and Management of the new entity are very experienced, well known and regarded by the industry in general. The company has high expectations for Mermaid Labour and Management Limited.\n\nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have responsibility.\n\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company's accreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid's quality assurance and compliance team continues with a continuous day to day effort to improve our health, safety and environmental performance. Stringent charterer requirements, which are a pre requisite of increased vessel usage, must be met to the letter and are the subject of regular and demanding audits. Although time consuming and expensive, we are grateful to certain of the large producers, who while demanding the highest levels of compliance, have also been prepared to give their time, sharing their safety expertise with us and in that way assisting in the very major advances our company has made in this all important area.\n\nAt the time of writing this report, Mermaid had accumulated 348 days without a Lost Time Injury. A fine achievement and a continuing record.", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\n## ENVIRONMENTAL ISSUES\n\nMangroves, a tropical evergreen shrub, which forms dense thickets along coastlines, are a key element of the life cycle of a large number of marine species in the areas in which Mermaid principally operates.\n\nThe potential exposure to accidental damage, pollution or destruction of mangroves represents a significant environmental issue in the region.\n\nAs part of its plans to expand the Dampier Base, Mermaid volunteered a replanting program to encourage the growth of mangroves in previously denuded areas, immediately adjacent to the expanded Base.\n\nAs at the date of the report, five hundred (500) juvenile mangroves have been transplanted with 90% success. A further 174 mangrove seedlings have been planted and are showing very good growth rates. Attempts to transplant adult mangrove trees, have proved to be more difficult, but the success with young plants now appears to guarantee a more than satisfactory outcome.\n\n\n\n", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## CHAIRMAN'S REPORT\n\nMermaid Marine made great progress during the year to 30th June 2000, even though trading reflected low levels of activity in the North West. Prospects over recent months have rapidly improved, with a great deal of large project work in prospect. The Prospectus concept of building our business within the triangle of oil and gas reserves found between Timor, Exmouth and Darwin, is proven and has become even more relevant.\n\nRich in gas, the region is rapidly becoming Australia's powerhouse and the focus of new resource processing industries. In a statement made in only August this year, the Shell Oil Company identified gas as that Company's premier future fuel, due to its high environmental qualifications and portability. The Federal Government, also recognising the environmental advantages of gas, has identified that liquified natural gas in particular, as a greenhouse solution rather than a problem and has effectively exempted the gas industry from Kyoto protocol restraints.\n\nWoodside Petroleum has announced the signing of Memorandums of understanding for substantial gas contracts to a range of companies planning to establish their production in the Pilbara. At the time of writing this report, firm Letters of Intent were also foreshadowed for substantial increases in LNG production, specifically to Japan and prospects are high for further export sales to China, Singapore and India.\n\nProviding marine support for such expansion has been our principle source of earnings, but Mermaid will enjoy a larger and more diversified income stream once development of the Base at Dampier is completed. The project, demonstrated in more detail later in this report, will revolutionise our Company and drive significant changes in the way offshore producers are serviced in the North West of Australia.\n\nCoinciding with a start of Base construction, we were successful in attracting Mr Mark Bradley, formerly Managing Director of Clough Offshore, to join us as Mermaid's Chief Executive. As reported by the Age newspaper, our new Chief Executive has put his money where his mouth is, offering a personal investment of $2 million for equity in our company. Mark has had an extremely successful career with McDermotts and Clough Offshore. He will now drive the development of a much stronger engineering capability at Mermaid, through which, whether in joint venture or alone, we intend to be more closely involved as direct participants in North West Shelf work.\n\nImmediately following Mark Bradley's decision, his old employer, Clough Engineering, also expressed a desire to become a shareholder, subscribing $3 million for new equity. The influence that the direct involvement of Mark Bradley and Clough Engineering will have in our company's future should not be underestimated. At this time when we welcome Mark as a Director and shareholder, we are also pleased to announce the appointment of Mr Richard Reid, finance", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## MERMAID MARINE AUSTRALIA LIMITED A.C.N. 083 185 693\n\n## CORPORATE DIRECTORY\n\n## Directors\n\nAlan Birchmore, Chairman\n\nMark Bradley, Director, CEO\n\nJames Carver, Executive Director\n\nDerrice Dillon, Executive Director\n\nJeff Mews, Non-Executive Director\n\nRichard Reid, Non-Executive Director\n\n## Company Secretary\n\nBrendan Gore\n\nNeil Roberts\n\n## REGISTERED OFFICE\n\nEagle Jetty,\n\n20 Mews Road,\n\nFremantle,\n\nWestern Australia 6160.\n\nTelephone: 61 8 9431 7431\n\nFacsimile: 61 8 9431 7432\n\nEmail: corporate@mermaidmarine.com.au\n\nInternet Site: www.mermaidmarine.com.au", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "What was the budget for the expansion of Dampier Base?", - "target_page": 14, - "target_passage": "a capital budget of $13m", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## OPERATIONS REVIEW\n\n## BASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT\n\nWork on Dampier\n\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving a capital budget of $13m.\n\nThe principle activities and facility developments involved in the expansion are:\n\n## A. DREDGING\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance channel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of dredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) and a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management requirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial dredging tool using the experience gained from the earlier Woodside project.\n\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting while fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart datum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n## B. QUAY WALL ( BERTH 1)\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main berth to accommodate a wider range of vessels than originally contemplated. The berth is now located in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are now four vessels operating in the region with 12,000 to 18,000 hp. When design commenced there were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide (MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "·\n\n·\n\n·\n\n## OPERATIONS REVIEW\n\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle most of the 60 vessels currently working in the region, a considerable number, but one which will rise over coming years. First class engineering facilities have been planned and highly experienced management recruited. Alternative slipways offering comparable capacity are only to be found in Darwin or Fremantle, a sea journey of approximately 1000 miles from this operational region. Australia has emerged as a centre of excellence with respect to vessel repair work, the Dampier facility will both benefit from and protect that valuable reputation.\n\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The major oilfield services company Halliburton, have been attracted to the base as a tenant and a $1.1m purpose built building is being constructed for their use. Negotiations are also proceeding with other groups who recognise the unique advantages of operating from this strategically positioned Base. Rental income and associated revenues such as plant and labour hire will contribute significantly to the overall economics of the facility.\n\nProtected moorings for cyclone shelter will be established inside the breakwater for long term lease to local tug operators. The demand arises from serious vessel and crew safety considerations. The Dampier Port Authority are reluctant to see the continued use of cyclone moorings in the Harbour, not only for safety reasons, but for environmental concerns as well. Oil spills are not acceptable under any circumstances and will be avoided whatever the cost. Tug owners share similar concerns, but in addition they need to remain in a position of readiness for crews and equipment to resume their important functions immediately following a cyclonic event. The number of specific purpose spread moorings, detailed on the adjacent plan will total 10 in the first phase of construction, a limit which will be assisted by an ability to remove vessels up to 100 tonnes from the water by wharf crane for tie down on cradles.\n\n\n\nConstruction of the Dampier Base commenced on the 9th October this year, with an expectation that all major elements of the project will be largely completed within 12 months.\n\nThe 'Clough Challenge' Barge Shallow Water Construction Support Barge in the East Spar Field\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\n\n\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n## F. ONSHORE LAND RECLAMATION.\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage.\n\n13\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## OPERATIONS REVIEW\n\n## SEAGOING OPERATIONS\n\nMermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. DAMPIER BASE\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n\n\n·\n\n\n\n·\n\nAn 'all tides' approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Management's Discussion and Analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\n## MHCs - Capital Spend\n\nA summary of the capital spend on the MHC segment is included below:\n\nFor the years ended December 31,\n\n| | 2013 | 2012 | % change |\n|--------------------------------------|--------|--------|------------|\n| Water & sewer upgrades | $2,212 | $1,812 | 22.1% |\n| roads and paving | 255 | 421 | (39.4)% |\n| equipment | 21 | 36 | (41.7)% |\n| other | 465 | 527 | (11.8)% |\n| Site expansion and land improvements | 552 | 549 | 0.5% |\n| Total capital spend - MHCs | $3,505 | $3,345 | 4.8% |\n| average number of units outstanding | 7,207 | 8,251 | (12.7)% |\n| capital spend per unit | $486 | $405 | 20.0% |\n\nManagement expects to spend between $300 and $400 in capital per MHC site on an annual basis. As with the apartment portfolio, a portion of the MHC capital is considered maintenance capital and a portion is value enhancing. Management estimates that $100 per unit is maintenance capital, including costs to support the existing infrastructure, and the remaining amount increases the value of the properties, with improved roadways, ability to accommodate future expansion, and community enhancements, such as the addition of playgrounds. The cost of most capital projects will be recovered through above guideline increases in the provinces with rent control, leading to increased NOI for the investment.\n\nFor the year ended December 31, 2013, Killam spent $2.2 million on water and sewer upgrades, an increase of 22.1% over 2012 due to the installation of several new water systems and upgrades to existing water and sewer infrastructure. This capital work fluctuates from year-to-year with only $1.8 million invested in 2012 but $3.1 million in 2011. the high water upgrade costs in 2013 resulted in the per unit mHc spend being above Killam's expectation of $300 - $400 per year.\n\nAs with the apartment portfolio, the timing of capital spending changes based on requirements at each community. Killam expects to invest $1 million to $2 million during 2014 on capital improvements across the MHC portfolio.\n\n## Liquidity and Capital Resources\n\nThe Company's sources of capital are cash generated from operating activities, credit facilities, mortgage financing and refinancing, and equity and debt issuances. The Company's primary use of capital includes property acquisitions and developments, major property improvements, recurring property maintenance, debt principal and interest payments, and payment of dividends. The Company anticipates meeting all current and future obligations with current cash and cash equivalents, cash flow generated from operations and conventional mortgage refinancing and that the Company will be able to obtain financing on reasonable terms.\n\nKillam's ability to grow through acquisitions and development will be dependent on the ability to access mortgage debt, construction financing and to raise equity in the capital markets. Killam had cash on hand of $27.7 million at December 31, 2013, primarily as a result of the net proceeds of $42.6 million related to the sale of the ten MHC properties in the fourth quarter of 2013. Killam utilized part of the sale proceeds to retire a $10 million vendor take-back ('VTB') loan and acquire additional properties, and expects to redeploy the remaining funds during the first quarter of 2014. Based on 60% debt on acquisitions, the Company expects to complete an additional $60 million in accretive apartment acquisitions. The Company also has $139.3 million in debt maturing during 2014 and expects to generate approximately $50 million in surplus cash to be used for its 2014 capital program and to fund additional acquisitions throughout the year.", - "page_start": 51, - "page_end": 51, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## management's Discussion and analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\nKillam spent $1,482 per unit for the year ended December 31, 2013, compared to $1,683 per unit for the year ended December 31, 2012. Approximately 40% of the capital spend during the year was invested in suite renovations. The increase year-over-year was a result of unit upgrades to improve quality and increase occupancy, increase yields on properties identified for repositioning, and support the Company's commitment to increasing unit quality to maximize rental increases.\n\nAs an example, in 2013 the Company has been actively working to reposition Brentwood Apartments, a 45-year old, 240-unit, property located in Halifax, that was acquired in 2012. The Company identified that significant value could be created at this property by improving the quality of the units and generating increased NOI through higher rents. Unit upgrades have averaged $15,000 per unit and have consisted of new appliances, flooring and kitchen and bathroom upgrades. The Company has achieved a corresponding lift in rents of approximately 15% on the 53 units it has completed to date. Based on a 5-year project timeline, with 20% of the units renovated each year, the Company expects to see the return on the total investment improve 145 bps from 6.25% to 7.70%.\n\nKillam has also invested in suite renovations to reposition an Ottawa portfolio acquired in 2012. Kitchen, bathroom, flooring and appliance upgrades have improved the quality of the Ottawa units, leading to a 1,100 bps increase in occupancy in the past 12 months. Excluding the repositioning of the Brentwood and the Ottawa portfolio in 2013, suite renovation costs would have been $6.0 million, or a 21% increase from 2012.\n\nThe Company has also identified additional properties in the Atlantic region as well as Ontario for repositioning and will continue to invest in upgrades where these higher yields can be achieved. One such property identified for 2014 is Shaunslieve, the 154-unit property adjacent to S2 in Halifax. Killam expects to recover the renovation costs through increased rental rates. Capital spend on appliances increased in 2013 as well, which was directly correlated to the increased suite renovation work.\n\nBoiler and heating equipment costs have decreased significantly in 2013, as the Company converted twenty properties to natural gas in 2012, compared to one in 2013.\n\nThe majority of the remaining capital expenditures during 2013 related to exterior building repairs, including roofing and balcony upgrades, brick replacement and exterior facade upgrades. The timing of capital spending is influenced by tenant turnover, market conditions, and individual property requirements, causing variability. In addition, the length of time that Killam has owned a property and the age of the property also influences the capital requirements.\n\n## Average Capital Spend Per Unit by Building Age\n\n\n\nAs the above chart highlights, the capital spend per unit is less for newer properties, averaging $364 per unit in 2013, compared to $2,248 per unit for buildings over 40 years old. This analysis excludes capital spending on development and energy projects. Killam's continual focus on developing and acquiring new properties aids in maintaining lower capital requirements on a per unit basis. 20% of Killam's apartments as of December 31, 2013, have been built in the past ten years.\n\nKillam expects to invest approximately $22 million to $24 million during 2014 on apartment portfolio capital investments.", - "page_start": 50, - "page_end": 50, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## REPUBLIC SERVICES, INC. AND SUBSIDIARIES\n\n## NOTES TO CONSOLIDATED FINANCIAL STATEMENTS\n\n(All tables in millions, except per share data) Ì (Continued)\n\nand accounting personnel to annually adjust the Company's rates used to expense capitalized costs. Changes in these estimates primarily relate to changes in available airspace, inÖation and applicable regulations. Changes in available airspace include changes due to the addition of airspace lying in probable expansion areas.\n\n## Total Available Disposal Capacity\n\nAs of December 31, 2004, the Company owned or operated 58 solid waste landÑlls with total available disposal capacity of approximately 1.7 billion in-place cubic yards. Total available disposal capacity represents the sum of estimated permitted airspace plus an estimate of expansion airspace that the Company believes has a probable likelihood of being permitted.\n\n## Probable Expansion Airspace\n\nBefore airspace included in an expansion area is determined as probable expansion airspace and, therefore, included in the Company's calculation of total available disposal capacity, the following criteria must be met:\n\n - 1. The land associated with the expansion airspace is either owned by the Company or is controlled by the Company pursuant to an option agreement;\n - 2. The Company is committed to supporting the expansion project Ñnancially and with appropriate resources;\n - 3. There are no identiÑed fatal Öaws or impediments associated with the project, including political impediments;\n - 4. Progress is being made on the project;\n - 5. The expansion is attainable within a reasonable time frame; and\n - 6. The Company believes it is likely the expansion permit will be received.\n\nUpon meeting the Company's expansion criteria, the rates used at each applicable landÑll to expense costs to acquire, construct, close and maintain a site during the post-closure period are adjusted to include probable expansion airspace and all additional costs to be capitalized or accrued associated with the expansion airspace.\n\nThe Company has identiÑed three sequential steps that landÑlls generally follow to obtain expansion permits. These steps are as follows:\n\n - 1. Obtaining approval from local authorities;\n - 2. Submitting a permit application to state authorities; and\n - 3. Obtaining permit approval from state authorities.\n\nOnce a landÑll meets the Company's expansion criteria, management continuously monitors each site's progress in obtaining the expansion permit. If at any point it is determined that an expansion area no longer meets the required criteria, the probable expansion airspace is removed from the landÑll's total available capacity and the rates used at the landÑll to expense costs to acquire, construct, cap, close and maintain a site during the post-closure period are adjusted accordingly.", - "page_start": 74, - "page_end": 74, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "## Table of Contents\n\nOur provision for income taxes increased by $434 million in the three months ended September 30, 2024 and increased by $652 million in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. Our effective tax rate increased from 8% to 22% in the three months ended September 30, 2024 and increased from 10% to 23% in the nine months ended September 30, 2024 as compared to the three and nine months ended September 30, 2023, respectively. These increases are primarily due to the impact of releasing the valuation allowance on our U.S. deferred tax assets in the fourth quarter of 2023 and changes in mix of jurisdictional earnings.\n\nSee Note 9, Income Taxes , to the consolidated financial statements included elsewhere in this Quarterly Report on Form 10-Q for further details.\n\n## Liquidity and Capital Resources\n\nWe expect to continue to generate net positive operating cash flow as we have done in the last five fiscal years. The cash we generate from our core operations enables us to fund ongoing operations and production, our research and development projects for new products and technologies including our proprietary battery cells, additional manufacturing ramps at existing manufacturing facilities, the construction of future factories, and the continued expansion of our retail and service locations, body shops, Mobile Service fleet, Supercharger, including to support NACS, energy product installation capabilities and autonomy and other artificial intelligence enabled products.\n\nIn addition, because a large portion of our future expenditures will be to fund our growth, we expect that if needed we will be able to adjust our capital and operating expenditures by operating segment. For example, if our near-term manufacturing operations decrease in scale or ramp more slowly than expected, including due to global economic or business conditions, we may choose to correspondingly slow the pace of our capital expenditures. Finally, we continually evaluate our cash needs and may decide it is best to raise additional capital or seek alternative financing sources to fund the rapid growth of our business, including through drawdowns on existing or new debt facilities or financing funds. Conversely, we may also from time to time determine that it is in our best interests to voluntarily repay certain indebtedness early.\n\nAccordingly, we believe that our current sources of funds will provide us with adequate liquidity during the 12-month period following September 30, 2024, as well as in the long-term.\n\nSee the sections below for more details regarding the material requirements for cash in our business and our sources of liquidity to meet such needs.\n\n## Material Cash Requirements\n\nFrom time to time in the ordinary course of business, we enter into agreements with vendors for the purchase of components and raw materials to be used in the manufacture of our products. However, due to contractual terms, variability in the precise growth curves of our development and production ramps, and opportunities to renegotiate pricing, we generally do not have binding and enforceable purchase orders under such contracts beyond the short-term, and the timing and magnitude of purchase orders beyond such period is difficult to accurately project.", - "page_start": 42, - "page_end": 42, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "the consumption of cubic yards of available airspace. These costs include all costs to acquire and construct a site including excavation, natural and synthetic liners, construction of leachate collection systems, installation of methane gas collection and monitoring systems, installation of groundwater monitoring wells, and other costs associated with the acquisition and development of the site. Obligations associated with Ñnal capping, closure and post-closure are capitalized, and amortized on a units-of-consumption basis as airspace is consumed.\n\nCost and airspace estimates are developed annually by engineers. These estimates are used by our operating and accounting personnel to annually adjust our rates used to expense capitalized costs. Changes in these estimates primarily relate to changes in available airspace, inÖation and applicable regulations. Changes in available airspace include changes in design and changes due to the addition of airspace lying in expansion areas that we believe have a probable likelihood of being permitted.\n\nOur operations are managed and reviewed through Ñve regions which we designate as our reportable segments. From 2003 to 2004, operating income increased in our Eastern, Southern and Western regions due to an overall increase in revenue resulting from the successful execution of our growth strategy. In the Central region, increased revenue was oÅset by weak economic conditions and an increase in costs related to the longhaul transport of waste by third-party vendors. In the Southwestern region, revenue growth was impeded by the closure of a landÑll and the completion of a special waste contract during 2003. The decrease in costs for Corporate Entities from 2003 to 2004 is primarily due to a decrease in self-insurance expense.\n\n## 2004 Financial Objectives\n\nIn January 2004, we publicly announced our objectives for the year. These objectives included the following:\n\n - , Generating free cash Öow of approximately $340 million.\n - , Using our free cash Öow to repurchase shares of our common stock under our $200.0 million share repurchase program approved by our board of directors in October 2003 and continuing to pay quarterly cash dividends.\n - , Generating diluted earnings per share of $1.50 to $1.55.\n - , Growing revenue from core operations by 3%, with approximately 2% attributable to price increases and 1% attributable to volume growth.\n - , Purchasing approximately $275 million of property and equipment.\n\n## 2004 Business Performance\n\nDuring 2004, we achieved our earnings per share objective and exceeded our internal growth, free cash Öow and share repurchase objectives.\n\nOur internal growth from core operations for 2004 was 5.9%, with 2.3% from price increases and 3.6% from volume growth. During 2004, our revenue growth from core pricing beneÑted from a broad-based pricing initiative which we started during the fourth quarter of 2003. We experienced core volume growth in all lines of our business, including our residential collection business resulting from the addition of several new municipal contracts, and our landÑll and transfer station businesses resulting from newly opened sites and new contracts. Our core volume growth was also positively impacted by the hurricanes. In addition, our geographic mix of business, which is concentrated in high growth markets, positively impacted our operating results. As a result, during 2004 we were able to exceed the internal growth objectives we established at the beginning of the year.", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "- · The Bellagio expansion completed in December 2004;\n - · The theatre for KÀ at MGM Grand Las Vegas, completed in November 2004.\n\nSpending on these two projects totaled approximately $325 million. Other capital expenditures were made for maintenance capital activities, including room remodel projects at New York-New York and MGM Grand Las Vegas and new restaurant and entertainment amenities at several resorts. Capital expenditures in 2003 were significantly higher than 2002, due largely to major projects at our existing resorts, including projects described above which began in 2003, the Zumanity theatre at New York-New York, the Bellagio room remodel and slot technology improvements. Capital expenditures in 2002 included general property improvements at our resorts, such as a room remodel project at The Mirage, new restaurant and nightclub development at several of our resorts, and various other remodeling projects.", - "page_start": 36, - "page_end": 36, - "source_file": "NYSE_MGM_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_MRM_2000.pdf", - "query": "When did Mermaid Marine Service Base in the Port of Broome start?", - "target_page": 22, - "target_passage": "1 February 2000", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## OPERATIONS REVIEW\n\n## BROOME SUPPLY BASE\n\nMermaid Marine services base at the Port of Broome (Broome Base) commenced operations on 1 February 2000 when the first ship containing drill pipe for Inpex Browse Ltd arrived from Japan.\n\nAs a result of Mermaid's efforts in establishing the Broome Base, Inpex Browse Ltd., BHP Petroleum and Woodside have used Broome as their base for drilling a total of four (4) offshore wells.\n\nIt is presently expected that at least six (6) exploration wells will be drilled in the area during 2001. The Base now employs as many as ten (10) staff up from the three (3) who commenced in February 2000. Excellent management and staff competence are the prime factors, which have delivered the smooth start up and continued success at Broome.\n\nThe Mermaid Broome Supply Base certified Impex, Woodside and BHP Petroleum exploration program during 2000.\n\n\n\nThe base is currently secured on a come and go lease arrangement, located on Port premises adjacent to the wharf gates. Although convenient, with an excellent cyclone proof building, the site has limitations in terms of size and slope. An area more suitable for our long term needs has been optioned from Port authorities and discussions will proceed with our clients this year to determine their precise needs.\n\nThe success of Browse Basin wells drilled this year, strong developments in the energy sector and the intention of operators to base their 2001 operations in Broome, have encouraged the Board to consider further investment to ensure that capability keeps pace with demand and that we leave no reason for competitors to offer more or better.\n\n## DARWIN BASE\n\nThe offshore waters of the Northern Territory, the Zone of Co-Operation (ZOCA) between Australia and Timor, and the Commonwealth Territory of Ashmore and Cartier host approximately 35% of the exploration and development budgets of Australian offshore oil and gas industry.\n\nTwo large projects are under study or implementation in these waters; the Phillips Petroleum Bayu-Undang Project and the Woodside Sunrise Troubador Project.\n\nTwo large petrochemical projects are under study for the Darwin area based upon pipelines from the Timor Sea gas resources of the projects above.\n\nDarwin will within 3 years be the northern terminus of the Australian national rail system with the completion of the Alice Springs Darwin rail link, further expanding its role in Australia's economy.", - "page_start": 21, - "page_end": 21, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## OPERATIONS REVIEW\n\n## SEAGOING OPERATIONS\n\nMermaid operates a fleet of fifteen (15) tugs, workboats and barges, undertaking all forms of offshore activity including exploration support, supply, survey and berthing assist. Lower vessel utilisation during the period allowed an acceleration of scheduled maintenance. Two tugs, Mermaid Commando and Mermaid Chieftan received extensive refits. In both cases the work increased productivity through enhanced bollard pull and consequent earnings.\n\nSafety was given the highest priority through new monitoring systems and awareness programs. Formalised on the job instruction and training courses have also lifted levels of experience and proficiency across the workforce.\n\nThe offshore waters and islands adjacent to Dampier, host in excess of 50% of all exploration and development budgets of Australia's offshore oil and gas industry. The Burrup Peninsular where the Base is located is the intended site of major new oil, gas, petrochemical and industrial mineral processing plants. The Port of Dampier is Australia's largest Port as measured by tonnage, but as identified in the 1997 WA Department of Commerce and Trade report, there remains an urgent need for additional marine support infrastructure. Mermaid is now well advanced in our plan to satisfy those needs and onshore work was announced to start on the 9th October 2000. DAMPIER BASE\n\nSince receiving approval in principle for development of the Dampier Base from the Western Australian Minister for the Environment in February 2000, engineering and general design work in connection with the base proceeded at an accelerated pace.\n\nThis work, assisted by technical studies and a re-assessment of an increased demand for services arising out of greater expectations for growth in the sector, has led to improvements and expansion of capacity over earlier plans.\n\nThe Dampier Base will now comprise:-\n\n\n\n·\n\n\n\n·\n\nAn 'all tides' approach channel to a minimum depth of 6 metres\n\nA wharf offering 7.5 metres depth at low tide, featuring a heavy loadout section to accommodate modules of up to 1500 tonnes to onshore projects on the Burrup Peninsular and adjacent mining centres. A subsea pipe reel loading facility will encourage the use of spool ships in the region for deepwater pipelay. On a project by project basis, pipeline protection rock dumping, specialist vessel rig up activities and the like will be facilitated, as will dry and bulk cargo handling, refuelling, watering and all categories of waste reception. The joint Commonwealth and WA State Government initiative to establish an integrated industrial estate at Jervoise Bay (south of Perth) serviced by high wide load corridors from Perth's industrial areas will see the heavy capacity wharf playing a strategic role in major capital works in the Pilbara, leading to significant cost savings.", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\n\n\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n## F. ONSHORE LAND RECLAMATION.\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage.\n\n13\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## CHAIRMAN'S REPORT\n\nLabour hire is heavily dependent upon the quality of the personnel database and our intention has been announced to offer training at Dampier, Broome and Darwin for those who live in the North West and wish to work in the offshore industry there. Planning for this new initiative is well advanced and we expect to be running courses for prospective offshore employees in coming months. Although the training program is not directed to any particular community group, it has been encouraging to have active support from Aboriginal leaders in the Kimberley region.\n\nWorld prospects for energy, the need for Australia to add value to its resources, Government initiatives for the support of these activities and environmental imperatives, heavily favour gas, giving every indication that Mermaid Marine's development push has been extremely timely.\n\nIt is also important to draw attention to increased efforts in terms of health, safety and environmental protection. Our workplace is largely at sea, where operations involve natural dangers and the safety of our people is paramount. We also work in a setting where the tasks in which we are involved cast us in the role of environmental caretakers of the sea and coastline.\n\nOver the past twelve months, we have worked even more closely with producers to take this side of our business to the highest possible standard. We are proud of the achievement and at the time of this report, despite the inherent dangers involved in the work, our employees have accrued a record 348 days free of Lost Time Injuries, a tremendous effort.\n\nAverage turnover for the last two years was $20 million, our target in the near term is to achieve earnings of at least $100million, with appropriate levels of accompanying profit. That will be addressed through our policy of strategic positioning and development in the North West of Australia, and also by acquisition where merger or purchase will add to our earnings and strengths. Mermaid Marine Australia Limited is in excellent shape, with confidence that we are well able to pursue and secure our ambitious program.\n\nAlan Birchmore\n\nChairman", - "page_start": 9, - "page_end": 9, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "2000\n\nT\n\nREPOR\n\nAL\n\nANNU\n\n\n\nMERMAID MARINE AUSTRALIA LIMITED\n\nACN 083 185 693", - "page_start": 0, - "page_end": 0, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nTrading for the period commencing 1 July 1999 to 30 June 2000 for Mermaid Marine Australia Ltd ('Company') and its controlled entities, experienced a 43% turnover reduction from last year. The result was almost entirely due to a heavy fall in oil prices, which reached their low of US$10 in February 1999, leading to the lowest level of offshore activity for many years. In September 1999 Mermaid exercised its option to acquire the utility vessel 'Mermaid Achiever' for $3,250,000. Previously the Achiever operated under a bare boat charter.\n\nIn February 2000 Mermaid received approval in principle from the Western Australian Minister for the Environment for the development of a supply and engineering base at Dampier (Dampier Base). Since that time a detailed environmental management system has been produced for final approval and as a guide to daily environmental management and compliance. Refinements to the design have proceeded, together with the preparation of bid packages and negotiations with Banks for project finance.\n\nSubsequent to years end, the subscription of a further $5 million from Mr Mark Bradley and Clough Engineering will see an extremely robust balance sheet, with cash on hand approaching $10 million. As construction commences at Dampier, a level of project finance will be arranged providing a comfortable mix of debt and equity and allowing the retention of a significant cash balance.\n\nThe year saw considerable progress with Base activities at Dampier, Broome and Darwin. They are dealt with in detail under following headings.\n\nFINANCIAL\n\nMermaid recorded an after-tax loss for the Period of $207,957. Compared with an after-tax profit for the previous period of $2,454,919. Revenue for the Period was $15,124,774, a decrease of 43% over the previous period. Fixed cost reductions enabled the Company to ride out the market reversal with a minimal loss and positive operating cash before capex of $1.6m. This result, achieved against a major drop in turnover, was possible through a vigorous attack on overheads, which included more beneficial ownership costs, insurance savings, management salary savings, including voluntary sacrifice from certain senior executives in recognition of the tighter conditions. In all the changes contributed approximately $1.5million to the bottom line.\n\nBare boat charters, although useful for the busy times encountered in 1998 exposed the Company to a high level of fixed costs. The vessels were valuable earners and the transfer of the Mermaid Achiever, Mermaid Eagle and Mermaid Reunion to Company ownership has proved to be the right decision for all market conditions. Although there have been no contracts yet let for work of any significance by producers on the North West Shelf, underlying day to day activity has returned. Expressions of interest for major project work have been issued and as an indication of better trading conditions, an unaudited profit of $496,721 has been recorded for the two months to 31st August 2000. The trend has continued in September.\n\n7\n\n\n\n## OVERVIEW", - "page_start": 10, - "page_end": 10, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## G. SLIPWAY.\n\nAustralia, and particularly the north west is impoverished in terms of infrastructure to service our marine industries. Some of this has been due to a historical link with our recent industrial past. This is now behind us, and Australia has now become a centre of excellence with respect to both new building and ship repair, particularly for high tech and specialty vessels.\n\nThe Mermaid slipway will be the third such facility on the western half of the continent , with others located at Fremantle and Darwin.\n\nThe slipway will be a repair only facility, no new building is contemplated. Its capacity is structured to meet the regional steel mono-hulled fleet requirements of some 60 vessels between 200 and 4000 tonne displacement. Fishing industry, marine tourist industry, large private pleasure craft , naval, scientific and law enforcement vessels are a secondary target.\n\nThe slipway is designed to initially accept vessels up to 2,700 tonnes, a restriction which is set by our current inventory of cradles used to support vessel on the slip. The cradles will be progressively upgraded to ultimately handle 4000 tonne. A later expansion will allow 500 tonne vessels to be side slipped, thereby increasing capacity.\n\nThe slipway location and orientation on the Base has been chosen to maximize the cost and load bearing benefits of having a very high strength granite bedrock as the best possible foundation.\n\nThe Mermaid slipway will rank second in terms of capacity on the western half of the continent. Tenix, Fremantle 8,000 tonne, Mermaid Dampier 2,700 tonne rising to 4,000 tonne, Darwin Ship Repair 2,500 tonne. The nearest other facilities are Singapore, Adelaide, Port Moresby or Cairns.\n\n\n\nMermaid has purchased a very large cyclone rated industrial building frame which will be sited beside the slipway and tenanted by Mermaid engineering and companies which will provide ancillary services related to ship repair.\n\nThe Northwest Shelf is a world scale offshore oil and gas exploration province.\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nDarwin is serviced by three marine infrastructure elements.\n\n - a. A public port adjacent to the main business centre, which is destined to be redeveloped as a cruise ship and tourism precinct .\n - b. A group of freehold water front properties on Frances Bay near to the main business center.\n - c. A recently commissioned public port and industrial estate at East Arm some 25 km from the main business district.\n\nDarwin already has an abundance of shore based logistics service providers who operate from onshore industrial estates through publicly owned facilities.\n\nThe Northern Territory Government has sponsored a study to determine the marine infrastructure deficits of the Darwin area. Mermaid has contributed to the study and is monitoring the subsequent planning processes.\n\nRegardless of industry trends, Mermaid has a need for a Darwin Base to service and care for Mermaid vessels working in the area. Too often vessels have been demobilised to Dampier at the conclusion of a contract then being required to return to Darwin within days or weeks for another assignment.\n\nMermaid has decided that needs and opportunities in the north of Australia can be best served by entering a co-operative arrangement with an established Darwin Company. Agreement has therefore been reached with Perkins Shipping Group, who are one of the freehold land owners on Frances Bay.\n\nPerkins Shipping, established in the 1950s is the major coastal shipping service provider in Australia's north, linking Darwin to mining and aboriginal committees from the Kimberly to Gulf of Carpenteria. Additionally Perkins operate services to East Timor, mining operations in Indonesia, as well as Singapore and East Malaysia. The Perkins and Mermaid businesses are different, but complementary, offering benefits to both. The arrangement with Perkins will give Mermaid well placed office facilities, open storage and waterfront access.\n\nOur intention is that Darwin become the third and final mainland entreport to service the Northwestern offshore oil and gas industry together with our other strategically placed facilities at Dampier and Broome.\n\n", - "page_start": 22, - "page_end": 22, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "\n\n## OPERATIONS REVIEW\n\n## BASE EXPANSION WORKS AND ENVIRONMENTAL MANAGEMENT\n\nWork on Dampier\n\nBase expansion commenced on 9 October and will be largely complete by June 2001, involving a capital budget of $13m.\n\nThe principle activities and facility developments involved in the expansion are:\n\n## A. DREDGING\n\nApproximately 700,000 m3 of material is to be dredged in King Bay to form an entrance channel, vessel berths, cyclone moorings and to provide access to the slipway.\n\nThe experience of Woodside constructing their nearby base in 1981 indicates that two types of dredges will be required, a Cutter Suction to remove the soft unconsolidated material (approx.70%) and a Dipper Dredge (barge mounted back-hoe) to remove harder consolidated material.\n\nThe Cutter Suction dredge size will be deliberately modest due to onshore spoil management requirement and environmental considerations.\n\nThe Dipper Dredge will be the largest of its type in the world, and will be an ideal remedial dredging tool using the experience gained from the earlier Woodside project.\n\nThe layout of the Base has been very much driven by the desire to avoid or minimize blasting while fulfilling functional objectives.\n\nThe entrance channel into the Mermaid Base will be 30 m wide and dredged to 6 m below chart datum. The dredge spoil will be pumped ashore and used as fill around the Base.\n\nDredges are expected to be onsite for approximately 7 months commencing mid November.\n\n## B. QUAY WALL ( BERTH 1)\n\nMarket research and customer needs have caused Mermaid to relocate and redesign the main berth to accommodate a wider range of vessels than originally contemplated. The berth is now located in deeper water with better vessel access.\n\nThe regional offshore fleet characteristics have been changing in terms of vessel size. There are now four vessels operating in the region with 12,000 to 18,000 hp. When design commenced there were none of this size.\n\nThe depth alongside Berth 1 will be 7.5m. King Bay has a statistical average extreme low tide (MLWS) of 0.9 m, the occurrence of which can be expressed in hours per month. The largest", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\n## MERMAID LABOUR AND MANAGEMENT LIMITED\n\nSAFETY\n\n\n\nDuring 2000 Mermaid Marine formed a new business unit Mermaid Labour and Management Limited. The focus of this unit will be labour supply and industrial relations management to the marine, offshore construction industry and onshore resources projects in the NW of Australia. The Directors and Management of the new entity are very experienced, well known and regarded by the industry in general. The company has high expectations for Mermaid Labour and Management Limited.\n\nMermaid remains dedicated to ensuring a safe environment in all areas where we operate or have responsibility.\n\nIn April 2000, following the regular six monthly Quality Assurance audit, the Company's accreditation under AS/NZS/ISO 9002 was reconfirmed. Mermaid's quality assurance and compliance team continues with a continuous day to day effort to improve our health, safety and environmental performance. Stringent charterer requirements, which are a pre requisite of increased vessel usage, must be met to the letter and are the subject of regular and demanding audits. Although time consuming and expensive, we are grateful to certain of the large producers, who while demanding the highest levels of compliance, have also been prepared to give their time, sharing their safety expertise with us and in that way assisting in the very major advances our company has made in this all important area.\n\nAt the time of writing this report, Mermaid had accumulated 348 days without a Lost Time Injury. A fine achievement and a continuing record.", - "page_start": 23, - "page_end": 23, - "source_file": "ASX_MRM_2000.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How do I create a new document in Word?", - "target_page": 2, - "target_passage": "Just select File > New", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Word\n\n## Create something\n\nBegin with a Blank document to get right to work. Or start with a template to save yourself time and steps. Just select File > New , and then select or search for the template you want.\n\n\n\n\n\n## Access files anywhere\n\nNeed to work on the go and across different devices? Click File > Account to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n\n\n## Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the Table Design and Layout tabs, which offer additional options.\n\n\n\n## Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting File > Open takes you to your recently used documents and any files that you may have pinned to your list.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "## Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share , and send a link to this document. (keyboard shortcut - Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n## Add visuals with pictures from the web\n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures , and then search for something, like puppy clip art .\n- 2. Select the picture you want, and select Insert .", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Welcome to Word\n\n## Instructions you can edit, share, and print\n\n\n\nUnlike old-school user guides, this doc is yours to tailor exactly for your needs. Reading it will teach you some basics about Word, but this document isn't just for reading. It's for editing too, so you can learn by doing.\n\nFor practice using Word features, watch for Try it text in red throughout this document.\n\n\n\nTime saver: If you've only got a minute and you want to see how this works, watch this Video: Welcome to Word.\n\n## Write eloquently, with a little help\n\nWord automatically checks spelling and grammar, and marks misspelled words with a red squiggly underline. Grammatical glitches get a blue double underline.\n\nTry it: Put your cursor at the end of this paragraph, and hit Enter to start a new paragraph. Write a sentence with some spelling or grammatical mistakes, and press Enter to finish the paragraph.\n\nRight-click the text that's marked with underlines, or Press F7. Choose a suggestion to correct the mistakes.", - "page_start": 0, - "page_end": 0, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Word\n\n## Find whatever you need\n\nType a keyword or phrase into the Search box to quickly find the Word features and ribbon commands you're looking for, to discover Help content, or to get more information online .\n\n\n\n\n\n## Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.\n\n\n\n## Next steps with Word\n\n## See what's new in Office\n\nExplore the new and improved features in Word and the other Office apps. Visit https://go.microsoft.com/fwlink/?linkid=871117 for more information.\n\n## Get free training, tutorials, and videos for Office\n\nReady to dig deeper into the capabilities that Word has to offer? Visit https://go.microsoft.com/fwlink/?linkid=871123 to explore our free training options.\n\n## Send us your feedback\n\nLove Word? Got an idea for improvement to share with us? On the File menu, select Feedback and then follow the prompts to send your suggestions directly to the Word product team. Thank you!\n\n## Share your work with others\n\nTo invite others to view or edit your documents, select the Share button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n\n\n## Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\nTry it: Select File > Save As , and then select OneDrive and give this document a name.\n\n\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Word\n\n## Get writing suggestions\n\nWith Editor , bring out your best writing. Editor helps you bring out your best writing by giving you intelligent writing suggestions. It also calculates an Editor Score based on the number and types of suggestions you have yet to address. Select an underlined word or phrase to accept or ignore a suggestion.\n\n\n\n## Review and track changes\n\nWhether you just want to check spelling, keep your word count in check, or fully collaborate with other people, the Review tab has essential commands to track, discuss, and manage all of the changes made to your documents.\n\n\n\n\n\n## View who else is typing\n\nCo-authoring Word documents that are shared on OneDrive or on a SharePoint site happens in real-time, which means you can easily view where other authors are making changes in the same document that you're currently working in.\n\n\n\n## Format with styles\n\nStyles lets you create, apply, and review the formatting styles in your current document. To open it, select the Home tab, and then select the small arrow in the lower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "```\nC++ HRESULT HrEndStructNode();\n```\n\n## HrCreateDoc\n\nPublisher calls the HrCreateDoc method to specify the creation of a new, empty fixedformat document.\n\n```\nC++ HRESULT HrCreateDoc( const WCHAR* wzDocExFile );\n```\n\nPublisher calls the HrCreateDoc method at the beginning of the fixed-format export process to specify the creation of an empty fixed-format document. The wzDocExFile parameter specifies a name for the output file to which to write the fixed-format document.\n\nFor an add-in implementation, Publisher calls HrCreateDoc with the file name that the add-in provided in the call to the ExportToFixedFormat method in the Microsoft Office object model. However, because add-ins typically provide configuration UI to allow the user to specify an output file name, the add-in could disregard this file name during the export process.\n\nFor Microsoft Office applications that require the add-in to paginate the document, HrCreateDoc is called twice, once at the start of the pagination-calling sequence, and again after the add-in has paginated the document. For more information, see the descriptions for the HrSetPageHeightForPagination method and the HrGetPageBreaks method.\n\n## HrSetDefaultLcid\n\nPublisher calls the HrSetDefaultLcid method to specify the default locale ID (LCID) for the content to be exported.\n\n```\nC++ HRESULT HrSetDefaultLcid( DWORD lcid );\n```", - "page_start": 12, - "page_end": 12, - "source_file": "office-pdf.pdf" - }, - { - "text": "- ii. Click the Select tool.\n - iii. In the Select window, under Triggers, double-click the trigger. The graphical indexer highlights the text string in the current document.\n - Double-click the trigger again. The graphical indexer highlights the text string on the first page of the next document.\n - iv. Use the Select window to move forward to the first page of each document and return to the first document in the input file.", - "page_start": 194, - "page_end": 194, - "source_file": "sg246915.pdf" - }, - { - "text": "## CREATING A NEW CHART FROM SCRATCH\n\nThe easiest way to create a chart is by using the Recommended Chart feature. However, you can create a chart yourself from scratch using\n\n## Try This Yourself:\n\nn\n\n\n\n\n\nBefore starting this exercise you MUST open the file E1317 Charting\\_1.xlsx…\n\n Click in cell A3 , hold down , then click in cell G7 to select the range A3:G7\n\nNote that we have selected the data including headings but excluding the totalling…\n\n\n\n -  Click on the INSERT then click on Insert Column Chart in the Charts group to see a gallery of Column chart types\n\n\n\ntab,\n\n -  Under 2-D Column , click on Clustered Column\n\nThe chart will be embedded in the worksheet. The chart will be active (selected) and you'll see additional tabs on the ribbon for working with the chart…\n\n\n\n -  Point to the chart, then click to select it and drag the chart so that it is underneath the data, as shown\n\n\n\n Click in cell A1 to deselect the chart\n\n## For Your Reference…\n\n## To create a chart from scratch :", - "page_start": 46, - "page_end": 46, - "source_file": "Excel Training Manual 1.pdf" - }, - { - "text": "## Give your doc an instant makeover\n\n\n\nStyle sets and themes let you completely change the look of your document in an instant. They work best when your document is formatted with styles (so it's good that we fixed that Heading style, above).\n\nTry it: Explore style sets and themes:\n\n - 1. On the Design tab, select Themes , and choose a theme from the drop-down. Notice that the gallery of style sets updates to reflect the theme you picked.\n - 2. Select any theme you like from the drop-down and click to apply.", - "page_start": 5, - "page_end": 5, - "source_file": "welcome_to_word_template.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "Where can I find other Microsoft quick start guides?", - "target_page": 4, - "target_passage": "To download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Word\n\n## Find whatever you need\n\nType a keyword or phrase into the Search box to quickly find the Word features and ribbon commands you're looking for, to discover Help content, or to get more information online .\n\n\n\n\n\n## Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.\n\n\n\n## Next steps with Word\n\n## See what's new in Office\n\nExplore the new and improved features in Word and the other Office apps. Visit https://go.microsoft.com/fwlink/?linkid=871117 for more information.\n\n## Get free training, tutorials, and videos for Office\n\nReady to dig deeper into the capabilities that Word has to offer? Visit https://go.microsoft.com/fwlink/?linkid=871123 to explore our free training options.\n\n## Send us your feedback\n\nLove Word? Got an idea for improvement to share with us? On the File menu, select Feedback and then follow the prompts to send your suggestions directly to the Word product team. Thank you!\n\n## Share your work with others\n\nTo invite others to view or edit your documents, select the Share button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "http://www.cygwin.com", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "For example, in the Dashboard pane, you can open help information that is related to the dashboard-provided information, as shown in Figure 5-19.\n\nFigure 5-19 Example of Dashboard help content\n\n\n\nSelecting the Help Contents option redirects you to the Storwize V7000 IBM Knowledge Center. However, it requires internet access from the workstation where the management GUI is started.\n\n## 5.3 System View window\n\nStarting with IBM Spectrum Virtualize release V7.4, the welcome window of the GUI changed from the well-known former Overview/system 3D pane to the new System pane. In V8.2, the system pane was changed again to the new System view pane, and the 3D view was removed, as shown in Figure 5-20.\n\nFigure 5-20 Opening the Overview pane\n\n\n\nNext, we describe the structure of the pane and how to navigate to various system components to manage them more efficiently and quickly.\n\n## 5.3.1 Content-based organization\n\nThe following sections describe several view options within the GUI in which you can filter (to minimize the amount of data that is shown on the window), sort, and reorganize the content of the window.", - "page_start": 164, - "page_end": 164, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Tivoli Storage Manager for Windows Quick Start, GC32-0784\n - /SM590000 UNIX System Services Command Reference , SC28-1892", - "page_start": 433, - "page_end": 433, - "source_file": "sg246915.pdf" - }, - { - "text": "- http://www.ibm.com/support/knowledgecenter/STPVGU/welcome", - "page_start": 811, - "page_end": 811, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. To begin with navigate to or create the SWRLTab. If it doesn't already exist use Window>Tabs>SWRLTab to create and select it. If you don't have the SWRLTab under the Window>Tabs menu then use File>Check for plugins and select the SWRLTab plugin. Remember ifyou do this you need to restart Protégé for the plugin to be available.\n - 2. The SWRLTab is divided into two main views and then some buttons on the bottom of the tab that relate to DROOLS. The question of when and how to use DROOLS confuses many new users but there is a simple answer: don't use it! 11 As you get more experience with SWRL you will start to understand how and when DROOLS is used but for beginners the answer is simple. Think of all those DROOLS buttons as things for power users only. You don't need to use them at all. That is why we installed the Pellet reasoner in section 4.2. The Pellet reasoner supports SWRL and when you run the reasoner it will also automatically run any SWRL rules you have. See the bibliography for a paper on DROOLS.\n - 3. Click on the New button at the bottom of the top view. The other buttons should be grayed out since they only apply if you have at least one rule written. This will give you a new pop-up window to write your rule. In the Name field at the top call the rule: HotDiscountRule. You can skip the comment but if you want to add a comment it is a good habit to get into and you can write something like: Provide a special discount for customers who prefer hot pizzas.\n - 4. Now go to the bottom part of the rule window and start writing the rule. To start you want to bind a parameter to each instance of the Customer class 12 . To do this all you need to do is to write: Customer(?c). Note that auto-complete should work in this window but sometimes it may not and you may need to type the complete name. Also, you will see various hints or error messages in the Status field as you type which you can mostly ignore for now. E.g., as you type out Customer you will see messages like: Invalid SWRL atom predicate 'Cus' until you complete the name of the Customer class. Those messages can help you understand why your rule won't parse as you develop more rules but for now you should be able to ignore them.\n - 5. Now you want to bind a parameter to the number of Pizzas that each customer has ordered so far. To do that you first add a ^ character. This stands for the logical and . I.e., the rule will fire for every set of bindings that satisfy all of the expressions in the antecedent. To test the number of Pizzas you use the data property numberOfPizzasPurchased . So at this point your rule should look like: Customer(?c) ^ numberOfPizzasPurchased(?c, ?np).", - "page_start": 73, - "page_end": 73, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- 1. Navigate to Settings → Support → Support Package .", - "page_start": 705, - "page_end": 705, - "source_file": "sg247938.pdf" - }, - { - "text": "- http://www.redbooks.ibm.com/Redbooks.nsf/domains/flash", - "page_start": 810, - "page_end": 810, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Content Manager OnDemand for z/OS Knowledge Center\n\nhttp://www.ibm.com/support/knowledgecenter/SSQHWE/welcome", - "page_start": 434, - "page_end": 434, - "source_file": "sg246915.pdf" - }, - { - "text": "## Word\n\n## Create something\n\nBegin with a Blank document to get right to work. Or start with a template to save yourself time and steps. Just select File > New , and then select or search for the template you want.\n\n\n\n\n\n## Access files anywhere\n\nNeed to work on the go and across different devices? Click File > Account to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n\n\n## Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the Table Design and Layout tabs, which offer additional options.\n\n\n\n## Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting File > Open takes you to your recently used documents and any files that you may have pinned to your list.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - } - ] - }, - { - "references": { - "source_file": "Word QS.pdf", - "query": "How to connect to my Microsoft account from Word?", - "target_page": 2, - "target_passage": " Click File > Account to sign in with your Microsoft account", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Word\n\n## Create something\n\nBegin with a Blank document to get right to work. Or start with a template to save yourself time and steps. Just select File > New , and then select or search for the template you want.\n\n\n\n\n\n## Access files anywhere\n\nNeed to work on the go and across different devices? Click File > Account to sign in with your Microsoft account and access your recently used files anywhere, on any device, through seamless integration between Office, OneDrive, OneDrive for Business, and SharePoint.\n\n\n\n## Discover related options\n\nWhen you select objects in your document, options related to your selection will appear. For example, selecting a table displays the Table Design and Layout tabs, which offer additional options.\n\n\n\n## Find recent files\n\nWhether you only work with files stored on your PC's local hard drive or you store files in multiple shared locations, selecting File > Open takes you to your recently used documents and any files that you may have pinned to your list.", - "page_start": 1, - "page_end": 1, - "source_file": "Word QS.pdf" - }, - { - "text": "## Share and collaborate\n\nWith this document saved in OneDrive, you can share it with others. They don't even need Word to open it.\n\nTry it: Select Share , and send a link to this document. (keyboard shortcut - Alt+F+Z or Alt+Z+S)\n\nYou can send the link by typing someone's email address or by copying the link and pasting it into a message or chat. If you want them to read the document but not edit it, set their permission to view-only.\n\nIf they don't have Word, the document will open in their web browser, in Word Online.\n\n## Add visuals with pictures from the web\n\n\n\nWord works with Bing to give you access to thousands of pictures you can use in your documents.\n\nTry it: Hit enter after this line to make a blank line:\n\n- 1. With your cursor in the blank space above, go to the Insert tab, select Online Pictures , and then search for something, like puppy clip art .\n- 2. Select the picture you want, and select Insert .", - "page_start": 2, - "page_end": 2, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Count on Word to count your words\n\nTry it: Hit return after this line and type some words.\n\nThe status bar at the bottom of the window keeps a running count of the number of words in the document.\n\n\n\n## Save this for later, access it anywhere\n\nWhen you save this document in OneDrive, you'll be able to open it anywhere: on your computer, tablet, or phone. Your changes will be saved automatically.\n\nTry it: Select File > Save As , and then select OneDrive and give this document a name.\n\n\n\nIf you sign in to Office 365 on another device, this document will be in your list of recent files. You can pick up where you left off… even if you left the document open on the computer you're using now.", - "page_start": 1, - "page_end": 1, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Word\n\n## Find whatever you need\n\nType a keyword or phrase into the Search box to quickly find the Word features and ribbon commands you're looking for, to discover Help content, or to get more information online .\n\n\n\n\n\n## Get other Quick Start guides\n\nTo download our free Quick Start Guides for your other favorite apps, go to https://go.microsoft.com/fwlink/?linkid=2008317.\n\n\n\n## Next steps with Word\n\n## See what's new in Office\n\nExplore the new and improved features in Word and the other Office apps. Visit https://go.microsoft.com/fwlink/?linkid=871117 for more information.\n\n## Get free training, tutorials, and videos for Office\n\nReady to dig deeper into the capabilities that Word has to offer? Visit https://go.microsoft.com/fwlink/?linkid=871123 to explore our free training options.\n\n## Send us your feedback\n\nLove Word? Got an idea for improvement to share with us? On the File menu, select Feedback and then follow the prompts to send your suggestions directly to the Word product team. Thank you!\n\n## Share your work with others\n\nTo invite others to view or edit your documents, select the Share button in the top right corner of the app window. Then, you can choose to share a link to your document or send invitations directly to specific people. If someone doesn't have Word, they can use the free Word for the Web app to edit and comment.", - "page_start": 3, - "page_end": 3, - "source_file": "Word QS.pdf" - }, - { - "text": "## Get help with Word\n\n\n\nThe Tell me search box takes you straight to commands and Help in Word.\n\n## Try it: Get help:\n\n - 1. Go to Tell me what you want to do at the top of the window.\n - 2. Type what you want to do.\n\nFor example, type:\n\n -  Add watermark to quickly get to the watermark command.\n -  Help to go to Word help.\n -  Training to see the list of Word training courses.\n -  What's new for a list of the most recent updates to Word\n\n## Let us know what you think\n\nPlease give us feedback on this template, so we can provide content that's truly useful and helpful. Thanks!\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "welcome_to_word_template.pdf" - }, - { - "text": "## Word\n\n## Get writing suggestions\n\nWith Editor , bring out your best writing. Editor helps you bring out your best writing by giving you intelligent writing suggestions. It also calculates an Editor Score based on the number and types of suggestions you have yet to address. Select an underlined word or phrase to accept or ignore a suggestion.\n\n\n\n## Review and track changes\n\nWhether you just want to check spelling, keep your word count in check, or fully collaborate with other people, the Review tab has essential commands to track, discuss, and manage all of the changes made to your documents.\n\n\n\n\n\n## View who else is typing\n\nCo-authoring Word documents that are shared on OneDrive or on a SharePoint site happens in real-time, which means you can easily view where other authors are making changes in the same document that you're currently working in.\n\n\n\n## Format with styles\n\nStyles lets you create, apply, and review the formatting styles in your current document. To open it, select the Home tab, and then select the small arrow in the lower right corner of the Styles gallery.", - "page_start": 2, - "page_end": 2, - "source_file": "Word QS.pdf" - }, - { - "text": "\n\n## Meeting essentials\n\n\n\n## Join meetings\n\n- From the calendar tab, select the meeting you intend to join, then select join. . 1.\n\n\n\n- A new screen will show up. Here you can choose how you want to appear in the meeting, and your audio preferences. 2.\n- 3. Then select join now. .\n\n## Present in meetings\n\n- Screen share from the Share button at the top of your meeting window. 1.\n- Choose what screen or window you want to share. Don't forget to include audio if you're sharing something with sound. 2.\n- When you are finished, use the share button at the top of your meeting window to stop sharing. 3.\n\n## Meeting controls\n\nWhen you join meetings, a different window will pop-up. These are the controls you need to know:\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "MSTeams_QuickStartGuide_EN_Final_4.18.22.pdf" - }, - { - "text": "Complete the following steps to successfully complete the system setup wizard:\n\n - 1. Log in to system by using the superuser account, as shown in Figure 4-7. Click Log in .\n\nImportant: The default password for the superuser account is passw0rd (with the number zero and not the capital letter o).\n\nFigure 4-7 System setup: Logging in for the first time\n\n", - "page_start": 114, - "page_end": 114, - "source_file": "sg247938.pdf" - }, - { - "text": "Tell us about your PDF experience.\n\n## Microsoft 365 PDF Accessibility\n\nArticle • 11/26/2024\n\nMicrosoft 365 Apps for Windows including Word, Excel, and PowerPoint allow users to export documents in PDF format. Furthermore, add-ins can use the object model to automate PDF export using either the exporter built in to each app or their own exporter that implements the IMsoDocExporter COM interface.\n\nAn important part of exporting to PDF is writing PDF/UA tags that provide the semantic information to preserve the accessibility of the content. This allows people with disabilities to consume the PDF using assistive technologies such as screen readers. This documentation provides details about the PDF/UA tags written by the exporter built in to Word, Excel, and PowerPoint as well as the APIs that add-ins need to implement to provide their own exporter.\n\n## Extending Office PDF Export\n\nExtending Office PDF Export\n\n## Office 2024\n\nOffice 2024 PDF Accessibility Improvements\n\n## Excel\n\nExcel PDF Accessibility\n\nExcel.Workbook.ExportAsFixedFormat\n\n## PowerPoint\n\nPowerPoint PDF Accessibility\n\nPowerPoint.Presentation.ExportAsFixedFormat3\n\n## Word\n\nWord PDF Accessibility", - "page_start": 0, - "page_end": 0, - "source_file": "office-pdf.pdf" - }, - { - "text": "For the user to access add-in functionality, the add-in should add a new menu item or a new toolbar button to application. When the user selects this menu item or button, the add-in should use the Microsoft Office Object Model to obtain a pointer to the active document. It should then call the active document's ExportAsFixedFormat method with an IUnknown interface pointer that supports the IMsoDocExporter interface through a call to the QueryInterface method. The object model parameter for the interface pointer is a VARIANT with VT\\_UNKNOWN type.\n\n\n\nExpand table\n\nTable 1. Methods exposed by the IMsoDocExporter interface\n\n| For OneNote, the add-in calls the Publish method with a string parameter that is the class ID of | For OneNote, the add-in calls the Publish method with a string parameter that is the class ID of |\n|------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------|\n| the add-in's implementation of the IMsoDocExporter | interface. OneNote then calls |\n| CoCreateInstance with the class ID to get an IUnknown interface pointer from the add-in's class | CoCreateInstance with the class ID to get an IUnknown interface pointer from the add-in's class |\n| factory. | factory. |\n\nAfter Publisher has a pointer to the IMsoDocExporter interface, it calls back the add-in through the methods exposed by IMsoDocExporter . Through these callbacks, Word provides the add-in with document content and other information about the document.\n\nAn excellent source of information about building COM add-ins for Microsoft Office applications is the codeproject.com article Building an Office2K COM Add-in with VC++/ATL .\n\n## IMsoDocExporter\n\nThe IMsoDocExporter interface exposes the following methods.\n\nﾉ Expand table\n\n| Method | Description |\n|-----------------------------|-------------------------------------------------------------------|\n| HrCreateDoc | Called at the start of the fixed-format export process. |\n| HrAddPageFromEmf | Called to pass the add-in an enhanced metafile (EMF) that |\n| HrAddPageFromEmf | represents a rendered view of the content to export. |\n| HrAddDocumentMetadataString | Called to specify string-format metadata for the document. |\n| HrAddDocumentMetadataDate | Called to specify date-format metadata for the document. |\n| HrSetDefaultLcid | Called to specify the default locale ID (LCID) for the content to |", - "page_start": 3, - "page_end": 3, - "source_file": "office-pdf.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "What are the products of Hormel Foods Corporation?", - "target_page": 4, - "target_passage": "meat and other food product", - "chunk_present": { - "presence": true, - "index": 6 - } - }, - "top_chunk": [ - { - "text": "## (a) General Development of Business\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Use these links to rapidly review the document HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n## ANNUAL REPORT ON FORM 10-K HORMEL FOODS CORPORATION OCTOBER 25, 2003\n\n## FORM 10-K\n\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934\n\n## HORMEL FOODS CORPORATION\n\n(Exact name of registrant as specified in its charter)\n\n## DELAWARE\n\n41-0319970\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n## 1 HORMEL PLACE AUSTIN, MINNESOTA\n\n55912-3680\n\n(Address of principal executive offices)\n\n(Zip Code)\n\nRegistrant's telephone number, including area code (507) 437-5611\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\n\nTitle of Each Class\n\nNEW YORK STOCK EXCHANGE\n\nName of Each Exchange On Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value-138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value-0 shares\n\n## DOCUMENTS INCORPORATED BY REFERENCE\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\nHORMEL FOODS CORPORATION\n\nTABLE OF CONTENTS", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## YEAR ENDED OCTOBER 25, 2003\n\n## HORMEL FOODS CORPORATION\n\n## Austin, Minnesota\n\nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n\n## LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\n\n## HORMEL FOODS CORPORATION\n\n## FINANCIAL STATEMENTS\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\nConsolidated Statements of Financial Position -October 25, 2003, and October 26, 2002.\n\nConsolidated Statements of Operations -Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\nConsolidated Statements of Changes in Shareholders' Investment -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nConsolidated Statements of Cash Flows -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nNotes to Financial Statements -October 25, 2003.\n\n## Report of Independent Auditors\n\n## FINANCIAL STATEMENT SCHEDULES\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n## Schedule II-Valuation and Qualifying Accounts and Reserves...F-3\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## FINANCIAL STATEMENTS AND SCHEDULES OMITTED\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## SCHEDULE II-VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\n\n## HORMEL FINANCIAL SERVICES CORPORATION\n\n(In Thousands)\n\nNote (1) -Uncollectible accounts written off.\n\nNote (2) -Recoveries on accounts previously written off.\n\nNote (3) -Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\nNote (4) -Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n## LIST OF EXHIBITS\n\n## HORMEL FOODS CORPORATION\n\n| 2.1 (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n|-----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 3.1 (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "\n\n## Hormel Foods Annual Report 2004\n\n## Form 10-K (NYSE:HRL)\n\nPublished: January 23rd, 2004\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "No new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned territories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of October 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by common carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, China, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and operate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a royalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n## Raw Materials\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize the seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog producers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the industry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not eliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## HORMEL FOODS CORPORATION\n\nBy: /s/ JOEL W. JOHNSON\n\nJOEL W. JOHNSON Chairman of the Board,\n\nPresident and Chief Executive Officer\n\nDate: January 23, 2004\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "HORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S PRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF TSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD SMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG, SWEET THING, THICK & EASY and WRANGLERS.\n\n## Customers and Backlog Orders\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up approximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS, 51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material adverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders are accepted and shipped on a current basis.\n\n## Competition\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with manufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish. The Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and ConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong quality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then support higher value perceptions from customers.\n\nThe Company competes using this same strategy in international markets around the world.\n\n## Research and Development\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The expenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42 professional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\n\n## Employees\n\nAs of October 25, 2003, the Company had over 16,000 active employees.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "markets its turkey products through its own sales force and independent brokers.\n\nThe acquisitions of Diamond Crystal Brands Nutritional Products in fiscal 2001 and the Century Foods International business in July of fiscal 2003 strengthened the Company's presence in the nutritional food products and supplements market. The Company currently operates as one of the largest companies providing nutritional products to the U.S. healthcare industry.\n\nThe Company acquired the Diamond Crystal Brands business from Imperial Sugar Co. in December of fiscal 2003. Diamond Crystal Brands packages and sells various sugar, sugar substitute, salt and pepper products, savory products, drink mixes and dessert mixes to retail and foodservice customers.\n\nInternationally, the Company markets its products through Hormel Foods International Corporation (HFIC), a wholly owned subsidiary. HFIC has a presence in the international marketplace through joint ventures and placement of personnel in strategic foreign locations such as China, Spain, and the Philippines. HFIC also has a global presence with minority positions in food companies in Spain (Campofrio Alimentacion S.A., 15% holding) and the Philippines (Purefoods-Hormel, 40% holding).\n\nThe Company has not been involved in any bankruptcy, receivership or similar proceedings during its history. Substantially all of the assets of the Company have been acquired in the ordinary course of business.\n\nThe Company had no significant change in the type of products produced or services rendered, nor in the markets or methods of distribution since the beginning of the fiscal year.\n\n## (b) Industry Segment\n\nThe Company's business is reported in five segments: Grocery Products, Refrigerated Foods, Jennie-O Turkey Store, Specialty Foods, and All Other. The contributions of each segment to net sales to unaffiliated customers and operating profit, and the presentation of certain other financial information by segment are reported in Note K of the Notes to Consolidated Financial Statements and in the Management's Discussion and Analysis of the Annual Stockholder's Report for the year ended October 25, 2003, incorporated herein by reference.\n\n## (c) Description of Business\n\n## Products and Distribution\n\nThe Company's products primarily consist of meat and other food products. The meat products are sold fresh, frozen, cured, smoked, cooked and canned. The percentages of total revenues contributed by classes of similar products for the last three fiscal years of the Company are as follows:\n\n| Perishable meat | 50.3% | 53.0% | 54.7% |\n|--------------------|---------|---------|---------|\n| Nonperishable meat | 18.9 | 19.8 | 21.0 |\n| Poultry | 22.1 | 22.6 | 20.3 |\n| | 100.0% | 100.0% | 100.0% |\n\nReporting of revenues from external customers is based on similarity of products, as the same or similar products are sold across multiple distribution channels such as retail, foodservice or international. Revenues reported are based on financial information used to produce the Company's generalpurpose financial statements.\n\nPerishable meat includes fresh meats, sausages, hams, wieners and bacon (excluding JOTS products.) Nonperishable meat includes canned luncheon meats, shelf stable microwaveable entrees, stews, chilies, hash, meat spreads and other items that do not require refrigeration as well as frozen processed products. The Poultry category is composed primarily of JOTS products. The Other category primarily consists of nutritional food products and supplements, sugar and sugar substitutes, salt and pepper products, dessert mixes, food packaging (casings for dry sausage), and industrial gelatin products. The Other category has increased over the past two years primarily due to the following acquisitions: Century Foods International (July 2003), Diamond Crystal Brands (December 2002), and Diamond Crystal Brands Nutritional Products (April 2001).", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Information concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K.\n\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that applies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar functions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption, \"Corporate.\"", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Item 1. | BUSINESS |\n|------------|------------------------------------------------------------------------------------------------|\n| Item 2. | PROPERTIES |\n| Item 3. | LEGAL PROCEEDINGS |\n| Item 4. | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |\n| PART II | PART II |\n| Item 5. | MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS |\n| Item 6. | SELECTED FINANCIAL DATA |\n| Item 7. | MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS |\n| Item 7A. | QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK |\n| Item 8. | FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA |\n| Item 9. | CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE |\n| Item 9A. | CONTROLS AND PROCEDURES |\n| PART III | PART III |\n| Item 10. | DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT |\n| Item 11. | EXECUTIVE COMPENSATION |\n| Item 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS |\n| Item 13. | CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS |\n| Item 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES |\n| PART IV | PART IV |\n| Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K |\n| SIGNATURES | SIGNATURES |\n\n## PART I\n\n## Item 1. BUSINESS\n\n## Available Information\n\nThe Company makes available, free of charge on its website at www.hormel.com , its annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such material is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free of charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, free of charge, under the caption \"Investor.\"\n\n## (a) General Development of Business", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Where are Hormel Foods Corporation plants located? ", - "target_page": 5, - "target_passage": "has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## (a) General Development of Business\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## YEAR ENDED OCTOBER 25, 2003\n\n## HORMEL FOODS CORPORATION\n\n## Austin, Minnesota\n\nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n\n## LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\n\n## HORMEL FOODS CORPORATION\n\n## FINANCIAL STATEMENTS\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\nConsolidated Statements of Financial Position -October 25, 2003, and October 26, 2002.\n\nConsolidated Statements of Operations -Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\nConsolidated Statements of Changes in Shareholders' Investment -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nConsolidated Statements of Cash Flows -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nNotes to Financial Statements -October 25, 2003.\n\n## Report of Independent Auditors\n\n## FINANCIAL STATEMENT SCHEDULES\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n## Schedule II-Valuation and Qualifying Accounts and Reserves...F-3\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## FINANCIAL STATEMENTS AND SCHEDULES OMITTED\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## SCHEDULE II-VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\n\n## HORMEL FINANCIAL SERVICES CORPORATION\n\n(In Thousands)\n\nNote (1) -Uncollectible accounts written off.\n\nNote (2) -Recoveries on accounts previously written off.\n\nNote (3) -Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\nNote (4) -Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n## LIST OF EXHIBITS\n\n## HORMEL FOODS CORPORATION\n\n| 2.1 (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n|-----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 3.1 (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "No new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned territories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of October 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by common carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, China, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and operate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a royalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n## Raw Materials\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize the seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog producers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the industry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not eliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Use these links to rapidly review the document HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n## ANNUAL REPORT ON FORM 10-K HORMEL FOODS CORPORATION OCTOBER 25, 2003\n\n## FORM 10-K\n\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934\n\n## HORMEL FOODS CORPORATION\n\n(Exact name of registrant as specified in its charter)\n\n## DELAWARE\n\n41-0319970\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n## 1 HORMEL PLACE AUSTIN, MINNESOTA\n\n55912-3680\n\n(Address of principal executive offices)\n\n(Zip Code)\n\nRegistrant's telephone number, including area code (507) 437-5611\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\n\nTitle of Each Class\n\nNEW YORK STOCK EXCHANGE\n\nName of Each Exchange On Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value-138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value-0 shares\n\n## DOCUMENTS INCORPORATED BY REFERENCE\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\nHORMEL FOODS CORPORATION\n\nTABLE OF CONTENTS", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## HORMEL FOODS CORPORATION\n\nBy: /s/ JOEL W. JOHNSON\n\nJOEL W. JOHNSON Chairman of the Board,\n\nPresident and Chief Executive Officer\n\nDate: January 23, 2004\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "\n\n## Hormel Foods Annual Report 2004\n\n## Form 10-K (NYSE:HRL)\n\nPublished: January 23rd, 2004\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "HORMEL, ALWAYS TENDER, AMERICAN CLASSICS, AUSTIN BLUES, BLACK LABEL, CARAPELLI, CHI-CHI'S, CURE 81, CUREMASTER, DAN'S PRIZE, DIAMOND CRYSTAL, DI LUSSO, DINTY MOORE, DUBUQUE, EL TORITO, FAST 'N EASY, HERB-OX, HERDEZ, HOMELAND, HOUSE OF TSANG, JENNIE-O TURKEY STORE, KID'S KITCHEN, LAYOUT, LITTLE SIZZLERS, MARRAKESH EXPRESS, MARY KITCHEN, OLD SMOKEHOUSE, PATAK'S, PELOPONNESE, PILLOW PACK, QUICK MEAL, RANGE BRAND, ROSA GRANDE, SANDWICH MAKER, SPAM, STAGG, SWEET THING, THICK & EASY and WRANGLERS.\n\n## Customers and Backlog Orders\n\nDuring fiscal year 2003, no customer accounted for more than 10 percent of total Company sales. The five largest customers in each segment make up approximately the following percentage of segment sales: 39 percent of Grocery Products, 39 percent of Refrigerated Foods, 35 percent of JOTS, 51 percent of Specialty Foods, and 27 percent of All Other. The loss of one or more of the top customers in any of these segments could have a material adverse effect on the results of such segment. Backlog orders are not significant due to the perishable nature of a large portion of the products. Orders are accepted and shipped on a current basis.\n\n## Competition\n\nThe production and sale of meat and food products in the United States and internationally are highly competitive. The Company competes with manufacturers of pork and turkey products, as well as national and regional producers of other meat and protein sources, such as beef, chicken and fish. The Company believes that its largest domestic competitors for its Refrigerated Foods segment in 2003 were Tyson Foods, Smithfield Foods and ConAgra Foods; for its Grocery Products segment, ConAgra Foods, Dial Corp. and Campbell Soup Co.; and for JOTS, ConAgra Foods and Cargill, Inc.\n\nAll Hormel segments compete on the basis of price, product quality, brand identification and customer service. Through aggressive marketing and strong quality assurance programs, the Company's strategy is to provide higher quality products that possess strong brand recognition, which would then support higher value perceptions from customers.\n\nThe Company competes using this same strategy in international markets around the world.\n\n## Research and Development\n\nResearch and development continues to be a vital part of the Company's strategy to extend existing brands and expand into new branded items. The expenditures for research and development for fiscal 2003, 2002 and 2001, respectively, were $13,165,000, $12,097,000 and $11,478,000. There are 42 professional employees engaged in full time research, 19 in the area of improving existing products and 23 in developing new products.\n\n## Employees\n\nAs of October 25, 2003, the Company had over 16,000 active employees.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Houston, Texas | 93,000 | Owned | |\n|---------------------------------|----------|---------|---------------|\n| Knoxville, Iowa | 130,000 | Owned | |\n| Osceola, Iowa | 334,000 | Owned | |\n| Quakertown, Pennsylvania | 13,000 | Owned | |\n| Rochelle, Illinois | 440,000 | Owned | |\n| Sparta, Wisconsin | 185,000 | Owned | |\n| Stockton, California | 139,000 | Owned | |\n| Tucker, Georgia | 259,000 | Owned | |\n| Wichita, Kansas | 80,000 | Owned | |\n| Warehouse/Distribution Centers | | | |\n| Austin, Minnesota-Annex | 83,000 | Owned | |\n| Dayton, Ohio | 140,000 | Owned | |\n| Eldridge, Iowa | 280,000 | Leased | October, 2005 |\n| Osceola, Iowa | 233,000 | Owned | |\n| Stockton, California | 232,000 | Leased | July, 2004 |\n| Tucker, Georgia | 96,000 | Leased | October, 2004 |\n| Research and Development Center | | | |\n| Austin, Minnesota | 59,000 | Owned | |\n| Corporate Offices | | | |\n| Austin, Minnesota | 203,000 | Owned | |\n| Dan's Prize, Inc. | | | |\n| Browerville, Minnesota-Plant | 52,000 | Owned | |\n| Long Prairie, Minnesota-Plant | 80,000 | Owned | |\n| Jennie-O Turkey Store, Inc. | | | |\n| Plants | | | |\n| Barron, Wisconsin | 372,000 | Owned | |\n| Faribault, Minnesota | 169,000 | Owned | |\n| Marshall, Minnesota | 142,000 | Owned | |\n| Melrose, Minnesota | 124,000 | Owned | |\n| Montevideo, Minnesota | 85,000 | Owned | |\n| Pelican Rapids, Minnesota | 242,000 | Owned | |\n| Willmar, Minnesota | 419,000 | Owned | |\n\nMany of these properties are not exclusive to any one of the Company's segments and a few of the properties are utilized in all five segments of the Company. The Company has renovation or building projects in progress at Austin, Minnesota; Fremont, Nebraska; Rochelle, Illinois; Osceola, Iowa; Los Animas, Colorado; and at various JOTS locations. The Company believes its operating facilities are well maintained and suitable for current production volumes and all volumes anticipated in the foreseeable future.\n\n## Item 3. LEGAL PROCEEDINGS\n\nThe Company knows of no pending material legal proceedings.\n\n## Item 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\n\nNo matters were submitted to shareholders during the fourth quarter of the 2003 fiscal year.\n\n## PART II\n\n## Item 5. MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS\n\nThe high and low closing price of the Company's Common Stock and the dividends per share declared for each fiscal quarter of 2003 and 2002, respectively, are shown below:", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## ITEM 2. PROPERTIES\n\nOur corporate headquarters is located in Ft. Lauderdale, Florida in leased premises. As of December 31, 2004, we operated approximately 6,100 collection vehicles. Certain of our property and equipment are subject to operating leases or liens securing payment of portions of our indebtedness. We also lease certain of our oÇces and equipment. We believe that our facilities are suÇcient for our current needs.\n\nThe following table provides certain information regarding the 58 landÑlls owned or operated by us as of December 31, 2004:", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "Information concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K.\n\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that applies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar functions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption, \"Corporate.\"", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_HRL_2004.pdf", - "query": "Does Hormel Food Corporation have any material legal proceedings pending?", - "target_page": 8, - "target_passage": "The Company knows of no pending material legal proceedings.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## YEAR ENDED OCTOBER 25, 2003\n\n## HORMEL FOODS CORPORATION\n\n## Austin, Minnesota\n\nItem 15(a) (1), (2) and (3) and Item 15 (c) and (d)\n\n## LIST OF FINANCIAL STATEMENTS AND FINANCIAL STATEMENT SCHEDULES\n\n## HORMEL FOODS CORPORATION\n\n## FINANCIAL STATEMENTS\n\nThe following consolidated financial statements of Hormel Foods Corporation included in the Annual Stockholders' Report for the Registrant to its stockholders for the year ended October 25, 2003, are incorporated herein by reference in Item 8 of Part II of this report:\n\nConsolidated Statements of Financial Position -October 25, 2003, and October 26, 2002.\n\nConsolidated Statements of Operations -Years Ended October 25, 2003, October 26, 2002 and October 27, 2001.\n\nConsolidated Statements of Changes in Shareholders' Investment -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nConsolidated Statements of Cash Flows -Years Ended October 25, 2003, October 26, 2002, and October 27, 2001.\n\nNotes to Financial Statements -October 25, 2003.\n\n## Report of Independent Auditors\n\n## FINANCIAL STATEMENT SCHEDULES\n\nThe following consolidated financial statement schedule of Hormel Foods Corporation required pursuant to Item 15(d) is submitted herewith:\n\n## Schedule II-Valuation and Qualifying Accounts and Reserves...F-3\n\nAll other schedules for which provision is made in the applicable accounting regulation of the Securities and Exchange Commission are not required under the related instructions or are inapplicable, and therefore have been omitted.\n\n## FINANCIAL STATEMENTS AND SCHEDULES OMITTED\n\nCondensed parent company financial statements of the registrant are omitted pursuant to Rule 5-04(c) of Article 5 of Regulation S-X.\n\n## SCHEDULE II-VALUATION AND QUALIFYING ACCOUNTS AND RESERVES\n\n## HORMEL FINANCIAL SERVICES CORPORATION\n\n(In Thousands)\n\nNote (1) -Uncollectible accounts written off.\n\nNote (2) -Recoveries on accounts previously written off.\n\nNote (3) -Increase in the reserve due to the inclusion of The Turkey Store Company accounts receivable.\n\nNote (4) -Increase in the reserve due to the inclusion of Diamond Crystal Brands accounts receivable.\n\n## LIST OF EXHIBITS\n\n## HORMEL FOODS CORPORATION\n\n| 2.1 (1) | Agreement and Plan of Merger and Plan of Reorganization dated January 22, 2001, by and among Hormel, Badger Acquisition Corporation, Jerome Foods, Inc. and Jerome K. Jerome. (Incorporated by reference to Hormel's Current Report on Form 8-K dated March 9, 2001, File No. 001-02402.) |\n|-----------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 3.1 (1) | Certificate of Incorporation as amended to date. (Incorporated by reference to Exhibit 3A-1 to Hormel's Annual Report on Form 10- K/A for the fiscal year ended October 28, 2000, File No. 001-02402.) |", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Use these links to rapidly review the document HORMEL FOODS CORPORATION TABLE OF CONTENTS\n\n## ANNUAL REPORT ON FORM 10-K HORMEL FOODS CORPORATION OCTOBER 25, 2003\n\n## FORM 10-K\n\nANNUAL REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934\n\n## HORMEL FOODS CORPORATION\n\n(Exact name of registrant as specified in its charter)\n\n## DELAWARE\n\n41-0319970\n\n(State or other jurisdiction of incorporation or organization)\n\n(I.R.S. Employer Identification No.)\n\n## 1 HORMEL PLACE AUSTIN, MINNESOTA\n\n55912-3680\n\n(Address of principal executive offices)\n\n(Zip Code)\n\nRegistrant's telephone number, including area code (507) 437-5611\n\nSecurities registered pursuant to Section 12 (b) of the Act:\n\nCOMMON STOCK, PAR VALUE $.0586 PER SHARE\n\nTitle of Each Class\n\nNEW YORK STOCK EXCHANGE\n\nName of Each Exchange On Which Registered\n\nSecurities registered pursuant to Section 12 (g) of the Act:\n\nIndicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months, and (2) has been subject to such filing requirements for the past 90 days. Yes ý No o\n\nIndicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of registrant's knowledge in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendments to this Form 10-K. o\n\nIndicate by check mark whether the registrant is an accelerated filer (as defined in Rule 12b-2 of the Act). Yes ý No o\n\nThe aggregate market value of the voting stock held by non-affiliates of the registrant as of April 26, 2003 (the last business day of the registrant's most recently completed second fiscal quarter), was $1,592,020,962 based on the closing price of $21.74 per share on that date.\n\nAs of December 1, 2003, the number of shares outstanding of each of the Corporation's classes of common stock was as follows:\n\nCommon Stock, $.0586 Par Value-138,672,803 shares\n\nCommon Stock Non-Voting, $.01 Par Value-0 shares\n\n## DOCUMENTS INCORPORATED BY REFERENCE\n\nPortions of the Annual Stockholders' Report for the year ended October 25, 2003, are incorporated by reference into Part I and Part II Items 5-8, and included as exhibit 13.1 filed herewith.\n\nHORMEL FOODS CORPORATION\n\nTABLE OF CONTENTS", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## HORMEL FOODS CORPORATION\n\nBy: /s/ JOEL W. JOHNSON\n\nJOEL W. JOHNSON Chairman of the Board,\n\nPresident and Chief Executive Officer\n\nDate: January 23, 2004\n\nPursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the Registrant and in the capacities and on the dates indicated. Each person whose signature to this report on Form 10-K appears below hereby constitutes and appoints each of Michael J. McCoy, Jody H. Feragen and Mark P. Kalvoda as his or her true and lawful attorney-in-fact and agent, with full power of substitution, to sign on his or her behalf individually and in the capacity stated below and to perform any acts necessary to be done in order to file the Annual Report on Form 10-K and all amendments to this report on Form 10-K, and any and all instruments or documents filed as part of or in connection with this report on Form 10-K or the amendments hereto, and each of the undersigned does hereby ratify and confirm all that said attorney-in-fact and agent, or his substitutes, shall do or cause to be done by virtue hereof.", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "\n\n## Hormel Foods Annual Report 2004\n\n## Form 10-K (NYSE:HRL)\n\nPublished: January 23rd, 2004\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "| Item 1. | BUSINESS |\n|------------|------------------------------------------------------------------------------------------------|\n| Item 2. | PROPERTIES |\n| Item 3. | LEGAL PROCEEDINGS |\n| Item 4. | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |\n| PART II | PART II |\n| Item 5. | MARKET FOR THE REGISTRANT'S COMMON STOCK AND RELATED STOCKHOLDER MATTERS |\n| Item 6. | SELECTED FINANCIAL DATA |\n| Item 7. | MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS |\n| Item 7A. | QUANTITATIVE AND QUALITATIVE DISCLOSURES ABOUT MARKET RISK |\n| Item 8. | FINANCIAL STATEMENTS AND SUPPLEMENTAL DATA |\n| Item 9. | CHANGES IN AND DISAGREEMENTS WITH ACCOUNTANTS ON ACCOUNTING AND FINANCIAL DISCLOSURE |\n| Item 9A. | CONTROLS AND PROCEDURES |\n| PART III | PART III |\n| Item 10. | DIRECTORS AND EXECUTIVE OFFICERS OF THE AGREEMENT |\n| Item 11. | EXECUTIVE COMPENSATION |\n| Item 12. | SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS |\n| Item 13. | CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS |\n| Item 14. | PRINCIPAL ACCOUNTING FEES AND SERVICES |\n| PART IV | PART IV |\n| Item 15. | EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K |\n| SIGNATURES | SIGNATURES |\n\n## PART I\n\n## Item 1. BUSINESS\n\n## Available Information\n\nThe Company makes available, free of charge on its website at www.hormel.com , its annual report on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, and amendments to those reports filed or furnished pursuant to Section 13(a) or 15(d) of the Securities Exchange Act of 1934. These reports are accessible under the \"Investor\" caption of the Company's website and are available as soon as reasonably practicable after such material is electronically filed with or furnished to the Securities and Exchange Commission, which is within 24 hours.\n\nThe Company has adopted a Code of Ethical Business Conduct that covers its officers and directors, which is available on the Company's website, free of charge, under the caption \"Corporate.\" The Company also adopted Corporate Governance Guidelines, which are available on the Company's website, free of charge, under the caption \"Investor.\"\n\n## (a) General Development of Business", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## (a) General Development of Business\n\nHormel Foods Corporation, a Delaware corporation, was founded by George A. Hormel in 1891 in Austin, Minnesota, as George A. Hormel & Company. The Company started as a processor of meat and food products and continues in this line of business. The Company name was changed to Hormel Foods Corporation on January 31, 1995. The Company is primarily engaged in the production of a variety of meat and food products and the marketing of those products throughout the United States. Although pork and turkey remain the major raw materials for Hormel products, the Company has emphasized for several years the manufacture and distribution of branded, consumer packaged items rather than the commodity fresh meat business.\n\nThe Company's branding strategy led to the development of a joint venture between Hormel Foods Corporation and Excel Corporation, a wholly owned subsidiary of Cargill Incorporated. This joint venture began marketing and selling nationally branded fresh case ready beef and pork under the existing HORMEL ALWAYS TENDER brand name in fiscal year 2003. This 50 percent owned joint venture, named Precept Foods LLC, is based in Austin, Minn.\n\nIn fiscal 2001, the Jennie-O Turkey Store (JOTS) business was formed as a result of merging the Company's existing Jennie-O Foods, Inc. business with the operations of The Turkey Store Company, which was acquired in the second quarter of fiscal 2001. The Turkey Store Company was a turkey processing business headquartered in Barron, Wisconsin. The merged JOTS operation is currently the largest turkey processor in the world. JOTS", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "No new product in fiscal 2003 required a material investment of Company assets.\n\nDomestically, the Company sells its products in all 50 states. Hormel products are sold through Company sales personnel, operating in assigned territories coordinated from district sales offices located in most of the larger U.S. cities, as well as independent brokers and distributors. As of October 25, 2003, the Company had approximately 600 sales personnel engaged in selling its products. Distribution of products to customers is by common carrier.\n\nThrough HFIC, the Company markets its products in various locations throughout the world. Some of the larger markets include Australia, Canada, China, England, Japan, Mexico and Micronesia. The distribution of export sales to customers is by common carrier, while the China operations own and operate their own delivery system. The Company, through HFIC, has licensed companies to manufacture various Hormel products internationally on a royalty basis, with the primary licensees being Tulip International of Denmark and CJ Corp. of South Korea.\n\n## Raw Materials\n\nThe Company has, for the past several years, been concentrating on processed branded products for consumers with year-round demand to minimize the seasonal variation experienced with commodity type products. Pork continues to be the primary raw material for Company products. Although hog producers are moving toward larger, more efficient year-round confinement operations and supply contracts are becoming increasingly prevalent in the industry, there is still a seasonal variation in the supply of fresh pork materials. The Company's expanding line of processed items has reduced but not eliminated the sensitivity of Company results to raw material supply and price fluctuations.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Information concerning Executive Officers is set forth in Item 1(d) of Part I pursuant to Instruction 3, Paragraph (b) of Item 401 of Regulation S-K.\n\nInformation under \"Section 16(a) Beneficial Ownership Reporting Compliance,\" on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\nThe Company has adopted a Code of Ethical Business Conduct in compliance with applicable rules of the Securities and Exchange Commission that applies to its principal executive officer, its principal financial officer and its principal accounting officer or controller, or persons performing similar functions. A copy of the Code of Ethical Business Conduct is available on the Company's website at, www.hormel.com, free of charge, under the caption, \"Corporate.\"", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## ITEM 3. LEGAL PROCEEDINGS\n\nWe are and will continue to be involved in various administrative and legal proceedings in the ordinary course of business. We can give you no assurance regarding the outcome of these proceedings or the eÅect their outcomes may have, or that our insurance coverages or reserves are adequate. A signiÑcant judgment against our company, the loss of signiÑcant permits or licenses, or the imposition of a signiÑcant Ñne could have a material adverse eÅect on our Ñnancial position, results of operations, cash Öows or prospects.\n\n## ITEM 4. SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS\n\nNo matters were submitted to our stockholders during the fourth quarter of 2004.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_RSG_2004.pdf" - }, - { - "text": "| 3.2 (1) | Bylaws as amended to date. (Incorporated by reference to Exhibit 3.2 to Hormel's Amendment No. 3 to Registration Statement on Form S-4, dated November 29, 2001, File No. 333-68498.) |\n|-------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| 4.1 (1) | Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.1 to Hormel's Registration Statement on Form S-4 dated, August 28, 2001, File No. 333-68498.) |\n| 4.2 (1) | Supplemental Indenture No. 1 dated as of June 4, 2001, to Indenture dated as of June 1, 2001, between Hormel and U.S. Bank Trust National Association, as Trustee, relating to certain outstanding debt securities. (Incorporated by reference to Exhibit 4.2 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.3 (1) | Letter of Representations dated June 5, 2001, among Hormel, U.S. Bank Trust National Association, as Trustee, and The Depository Trust Company relating to certain outstanding debt securities of Hormel. (Incorporated by reference to Exhibit 4.3 to Hormel's Registration Statement on Form S-4 dated August 28, 2001, File No. 333-68498.) |\n| 4.4 (1) | Pursuant to Item 601 (b)(4)(iii) of Regulation S-K, copies of instruments defining the rights of holders of certain long-term debt are not filed. Hormel agrees to furnish copies thereof to the Securities and Exchange Commission upon request. |\n| 10.1 (1) | U.S. $150,000,000 Credit Agreement, dated as of October 20, 2003, between Hormel, the banks identified on the signature pages thereof, and Citicorp U.S.A. Inc., as Administrative Agent. (Incorporated by Reference to Exhibit 10.1 to Hormel's Current Report on Form 8-K dated October 23, 2003.) |\n| 10.2 (1)(3) | Hormel Foods Corporation Operators' Shares Incentive Compensation Plan. (Incorporated by Reference to Appendix A to Hormel's definitive Proxy Statement filed on December 30, 1997, File No. 001-02402.) |\n| 10.3 (1)(3) | Hormel Foods Corporation Supplemental Executive Retirement Plan (2002 Restatement.) (Incorporated by Reference to Exhibit 10.3 to Hormel's Annual Report on Form 10-K for the fiscal year ended October 26, 2002, file No. 001-02402.) |\n| 10.4 (1)(3) | Hormel Foods Corporation 2000 Stock Incentive Plan. (Incorporated by Reference to Exhibit A to Hormel's definitive Proxy Statement filed on December 30, 1999, File No. 001-02402.) |", - "page_start": 12, - "page_end": 12, - "source_file": "NYSE_HRL_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What is Mexican Farm Subsidies ?", - "target_page": 9, - "target_passage": "an online tool to analyze how the federal government allocates those subsidies", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Right now, one of the most active Asian countries in the Open Data arena is India, which also signed an Open Government partnership with the USA in November 2010. In January 2011 the Indian Congress Party announced plans for a new law to fight corruption among public servants and politicians. Anti-corruption websites (including ones in local dialects) like Indiaagainstcorruption.org, already existed, including one, Ipaidabribe.com, that collected more than 3,000 people reports of graft in its first four months.\n\nAs it happens in Asia, even Latin America is currently focused, at least outside Public Administration circles, on how to open public data to achieve actual transparency. This appears even from the way many projects are labeled, that is \"Civic Information\" instead of Open Data (which is an idea starting from data reuse ) or Open Government.\n\nThe reason is that even where good Freedom of Information laws exist in Latin America, they still have too little practical effects. Mexico, for example, already has a digital system to manage Freedom of Information requests, but there are reports of complaints filed against municipal officials that either have no effect at all, or aren't possible in the first place, because relevant information has not been updated in years, or omits key data like (in the case of budget reports) \"descriptions of how the money was spent\" .\n\nEven with these difficulties, the Latin America Open Data/Civic Information landscape is active and definitely worthwhile following. The list of interesting Civic Information projects in Latin America include (from Sasaki's Access to Information: Is Mexico a Model for the Rest of the World?:\n\n## · Mexico\n\n - · Mexican Farm Subsidies - an online tool to analyze how the federal government allocates those subsidies\n - · Compare Your School : compares aggregate test results from any school with the municipal, regional, and national averages\n - · Rebellion of the Sick built for patients with chronic diseases whose expenses are not covered by the government subsidized health coverage.\n - · Argentina: Public Spending in Bahía analyzes how public funds are used.\n - · Colombia: Visible Congress monitors the actions of the Colombian congress\n - · Brazil\n - · Eleitor 2010 : a website to submit reports of electoral fraud during the Brazil 2010", - "page_start": 8, - "page_end": 8, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "develop an Integrated Nutrient Management Action Plan in 2022. The Farm to Fork strategy will address the reduction in the use and risk of pesticides and support wider implementation of Integrated Pest Management 54 . As part of this, the environmental risk assessment of pesticides will be strengthened . The pressure from plastics is notably addressed through the implementation of the European Strategy for Plastics 55 and the new Circular Economy Action Plan 56 .\n\nThe Commission will develop a set of indicators for the progressive reduction of pollution , and will establish baselines to help monitor progress. Pressures from marine litter and underwater noise are being addressed under the Marine Strategy Framework Directive.\n\n## 2.2.10. Addressing invasive alien species\n\nInvasive alien species can significantly undermine efforts to protect and restore nature. Besides inflicting major damage to nature and the economy, many invasive alien species also facilitate the outbreak and spread of infectious diseases, posing a threat to humans and wildlife 57 . The rate of release of invasive alien species has increased in recent years. Of the 1,872 species now considered threatened in Europe, 354 are under threat from invasive alien species. Without effective control measures, the rate of invasion and the risks it brings to our nature and health will continue to rise.\n\nThe implementation of the EU Invasive Alien Species Regulation 58 and other relevant legislation and international agreements must also be stepped up . This should aim to minimise, and where possible eliminate, the introduction and establishment of alien species in the EU environment. The aim will be to manage established invasive alien species and decrease the number of Red List species they threaten by 50% 59 .\n\n## EU Nature Restoration Plan: key commitments by 2030\n\n - 1. Legally binding EU nature restoration targets to be proposed in 2021, subject to an impact assessment. By 2030, significant areas of degraded and carbon-rich ecosystems are restored; habitats and species show no deterioration in conservation trends and status; and at least 30% reach favourable conservation status or at least show a positive trend.\n - 2. The decline in pollinators is reversed.\n - 3. The risk and use of chemical pesticides is reduced by 50% and the use of more hazardous pesticides is reduced by 50%.\n - 4. At least 10% of agricultural area is under high-diversity landscape features.\n - 5. At least 25% of agricultural land is under organic farming management, and the uptake of agro-ecological practices is significantly increased.\n - 6. Three billion new trees are planted in the EU, in full respect of ecological principles.\n - 7. Significant progress has been made in the remediation of contaminated soil sites.\n - 8. At least 25,000 km of free-flowing rivers are restored.", - "page_start": 14, - "page_end": 14, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Livestock slaughtered by the Company is purchased by Company buyers and commission dealers at sale barns and terminal markets or under long-term supply contracts at locations principally in Minnesota, Illinois, Iowa, Nebraska, Colorado and South Dakota. The cost of livestock and the utilization of the Company's facilities are affected by both the level and the methods of pork production in the United States. The hog production industry has been rapidly moving to very large, vertically integrated, year-round confinement operations operating under long-term supply agreements. This has resulted in fewer hogs being available on the spot cash market, which decreases the supply of hogs on the open market and can severely diminish the utilization of slaughter facilities and increase the cost of the raw materials they produce. The Company, along with others in the industry, uses long-term supply contracts to manage the effects of this trend and to assure a stable supply of raw materials while minimizing extreme fluctuations in costs over the longterm. This may result in costs for live hogs that are either higher or lower than the spot cash market depending on the relationship of the cash spot market to contract prices. Contract costs are fully reflected in the Company's reported financial results. In fiscal 2003, the Company purchased 79 percent of its hogs under long-term supply contracts.\n\nIn fiscal 2003, JOTS raised approximately 57 percent of the turkeys needed to meet its raw material requirements for whole bird and processed turkey products. Turkeys not sourced within the Company are contracted with independent turkey growers. JOTS' turkey-raising farms are located throughout Minnesota and Wisconsin. Production costs in raising turkeys are primarily subject to fluctuations in feed grain prices and to a lesser extent fuel costs.\n\n## Manufacturing\n\nThe Company has plants in Austin, Minnesota; Fremont, Nebraska; and Beijing, China that slaughter livestock for processing. Quality Pork Processors of Dallas, Texas, operates the slaughter facility at Austin under a custom slaughter arrangement.\n\nFacilities that produce manufactured items are located in Algona, Iowa; Aurora, Illinois; Austin, Minnesota; Beloit, Wisconsin; Bondurant, Iowa; Ft. Dodge, Iowa; Fremont, Nebraska; Houston, Texas; Knoxville, Iowa; Mitchellville, Iowa; Osceola, Iowa; Perrysburg, Ohio; Quakertown, Pennsylvania; Rochelle, Illinois; Savannah, Georgia; Sparta, Wisconsin; Stockton, California; Tucker, Georgia; Visalia, California; Wichita, Kansas; Beijing, China; and Shanghai, China. Company products are also custom manufactured by several other companies. The following are the Company's larger custom manufacturers: Lakeside Packing Company, Manitowoc, Wisconsin; Schroeder Milk, Maplewood, Minnesota; Steuben Foods, Jamaica, New York; Power Packaging, St. Charles, Illinois; Criders, Stilmore, Georgia; Tony Downs, St. James, Minnesota; and Concept Foods, Alma, Kansas. Power\n\nLogistics, Inc., based in St. Charles, Illinois, operates distribution centers for the Company in Dayton, Ohio, and Osceola, Iowa.\n\nThe Company's turkey slaughter and processing operations are located in Barron, Wisconsin; Faribault, Minnesota; Melrose, Minnesota; Montevideo, Minnesota; Pelican Rapids, Minnesota; and Willmar, Minnesota.\n\n## Patents and Trademarks\n\nThere are numerous patents and trademarks that are important to the Company's business. The Company holds seven foreign and 47 U.S. issued patents. Some of the trademarks are registered and some are not. In recognition of the importance of these assets, the Company created a subsidiary, Hormel Foods, LLC, in 1998 to create, own, maintain and protect most of the Company's trademarks and patents. Some of the more significant owned or licensed trademarks used in the Company's segments are:", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "## Author contributions\n\nK.L. designed the framework of the article and analyzed the yield results and the maize price under future scenarios. J.P. simulated the climate data from 5 climate models recommended by ISI-MIP under 4 RCP scenarios. W.X. simulated the maize yields in whole world under di/fferent scenarios. W.X. simulated the market price of maize at national and global levels. T.A. helped the revision of language.\n\n## Funding\n\nFunding was provided by the National Key Research and Development program of China (Grant Nos. 2019YFA0607403 and 2017YFD0300301) and National Natural Science Foundation of China (Grant Nos. 41961124007 and 41871026).\n\n## Competing interests\n\n/T\\_he authors declare no competing interests.\n\n## Additional information\n\nCorrespondence and requests for materials should be addressed to K.L.\n\nReprints and permissions information is available at www.nature.com/reprints.\n\nPublisher's note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional a/ffiliations.\n\n\n\nOpen Access /T\\_his article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. /T\\_he images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http:// creat iveco mmons. org/ licen ses/ by/4. 0/.\n\n© /T\\_he Author(s) 2022\n\nVol:.(1234567890)", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed9.pdf" - }, - { - "text": "progress towards the target will be under constant review, and adjustment if needed, to mitigate against undue impact on biodiversity, food security and farmers' competitiveness.\n\nAgroecology can provide healthy food while maintaining productivity, increase soil fertility and biodiversity, and reduce the footprint of food production. Organic farming in particular holds great potential for farmers and consumers alike. The sector creates jobs and attracts young farmers. Organic farming also provides 10-20 % more jobs per hectare than conventional farms, and creates added value for agricultural products 32 . To make the most of this potential, at least 25% of the EU's agricultural land must be organically farmed by 2030 . In addition to CAP measures, the Commission will put forward an Action Plan on organic farming, helping Member States stimulate both supply and demand of organic products. It will also ensure consumer's trust through promotion campaigns and green public procurement. In the implementation of the EU-wide agroecological targets set out in this strategy and in the Farm to Fork Strategy, the different starting points and differences in progress already made in Member States will be taken into account.\n\nThe uptake of agroforestry support measures under rural development should be increased as it has great potential to provide multiple benefits for biodiversity, people and climate.\n\nThe decline of genetic diversity must also be reversed, including by facilitating the use of traditional varieties of crops and breeds. This would also bring health benefits through more varied and nutritious diets. The Commission is considering the revision of marketing rules for traditional crop varieties in order to contribute to their conservation and sustainable use. The Commission will also take measures to facilitate the registration of seed varieties, including for organic farming, and to ensure easier market access for traditional and locally adapted varieties.\n\n## 2.2.3. Addressing land take and restoring soil ecosystems\n\nSoil is one of the most complex of all ecosystems. It is a habitat in its own right, and home to an incredible diversity of organisms that regulate and control key ecosystem services such as soil fertility, nutrient cycling and climate regulation. Soil is a hugely important non-renewable resource , vital for human and economic health, as well as the production of food and new medications.\n\nIn the EU, the degradation of soil is having considerable environmental and economic consequences. Poor land management, such as deforestation, overgrazing, unsustainable farming and forestry practices, construction activities and land sealing are among the main causes of this situation 33 . Despite recent reductions in the pace of soil sealing, fertile soils continue to be lost to land take and urban sprawl 34 . When compounded by", - "page_start": 8, - "page_end": 8, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "\n\nFigure 6. Yield loss rates on maize in 6 continents under global warming by 1.5 °C and 2.0 °C.\n\n\n\nMarket price of maize in main countries. In this study, we elaborate on the endogenous response of our economic models. /T\\_his response can be theoretically elaborated as: due to the e/ffect of climate change on yield reduction (improvement), the supply curve moves le/f\\_tward (rightward), reducing (increasing) production and raising (lowering) prices. In response, the consumers decrease (increase) their consumption of more expensive (cheaper) crops and shi/f\\_ting to other (increase the use of the same) crops. Producers, at the same time, respond by changing farm-level management practices and increasing (decreasing) the amount of acreage under these crops. At a global scale, the reallocation of production and consumption through international trade further alters climate change impacts on global agriculture. /T\\_his also alters the self-su/fficiency ratios of each country/ region due to climate change.\n\nIn response to production changes, the price of each commodity changes under both scenarios. At the global level, the market price for maize would increase by 0.7% and 3.4% under 1.5 °C scenario and 2.0 °C scenario, respectively, which would vary quite largely among di/fferent countries and regions under both climate change scenarios (Fig. 7). Particularly, the market price would increase by around 22% and 27% in Iran under 2.0 °C scenario and 1.5 °C scenario, respectively. Iran is also the region where the highest yield reduction is observed due to climate change. Market prices for maize in India, Mexico, Russia, South Africa and the Rest of Africa would decrease signi/ficantly under both scenarios, as their yields improve due to climate e/ffects. Along with the domestic production, the climate change will also induce changes in international trade of maize, resulting in changing levels of self-su/fficiency ratios (SSR) for each country/region. By SSR, we mean the ratio of domestically produced commodity, to the sum of net imports and domestic production. In our scenario analysis, generally, the countries that face positive e/ffects on yields and/or are relatively less dependent on imports, are positively (less negatively) a/ffected by climate change. For example, maize SSR for Ukraine, India, Russia and Mexico would improve under both scenarios (Fig. 8). Whereas the self-su/fficiency ratios of maize for Southeast Asia, Bangladesh and Iran will worsen under both scenarios. China's SSR for maize stays almost similar to the level as the baseline.\n\n## Discussion and conclusion\n\nDiscussion. Our analysis highlights the e/ffects of climate change on global- and regional-speci/fic maize yields and the associated economic consequences in 1.5 °C and 2.0 °C -warming scenarios. We /find that the reduction risk of maize yield under global warming by 2.0 °C is much more serious than that under global warming by 1.5 °C. On the one hand, the larger the temperature rise, the greater the evapotranspiration would be. Although the precipitation is also increasing, the evapotranspiration would become more intense. /T\\_he limitation of water supply for maize growth leads to the decline of yield. On the other hand, relative to global warming by 1.5 °C, maize production would be faced with more serious and frequent extreme climate events, such as drought and heat waves, which would increase the risk of corn yield reduction under global warming by 2.0 °C. In the\n\nVol:.(1234567890)", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed9.pdf" - }, - { - "text": "\n\n## 2010 Total Production:\n\n145 bcfe, +4%, 14%\n\n12/31/10 Proved Reserves: 2,440 bcfe, +21%, 14% 12/31/10 Net Leasehold Acres:\n\n1,420,000, +15%, 11%\n\n## 2010 Total Production:\n\n2 bcfe, NM, NM\n\n12/31/10 Proved Reserves:\n\n110 bcfe, NM, 1%\n\n12/31/10 Net Leasehold Acres: 470,000, +488%, 4%\n\n## 2010 Total Production:\n\n60 bcfe, -20%, 6%\n\n12/31/10 Proved Reserves:\n\n770 bcfe, +4%, 5%\n\n12/31/10 Net Leasehold Acres: 1,200,000, -44%, 9%\n\n2010 Total Production:\n\n0 bcfe, NM, NM\n\n12/31/10 Proved Reserves:\n\n10 bcfe, NM, NM\n\n12/31/10 Net Leasehold Acres:\n\n800,000, +135%, 6%", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "currently in favourable status are in that category or show a strong positive trend. The Commission and the European Environmental Agency will provide guidance to Member States in 2020 on how to select and prioritise species and habitats.\n\n## 2.2.2. Bringing nature back to agricultural land\n\nAs guardians of our land, farmers play a vital role in preserving biodiversity. They are among the first to feel the consequences when biodiversity is lost but also among the first to reap the benefits when it is restored. Biodiversity enables them to provide us with safe, sustainable, nutritious and affordable food and provides them with the income they need to thrive and develop. European farmers are an essential part of the EU's future and must continue to be the social and economic hub of many communities across our Union.\n\nAt the same time, certain agricultural practices are a key driver of biodiversity decline. This is why it is important to work with farmers to support and incentivise the transition to fully sustainable practices . Improving the condition and diversity of agroecosystems will increase the sector's resilience to climate change, environmental risks and socioeconomic shocks, while creating new jobs, for example in organic farming, rural tourism or recreation.\n\nTo support the long-term sustainability of both nature and farming, this strategy will work in tandem with the new Farm to Fork Strategy and the new Common Agricultural Policy (CAP) , including by promoting eco-schemes and result-based payment schemes. In implementing the Biodiversity and the Farm to Fork Strategies, the Commission will closely monitor progress and improvements in terms of food security and farmers income. The Commission will ensure that the CAP Strategic plans are assessed against robust climate and environmental criteria, and that Member States set explicit national values for the relevant targets set in this strategy, as well as in the Farm to Fork Strategy. These plans should lead to sustainable practices such as precision agriculture, organic farming, agro-ecology, agro-forestry, low-intensive permanent grassland, and stricter animal welfare standards.\n\nFarmland birds and insects, particularly pollinators, are key indicators of the health of agroecosystems and are vital for agricultural production and food security. Their alarming decline must be reversed. As set out in the Farm to Fork Strategy, the Commission will take action to reduce by 50% the overall use of - and risk from chemical pesticides by 2030 and reduce by 50% the use of more hazardous pesticides by 2030. This must be supported by the full implementation of the EU Pollinators initiative 31 . By the end of 2020, the Commission will review the initiative and propose additional measures if necessary. To provide space for wild animals, plants, pollinators and natural pest regulators, there is an urgent need to bring back at least 10% of agricultural area under high-diversity landscape features . These include, inter alia , buffer strips, rotational or non-rotational fallow land, hedges, non-productive trees, terrace walls, and ponds. These help enhance carbon sequestration, prevent soil erosion and depletion, filter air and water, and support climate adaptation. In addition, more biodiversity often helps lead to more agricultural production. Member States will need to translate the 10% EU target to a lower geographical scale to ensure connectivity among habitats, especially through the CAP instruments and CAP Strategic Plans, in line with the Farm to Fork Strategy, and through the implementation of the Habitats Directive. The", - "page_start": 7, - "page_end": 7, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## Together with Our Customers\n\nWe work as a team to improve customer satisfaction and product quality, and, while supporting the customer, contribute to the sustainable development of society as a whole.\n\n\n\n## The financial sector's role in improving the nation's diet and in strengthening the agricultural and fisheries sectors\n\nFor many years, food supply networks in For many years, food supply networks in Japan were premised on mass production and Japan were premised on mass production and mass consumption, enabling the country to mass consumption, enabling the country to meet soaring food demand at a time of rapid meet soaring food demand at a time of rapid growth in the population and economy. growth in the population and economy.\n\nBut in recent years, consumers have come to But in recent years, consumers have come to place more priority on factors other than place more priority on factors other than volume and price, such as food safety and volume and price, such as food safety and healthiness, and the cultural aspects of diet. healthiness, and the cultural aspects of diet. As discussion continues on the need for As discussion continues on the need for farmers to increase production scale and farmers to increase production scale and move into processing and marketing, major move into processing and marketing, major changes are underway in the agriculture and changes are underway in the agriculture and fisheries sector in Japan. fisheries sector in Japan.\n\nAgainst this backdrop, SMBC has developed Against this backdrop, SMBC has developed a new financial product for this sector. a new financial product for this sector.\n\n## Roundtable session: SMBC Food and Agricultural Assessment Loan\n\nA roundtable session with experts held in August 2011 considered the role of the new SMBC Food and Agricultural Assessment Loan in improving the food supply chain that links food and fishery producers with food processors and consumers. Opinions were also exchanged on what other future role the bank might assume in this regard, given the current situation and issues facing the food industry\n\nand agriculture in Japan.\n\n\n\n## Key comments of participants\n\n'We want to deliver value by creating demand and quality combined with safety, peace of mind and trust.' Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd.\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, The University of Tokyo\n\n'Eating should be something that generates emotion. New potential exists in the world of cuisine.' Daisuke Yamamoto, Vice Senior Consultant, Research Department,\n\nThe Japan Research Institute, Limited\n\n'As consumer tastes go through a time of great change, I think it is important to prioritize ingredients and the attitude of customers toward eating.'\n\nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of the Corporate Banking Unit & Middle Market Banking Unit, SMBC\n\n'An important concept is multilateral dialogue as the number of parties involved in food production increases throughout the supply chain.'\n\nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC\n\nThe SMBC Food and Agricultural Assessment The SMBC Food and Agricultural Assessment Loan comes with conditions, depending on Loan comes with conditions, depending on the results of an evaluation of food-producers' the results of an evaluation of food-producers' progress in areas such as food safety and progress in areas such as food safety and environment-friendliness, healthiness and environment-friendliness, healthiness and nutritional value, and efficiency of distribution. nutritional value, and efficiency of distribution. The Japan Research Institute researches The Japan Research Institute researches", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "subsidy. The Company does not receive any revenues from the sale of handsets and accessories by national retailers. The Company classifies these handset subsidy charges as a cost of goods expense. participates in the Sprint national and regional distribution programs in which national retailers sell Sprint wireless products and services. In order to facilitate the sale of Sprint wireless products and services, national retailers purchase wireless handsets from Sprint for resale and receive compensation from Sprint for Sprint wireless products and services sold. For industry competitive reasons, Sprint subsidizes the price of these handsets by selling the handsets at a price below cost. Under the Company's agreements with Sprint, when a national retailer sells a handset purchased from Sprint to a subscriber in the Company's territories, the Company is obligated to reimburse Sprint for the handset\n\nThrough December 31, 2003, the Agreement provided that Sprint retains 8% of collected service revenues from subscribers based in the Company's markets and from non-Sprint wholesale subscribers who roam onto the Company's network. The amount of revenue retained by Sprint is recorded as an offset to the revenues recorded. All revenues derived from the sale of handsets and accessories by the Company and from certain roaming services (outbound roaming and travel revenues from Sprint and its PCS Affiliate subscribers) are retained by the Company.\n\nIncome Taxes The Company defers direct subscriber activation costs on subscribers whose activation falls within the SAB 101 guidelines. The activation costs are deferred when incurred, and then amortized using the straight-line method over 30 months, which is the estimated average life of a subscriber. Direct subscriber activation costs also include the activation charge from Sprint, and credit check fees. These fees are charged to the Company by Sprint at approximate $12.50 per subscriber.\n\n## Income Taxes\n\nIncome taxes are accounted for under the asset and liability method. Deferred tax assets and liabilities are recognized for the future tax consequences attributable to differences between financial statement carrying amounts of existing assets and liabilities and their respective tax bases. Deferred tax assets and liabilities are measured using enacted tax rates expected to apply to taxable income in the years in which those temporary differences are expected to be recovered or settled. The effect on deferred tax assets and liabilities of a change in tax rates is recognized in income in the period that includes the enactment date. The Company evaluates the recoverability of tax assets generated on a state-by-state basis from net operating losses apportioned to that state. Management uses a more likely than not threshold to make that determination and has established a valuation allowance against the tax assets, in case they are not recoverable. For 2003, the Company added an additional reserve of $0.2 million to its valuation allowance due to the uncertainty of the recoverability of the net operating loss carry-forwards in certain states. The valuation allowance now stands at $0.9 million as of December 31, 2003. Management will evaluate the effective rate of taxes based on apportionment factors, the Company's operating results, and the various state income tax rates. Currently, management anticipates the normalized effective income tax rate to be approximately 39%.\n\n## Other\n\nThe Company does not have any unrecorded off-balance sheet transactions or arrangements, however, the Company has commitments under operating leases and is subject to certain capital calls under one of its investments.\n\n## Results of Continuing Operations\n\n## 2003 compared to 2002", - "page_start": 46, - "page_end": 46, - "source_file": "NASDAQ_SHEN_2003.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What concerns has open data raised in the insurance sector?", - "target_page": 23, - "target_passage": "insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides that those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources (including ourselves and our acquaintances), and that often it would be very hard to discover, never mind prove , that they've been used against our interest. There have been concerns, for example, that insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of data, that weren't even published by any Public Administration? Of course, publishing online complete, official Census data of several generations, in a way that would make such automatic analysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is needed to dismiss for good the idea that Open Data is a generalized attack to privacy is to always remember and explain that:\n\n - 1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air pollution measurements....)\n - 2. The majority of data that are directly related to individuals (e.g. things like names and address of people with specific diseases, or who were victims of some crime) have no reason to be published, nor there is any actual demand for them by Open Data advocates\n - 3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to public offices, Government and Parliament members etc...) already exist in many countries\n - 4. Very often, in practice, Open Data struggles only happen about when and how to make available in the most effective way for society information that was already recognized as public. What to declare public, hence open, is indeed a serious issue (more on this in the next paragraph) but is a separate one.\n\n## 3.8. Need to better define what is Public Data\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data movement will have to face (hopefully together) in 2011 and beyond. This challenge is to update and expand the definition of Public Data and to have it accepted by lawmakers and public administrators.", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## 3.6.1. Data alterations and financial sustainability\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, before they are published online. The most common concerns of this type are (from Open Public Data: Then What? - Part 1):\n\n - 1. Opening up PSI causes those data to not be produced anymore, or to be only produced as private property by private corporations, because the public agencies whose job was to produce those data, can't sell them anymore.\n - 2. total accessibility of data provides more incentives to tinker with them, at the risk of reducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account is that, once data are open, routinely used and monitored by as many independent users as possible, even the cost of keeping them up to date may be sensibly reduced: in other words, in the medium/long term Open Data may reduce the need to periodically perform complete, that is very expensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public office that used to create and maintain them, this problem would only exist for the PSI datasets that are already sold today. Such data, even if of strategic importance as is the case with digital cartography, are only a minimal fraction of all the PSI that could and should be opened to increase transparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n - · the money to generate the data already arrives by some other source than sales and licensing(but even with those data it may be possible to generate them by crowdsourcing, thereby reducing those costs!)\n - · the only extra expense caused by publishing those data online (assuming they're already available in some digital format, of course!), would be the hosting and bandwidth costs, that may be greatly reduced by mirroring and other technical solutions like torrents, already widely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n## 3.6.2. Real impact of data manipulation or misunderstanding\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but to simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance of occasions to secretly play with data and how they are managed is a symptom of excessive, or peak complexity: again, problems and risks with Open Data are a symptom of a [pre-", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n## 2.3. Open Data in Latin America, Asia and Africa\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of local interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better in countries where it already exists and which share a great amount of history and cultural/philosophical values .\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to create data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\nin Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## Open Data: Emerging trends, issues and best practices\n\n## a research project about openness of public data in EU local administration\n\nby Marco Fioretti for the Laboratory of Economics and Management of Scuola Superiore Sant'Anna, Pisa\n\nThis report is part of the 'Open Data, Open Society' Project financed through the DIME network (Dynamics of Institutions and Markets in Europe, www.dime-eu.org) as part of DIME Work Package 6.8, coordinated by Professor Giulio Bottazzi", - "page_start": 0, - "page_end": 0, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## 1. Introduction\n\nThis report is the final deliverable of the Open Data, Open Society research project. It follows the publication of the Open Data, Open Society report, finished in late October 2010 and published in early January 2011. That first report focused on explaining the critical importance of digital data in contemporary society and business activities; defining Open Data; giving examples on their potential, especially at the local level, on transparency and economics activities; finally, defining summarizing some general best practices.\n\nThis second report looks at what happened in the Open Data arena after October 2010. After some considerations on the general social and political background in late 2010/early 2011, it is divided in two main parts. The first describes some emerging trends and issues related to Open Data, that got minor or no coverage in the first report. The second part discusses some practices and actions to follow to deal with those trends and issues.\n\n## 2. Social and political landscape\n\nIt is worthwhile to begin by mentioning several events, happened between the end of 2010 and the first months of 2011, that can help to understand what will be the place and role of Open Data in the future, as well as the challenges faced by its advocates.\n\nThe first two are the Spanish \"Indignados\" and the Arab Spring. The first movement has among its goals \"a change in society and an increase in social awareness\" . The Arab Spring, as L. Millar put it on the New Zealand Computer Society website, \"demonstrated the potency of technology to reflect citizens' views of government systems that are not transparent.\" As a consequence, noted the Afrinnovator blog, \"we have seen from the civil disobedience in the North of Africa and the Middle East, the appetite for more accountable and transparent government will only grow from here on\" . From this analysis it looks like, in a way, both the Indignados and the participants to the Arab Spring are (also) asking for Open Data, even if they aren't using the term and many participants to these grassroots movement may still ignore its definition, that was born inside hackers and Public Administration circles.\n\nTwo other important events that, in different ways and at different levels, prove the importance of Open Data are the Fukushima nuclear accident and the Cablegate, which we'll analyze in the next", - "page_start": 2, - "page_end": 2, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n\" on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n## 2.1. Wikileaks and the Open Data movement\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is actually doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "by David Osimo in EU eGov action plan published: the good, the bad and the unknown, are the actions on Open Data (a EU portal and a revision of the EU PSI directive), and on citizens control over their data. However the Action Plan contains no reference to the need for a more open and collaborative governance.\n\nIn the case of European Structural Funds, as Luigi Reggi reported in March 2011:\n\nthere is no single point of access to the data. Hundreds of Managing Authorities are following different paths and implementing different information strategies when opening up their data.\n\nMany databases (often simple PDF lists) [...show...] huge variation not only in the way they can be accessed but also in content and quality of data provided.\n\n - ... [...The results of...] an independent web-based survey on the overall quality of data published by each Managing Authority responsible for the 434 Operational Programmes approved in July 2009... can be summarized as follows:\n\nThe use of open, machine-processable and linked-data formats have unexpected advantages in terms of transparency and re-use of the data by the public and private sector. The application of these technical principles does not need extra budget or major changes in government organization and information management; nor does it require the update of existing software and infrastructures. What is needed today is the promotion among national and local authorities of the culture of transparency and the raising of awareness of the benefits that could derive from opening up existing data and information in a re-usable way.\n\nThe European Cohesion Policy is only halfway to accomplishing a paradigm shift to open data, with differences in performance both between and - in some cases - within European Countries.\n\nThings don't go much better for the European Union in the energy field. Carlo Stagnaro wrote in EU Energy Orwellianism: Ignorance Is Strength:\n\nEnergy is an active area of EU public policy. Yet authorities are not revealing information (data is surely has) that is crucial to determine whether its policies are distorting the market and come at too high a cost to society. This is a major fault in Europe's credibility in advancing its policy goals, as well as a serious limitation to the accountability of the policy making process\n\nWe realized that, while strongly supporting green investments the EU does not know, or does not make it public, how much is spent every year on green subsidies... With regard to green jobs, several estimates exist, but no official figure is provided.\n\nMore recently... I discovered that Eurostat does not tell how much coal capacity is installed - as opposed to natural gas- or oil-fueled generation plants. It is possible to know how much coal is used, but not the amount of fixed capital which is invested in", - "page_start": 6, - "page_end": 6, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "- 22.Thinking About Africa's Open Data\n - 23.Towards EU Benchmarking 2.0 - Transparency and Open Data on Structural Funds in Europe\n - 24.UK Open Government Licence removes barriers to re-use of public sector information\n - 25.Western Europe: A journey through tech for transparency projects\n - 26.What open data means to marginalized communities\n - 27.What's in a Name? Open Gov and Good Gov\n - 28.WikiLeaks Relationship With the Media\n - 29.WikiLeaks, Open Information and Effective Use: Exploring the Limits of Open Government", - "page_start": 33, - "page_end": 33, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## 4. Conclusion: seven Open Data strategy and best practices suggestions\n\nStarting from the trends and conclusion described in the previous chapter, this section lists, in the most synthetic way possible, some strategic actions and best practices for 2011, that we consider important in making Open Data succeed and bring the greatest possible benefits to all citizens and businesses.\n\n## 4.1. Properly define and explain both Open Data and Public Data\n\nJust because Open Data is becoming more popular (and, we may say, more and more necessary every year), it is essential to intensify efforts to explain, both to the general public and to public administrators, that\n\n - 1. Privacy issues are almost always a non-issue. Quoting from What \"open data\" means and what it doesn't): Privacy and/or security concerns with putting all the government's data out there are a separate issue that shouldn't be confused with Open Data. Whether data should be made publicly available is where privacy concerns come into play. Once it has been determined that government data should be made public, then it should be done openly.\n - 2. Defining as Public and consequently opening them in the right way, much more data than those born and stored inside Public Administration is an urgent task that is in the best interest of all citizens and businesses\n\n## 4.2. Keep political issues separated by economics ones\n\nOpen Data can reduce the costs of Public Administrations and generate (or at least protect, as in the case of deals from local merchants) local jobs in all sectors of the economy, not just high-tech ones. There seems to be enough evidence for these two assertions to go for more Open Data even if they had no effect at all on participation to politics. This should always be kept in mind, also because some data that can directly stimulate business are not the same that would be useful for transparency.", - "page_start": 26, - "page_end": 26, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first is to protect a public administration from having to pay twice for those data, if it needs it again in the future for some other internal activity, not explicitly mentioned in the initial contract. The second reason is to not spend more than what is absolutely necessary to respond to public records requests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is sharing it with all the citizens using the public services based on those data. A real world example of this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bikesharing scheme started in May 2009, through a partnerships with a private company: JCDecaux finances the infrastructure and operates it, in exchange for advertising space on the bikes themselves and on billboards at the bike sharing stations. The availability of bikes and parking spaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website that reuses those data to measure where and how often there aren't enough available bikes and parking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated it to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because citizens could monitor the service by themselves, were possible just because the data from the official website were legally and automatically reusable.\n\n## 3.4. The price of digitization\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if it is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that already existed and must be fixed anyway, regardless (again) of openness. Any substantial increase of efficiency and reduction of the costs of Public Administrations can only happen when data and procedures are digitized. The problem is that such digitization (which, obviously, must happen anyway sooner or later) can be very expensive and we are only now starting to really realize how much. Actual, material costs are not the worst problem here. Activities like semi-automatic scanning of paper documents or typing again their content inside some database, are relatively low, one-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is really difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less automatic procedures and file templates, formats, habits and customs developed, maybe over", - "page_start": 13, - "page_end": 13, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "Open_Data_Report.pdf", - "query": "What are Steinberg's concerns about the government releasing all non-private existing data?", - "target_page": 28, - "target_passage": "The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\". The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## 4.3. Keep past and future separate\n\nFor the same reason why it is important to always distinguishes between political and economical advantages (or disadvantages) of Open Data, it is necessary to keep decisions about future data (those that will arrive in the future, due to new contracts, public services and so on) separate from those about data that already exist. At the end of 2010, T. Steinberg wrote that the idea that Government should publish everything non-private it can now is \"rather dangerous\", and that it would be much better to release nothing until someone actually asked for it, and at that point doing it right, that is with an open license and so on. The first reasons for Steinberg's concern is that asking for everything as soon as possible would \"stress the system too much, by spreading thin the finite amount of good will, money and political capital\" . The second is that many existing old data and data archival systems are, in practice, so uninteresting that it wouldn't make sense to spend resources in opening them.\n\nEven if these concerns were always true, it is important to realize that they apply (especially the second) to already existing data, not to future ones. The two classes of data have, or can have, very different constraints. Existing data may still exist only in paper format and/or be locked by closed or unclear licenses, or not relevant anymore for future decisions.\n\nOpening future data, instead, is almost always more important, useful urgent, easier and cheaper than digitizing or even only reformatting material that in many cases is already too old to make immediate, concrete differences. While this argument is probably not always true when we look at Open data for transparency, it probably is when it comes to economic development.\n\nTherefore, features and guidelines that should be present in all future data generation and management processes include:\n\n - · standardization: the less, obviously open, formats are used for data of the same type, the easier it is to merge and correlate them. The formats that have to be standardized are not only those at the pure software level. Even more important is, for example, to adopt by law standard identificators for government suppliers, names and machine-readable identifiers of budget voices and so on\n - · preparation for future digitization: new digital systems should explicitly be designed from the beginning so that it will be possible, when non-digital records will be digitized, to add them to the databases without modifying losses.\n - · Open licenses", - "page_start": 27, - "page_end": 27, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "digital, attacks to privacy and to civil rights in general can and are coming by so many other sides that those from (properly done) Open Data are a really tiny percentage of the total.\n\nThis is a consequence of the fact that data about us end up online from the most different sources (including ourselves and our acquaintances), and that often it would be very hard to discover, never mind prove , that they've been used against our interest. There have been concerns, for example, that insurance companies may charge higher fees for life insurance to those among their customers who... put online a family tree from which it shows that they come from families with an average life expectancy lower than usual.\n\nAssuming such concerns were real, would it always be possible to spot and prove such abuses of data, that weren't even published by any Public Administration? Of course, publishing online complete, official Census data of several generations, in a way that would make such automatic analysis possible would be a totally different matter.\n\nGetting rid of all the unjustified concerns about privacy is very simple, at least in theory. All is needed to dismiss for good the idea that Open Data is a generalized attack to privacy is to always remember and explain that:\n\n - 1. Most Open Data have nothing personal to begin with (examples: digital maps, budgets, air pollution measurements....)\n - 2. The majority of data that are directly related to individuals (e.g. things like names and address of people with specific diseases, or who were victims of some crime) have no reason to be published, nor there is any actual demand for them by Open Data advocates\n - 3. Exceptions that limit privacy for specific cases and categories of people (e.g. candidates to public offices, Government and Parliament members etc...) already exist in many countries\n - 4. Very often, in practice, Open Data struggles only happen about when and how to make available in the most effective way for society information that was already recognized as public. What to declare public, hence open, is indeed a serious issue (more on this in the next paragraph) but is a separate one.\n\n## 3.8. Need to better define what is Public Data\n\nTogether with citizens education, there is a huge challenge that Governments and the Open Data movement will have to face (hopefully together) in 2011 and beyond. This challenge is to update and expand the definition of Public Data and to have it accepted by lawmakers and public administrators.", - "page_start": 22, - "page_end": 22, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n\" on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n## 2.1. Wikileaks and the Open Data movement\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is actually doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "## 3.6.1. Data alterations and financial sustainability\n\nSome concerns about the limits of Open Data are about what may happen, or stop to happen, before they are published online. The most common concerns of this type are (from Open Public Data: Then What? - Part 1):\n\n - 1. Opening up PSI causes those data to not be produced anymore, or to be only produced as private property by private corporations, because the public agencies whose job was to produce those data, can't sell them anymore.\n - 2. total accessibility of data provides more incentives to tinker with them, at the risk of reducing trust in institutions and inhibiting decision-making even more than today.\n\nData manipulation is the topic of the next paragraph. Speaking of costs, a point to take into account is that, once data are open, routinely used and monitored by as many independent users as possible, even the cost of keeping them up to date may be sensibly reduced: in other words, in the medium/long term Open Data may reduce the need to periodically perform complete, that is very expensive, studies and surveys to update a whole corpus of data in one run.\n\nBesides, and above all, even if opening data always destroyed any source of income for the public office that used to create and maintain them, this problem would only exist for the PSI datasets that are already sold today. Such data, even if of strategic importance as is the case with digital cartography, are only a minimal fraction of all the PSI that could and should be opened to increase transparency, reduce the costs of Government and stimulate the economy. In all these other cases:\n\n - · the money to generate the data already arrives by some other source than sales and licensing(but even with those data it may be possible to generate them by crowdsourcing, thereby reducing those costs!)\n - · the only extra expense caused by publishing those data online (assuming they're already available in some digital format, of course!), would be the hosting and bandwidth costs, that may be greatly reduced by mirroring and other technical solutions like torrents, already widely used to distribute Free/Open Source Software (FOSS) through the Internet.\n\n## 3.6.2. Real impact of data manipulation or misunderstanding\n\nThe fix for the risk that data is manipulated is to not only open government data and procedures, but to simplify the latter (which eventually also greatly reduces cost) as much as possible. Abundance of occasions to secretly play with data and how they are managed is a symptom of excessive, or peak complexity: again, problems and risks with Open Data are a symptom of a [pre-", - "page_start": 16, - "page_end": 16, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "What is, exactly, Public Data? A definition that is accepted almost implicitly is \"data that is of public interest, that belongs to the whole community, data that every citizen is surely entitled to know and use\" . This definition is so generic that accepting it together with the assumption that all such data should be open as preached by the Open Data movement (online, as soon as possible, in machine readable format with an open license etc...) doesn't create any particular problem or conflict.\n\nReal problems however start as it has happened all too often so far, whenever we assume more or less consciously that \"Public Data\" in the sense defined above and data directly produced by Governments and Public Administrations, that is what's normally called PSI (Public Sector Information) are the same thing.\n\nThere is no doubt that Governments and Public Administrations produce huge quantities of Public Data. But this is an age of privatization of many public services, from transportation to healthcare, energy and water management. This is an age in which many activities with potentially very serious impacts on whole communities, like processing of hazardous substances or toxic waste, happen outside Public Administrations. The paradox is that, as Sasaki put it, this increased privatization is happening in the very same period in which \" we are observing a worldwide diffusion of access to information laws that empower citizens to hold government agencies accountable.\"\n\nIn such a context, \"Public Data\"is critical just because it is a much bigger set of data than what constitutes traditional, official PSI. \"Public Data\" includes all that information plus the much bigger amount of data describing and measuring all the activities of private companies, from bus timetables to packaged food ingredients, aqueducts performances and composition of fumes released in the atmosphere, that have a direct impact on the health and rights of all citizens of the communities affected by the activities of those companies.\n\nAre such data \"Public\" today, in the sense defined at the beginning of this paragraph, that is something every citizen has the right to know without intermediaries or delegates, or not? Should they be public? If yes, shouldn't law mandate that all such data be Open (that is, published online as soon as possible, in machine readable format with an open license etc...) just like, for example, the budget of some Ministry? Answering these questions may be one of the biggest challenges for the Open Data community, and for society as a whole, in the next years.\n\nHere are, in order to facilitate reflection on this issue, a few recent, real world examples of \"Public Data\" that are not PSI, and of the impacts of their lack of openness.", - "page_start": 23, - "page_end": 23, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "opinion, the Wikileaks experience proves the advantages of Open Data.\n\nWas Wikileaks right to publish the cable? Were the specific facts and behaviors uncovered by\n\nCablegate right or wrong? The answer to these questions are outside the scope of this document. Here we only wish to point out that Cablegate and Wikileaks, at least in the form we've known them so far, have been about:\n\n- · reacting to problems after they occurred\n- · without any intervention and involvement of the parties and organizations that may have behaved improperly\n\nOpen Data, instead, is about prevention of errors, abuses and inefficiencies, through conscious and continuous collaboration of citizens and governments officials during day to day operations, if not before their beginning.\n\nOf course, citizens must always check that they aren't getting incomplete or biased data. But in any case, Open Data means that the involved government officials aren't just prepared to see that data published, they know and accept it from the start. In such a context, some risks associated to Wikileaks, like the fact that the leaker lacks the means to influence the downstream use of the information, and therefore may harm anybody connected to the linked information, are almost nonexistent.\n\nAbove all, unlike the content of most Wikileaks documents, Open Data are almost always data that should surely be open, unlike wartime military reports, and that almost never contain any personal information. In summary, whatever the conclusions about Wikileaks are, they could not be conclusions against Open Data, because there are too many differences between the two movements.\n\n## 2.2. Data Openness in EU\n\nBoth the interest and the need for data openness at the European Union level remain high. Here, without making any complete analysis, we'll only report and comment a few relevant episodes. While studies continue to point at the political and economical advantages of Open Data, great inefficiencies and delays still keep the time and cost savings that could be achieved a far goal for the European Union.\n\nAll the principles of the Open Declaration (collaboration, transparency, empowerment) have been declared key areas of action of the new EC eGov action plan. Particularly important, as explained", - "page_start": 5, - "page_end": 5, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "existing] problem that is somewhere else.\n\nRegardless of the real probability of data alterations before they are published, the major problem happens after. We already mentioned in the first report the fact that, while correct interpretation of public data from the majority of average citizens is absolutely critical, the current situation, even in countries with (theoretical) high alphabetization and Internet access rates, is one in which most people still lack the skills needed for such analysis. Therefore, there surely is space for both intentional manipulation of PSI and for misunderstanding it. After the publication of the first report, we've encountered several examples of this danger, which are reported in the rest of this paragraph.\n\nBefore describing those cases, and in spite of them, it is necessary to point out one thing. While the impact on the general public (in terms of raising interest and enhancing participation) on the Open Data activity of 2010 is been, in many cases and as of today, still minimal, it is also true that there has been no big increase in demagogy, more or less manipulated scandals and conflictual discussion caused by Open Data. There has certainly been something of this in the Cablegate but that's not really relevant because, as we've already explained, what Wikileaks did is intrinsically different from Open Data. So far, negative or at least controversial reactions by manipulation and misunderstanding of Open Data haven't happened to such a scale to justify not opening PSI.\n\nThis said, let's look at some recent example of misunderstanding and/or manipulation based on (sometimes open) public digital data.\n\nNicolas Kayser-Bril mentioned a digital map of all the religious places in Russia, that shows [also] \"mosques that are no longer in use, so as to convey the idea that Muslims were invading Russia.\"\n\nIn September 2010 the Italian National Institute of Geophysics and Vulcanology officially declared in September 2010 that they were evaluating whether to stop publishing online Italy's seismic data, as they had been doing for years. The reason was that, following the March 2009 earthquake in Italy, the data were being used to \"come to conclusions without any basis at all\" , both by the press, to sell more, and by local politicians trying to hide the lack of preventive measures, like enforcing anti seismic construction codes.\n\nStill in Italy, Daniele Belleri runs a Milan crime mapping blog called \"Il giro della Nera\", making a big effort to explain to his readers the limits of the maps he publishes, and the potential for misunderstanding if they are used without preparation, or with wrong expectations. This is a synthesis of Belleri's explanation, also covered in other websites, that is applicable to any map-", - "page_start": 17, - "page_end": 17, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for the world) at the bus stops. Scanning the QR code now allows people to see not just the bus timetable, but also the notes other travelers have left on that stop, including \"what's nearby, who's waiting for whom, what number can you call for a good time. It's a cross between bus stop Facebook and digital graffiti\" , that happened thanks to the openness of the original bus stop data.\n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used them, how those people are connected and what conversations happen around Open Data.\n\n## 3.3. Legal issues remain crucial\n\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this rule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing Eaves, until a government get the licensing issue right, Open Data cannot bring all the possible benefits in that country. If there are no guarantees that public data can be used without restriction, very little happens in practice, and when it happens it may be something against the public interest.\n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process and analyze official crime data, also publishes online, with a proprietary license, anonymized summaries of those data. When in 2010 another company, Report See Inc, scraped those data from their website to reuse them, Public Engines sued.\n\nReporting this, D. Eaves rightly points out that both companies are right: one is trying to protect its investment, the other is simply trying to reuse what IS public data, by getting it from the ONLY place where it's available. This is what happens when public officials leave the ownership of public data to the third parties hired to collect them. Please note that, in practice, it makes very little difference whether those third parties are private, for-profit corporations or even other Public Administrations. Unless, of course, there are national laws already in place that define in advance what is the license of all present and future Public Data, no matter how they were generated and by whom , those data can be lost in any moment for society. In all other cases, the legal status of data will be either officially closed and locked, or uncertain enough to prevent most or all reuses. In February 2011, the news came that, even if they weren't the original copyright holders, Public Engines had been able to put together enough legal claims to convince Report See to give up.\n\nDisputes like this should not happen and would not happen if all contracts regarding collection and management of PSI clearly specified that all the resulting data either go directly into the public domain (after being anonymized if necessary, of course) or remain exclusive property of the", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "coal plants. If data are not available, every conclusion is questionable because it relies on assumptions or estimates.\n\n## 2.3. Open Data in Latin America, Asia and Africa\n\nSeveral countries in Latin America are studying and making experiments with Open Data both at the government and at the grassroots level. The same is happening, on a much smaller scale, in a few parts of Asia and Africa. On average, the volume of these Open Data experiments and the level of local interest and awareness around them is still lower than what is happening in Europe and North America. In spite of this we suggest that it is important, for public officials and civic activists in Western Countries, to follow these developments closely. The reason is that they may turn into very useful test beds for all the strengths and limits of Open Data, especially those not encountered yet where the movement was born.\n\nIn fact, the original discourse and arguments around Open Data are heavily Western centric. The problem they want to solve is how to make democracy work better in countries where it already exists and which share a great amount of history and cultural/philosophical values .\n\nOther countries face very different challenges, from the philosophical level to the practical one. A common issue in developing countries, for example, is that there is very little to open simply because much PSI (Public Sector Information) doesn't exist in digital format yet. Therefore, the first thing to do is to create data, normally through outsourcing and crowd sourcing.\n\nOther issues, that will be discussed in detail in other sections of the report because they are also present in Europe in different forms, are related to lack of equal opportunities for access to data and serious fears (sometimes, concrete, sometimes caused by confusion about what should be open and how) that data will be used against citizens. A commenter to Gurstein's Open Data: Empowering the Empowered or Effective Data Use for Everyone? said:\n\nin Delhi and Mumbai, mobs and rioters managed to get information about particular identity groups through voter rolls: openness is, in certain situations, a precarious virtue. It is almost certain that Open Data would be used to rig election but here again openness is not the issue, they would find it anyway...\n\nSo far, the main interest about Open Data in Asian countries seems limited, so to speak, to its effects on transparency in politics. At a two-weeks programming contest held at the end of 2010 in Thailand, for example, one of the most appreciated entries was a software scraper of the Thailand's Member of House of Representative Website, that made it possible for everybody to create applications using those data.", - "page_start": 7, - "page_end": 7, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "government. Even ignoring data openness, this is essential for at least three other reasons. The first is to protect a public administration from having to pay twice for those data, if it needs it again in the future for some other internal activity, not explicitly mentioned in the initial contract. The second reason is to not spend more than what is absolutely necessary to respond to public records requests, that is to comply with Freedom of Information laws.\n\nThe final reason is to guarantee quality assurance and detection of abuses at the smallest cost, that is sharing it with all the citizens using the public services based on those data. A real world example of this point comes from the \"Where's My Villo?\" service in Brussels. Villo! is a city-wide bikesharing scheme started in May 2009, through a partnerships with a private company: JCDecaux finances the infrastructure and operates it, in exchange for advertising space on the bikes themselves and on billboards at the bike sharing stations. The availability of bikes and parking spaces of each station is published online in real time on the official Villo's website.\n\nWhen the quality of service decreased, some citizens started \"Where's My Villo?\", another website that reuses those data to measure where and how often there aren't enough available bikes and parking spaces, in a way that made it impossible for JCDecaux to deny the problems and stimulated it to fix them. Both this happy ending and the fact that it came at almost no cost to the city, because citizens could monitor the service by themselves, were possible just because the data from the official website were legally and automatically reusable.\n\n## 3.4. The price of digitization\n\nIn practice, public data can be opened at affordable costs, in a useful and easily usable way, only if it is in digital format. As a consequence of this fact, demand for Open Data exposes a problem that already existed and must be fixed anyway, regardless (again) of openness. Any substantial increase of efficiency and reduction of the costs of Public Administrations can only happen when data and procedures are digitized. The problem is that such digitization (which, obviously, must happen anyway sooner or later) can be very expensive and we are only now starting to really realize how much. Actual, material costs are not the worst problem here. Activities like semi-automatic scanning of paper documents or typing again their content inside some database, are relatively low, one-time expenses that are also very easy to calculate and budget in advance with great precision.\n\nThe real costs are those at the social, cultural, historical and workflow reorganization level. What is really difficult, that is expensive in ways that are hard to predict, is to fit inside digital, more or less automatic procedures and file templates, formats, habits and customs developed, maybe over", - "page_start": 13, - "page_end": 13, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "How did serum estradiol and progesterone levels change during pregnancy?", - "target_page": 2, - "target_passage": "Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Fig. 1 | Precision imaging reveals neuroanatomical changes throughout gestation. a , Standard medical demarcations for pregnancy stages (that is, trimesters) by gestation week (the image is created with BioRender.com). b , Steroid hormones increased significantly throughout pregnancy and dropped precipitously postpartum, as is characteristic of the prenatal and postnatal periods. c , A healthy 38-year-old primiparous woman underwent 26 scanning sessions from 3 weeks preconception through 2 years postpartum. Scans were distributed throughout preconception (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans); tick marks indicate when major measures were collected and\n\n\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve pregnancy, allowing for precise mapping of ovulation, conception and gestation week. d , Summary (that is, total) of brain measures throughout the experiment. Generalized additive models revealed GMV, CT and total brain volume decreased throughout pregnancy (see Methods for validation with cubic regression), with a slight recovery postpartum. Global QA, lateral ventricle and CSF volumes displayed nonlinear increases across gestation, with a notable rise in the second and third trimesters before dropping sharply postpartum. Shaded regions represent 95% confidence bands; solid lines indicate model fit; dashed line indicates parturition.\n\n## Discussion\n\nConverging evidence across mammalian species points to pregnancy as a remarkable period of neuroplasticity, revealing the brain's ability to undergo adaptive, hormonally-driven neuroanatomical changes beyond adolescence 13-15,20,21,24-26 . Investigations that compare women\n\nprepregnancy and then again postpartum provide the strongest evidence to date that the human brain undergoes such neural changes 11,27 . But what about pregnancy itself? Over what time course do anatomical changes in the maternal brain manifest? Are they tied to the substantial increase in sex hormone production? Here we begin to address these", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "## Neuroanatomical changes observed over the course of a human pregnancy\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\nCheck for updates\n\nLaura Pritschet 1 , Caitlin M. Taylor 1 , Daniela Cossio 2 , Joshua Faskowitz 3 , Tyler Santander 1 , Daniel A. Handwerker 3 , Hannah Grotzinger 1 , Evan Layher 1 , Elizabeth R. Chrastil 2,5 &\n\nEmily G. Jacobs 1,4,5\n\nPregnancy is a period of profound hormonal and physiological changes experienced by millions of women annually, yet the neural changes unfolding in the maternal brain throughout gestation are not well studied in humans. Leveraging precision imaging, we mapped neuroanatomical changes in an individual from preconception through 2 years postpartum. Pronounced decreases in gray matter volume and cortical thickness were evident across the brain, standing in contrast to increases in white matter microstructural integrity, ventricle volume and cerebrospinal /fluid, with few regions untouched by the transition to motherhood. This dataset serves as a comprehensive map of the human brain across gestation, providing an open-access resource for the brain imaging community to further explore and understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies in their lifetime 1 , with 140 million women becoming pregnant each year. Over an approximately 40-week gestational window, the maternal body undergoes profound physiological adaptations to support the development of the fetus, including increases in plasma volume, metabolic rate, oxygen consumption and immune regulation 2 . These rapid adaptations are initiated by 100-fold to 1,000-fold increases in hormone production, including estrogen and progesterone. These neuromodulatory hormones also drive significant reorganization of the central nervous system. Evidence from animal models and human studies converge on pregnancy as a period of remarkable neuroplasticity 3-10 (see ref. 10 for one of the earliest known observations). Gestational increases in steroid hormone synthesis drive neurogenesis, dendritic spine growth, microglial proliferation, myelination and astrocyte remodeling (for review, see ref. 11). These cellular changes are pronounced in brain circuits that promote maternal behavior. For example, Ammari et al. recently discovered that steroid hormones can fine-tune the response properties of galanin neurons in the rodent medial preoptic area of the hypothalamus (mPOA), leading to enhanced sensitivity in dams to sensory cues from newborn pups 12 .\n\nIn humans, reductions in gray matter volume (GMV) have been observed postpartum 13-16 , particularly in regions central to theory-of-mind processing 13 . These GMV changes persist at 6 years postpartum 17 and are traceable decades later 18,19 , underscoring the permanence of this major remodeling event. And yet the changes that occur within the maternal brain during gestation itself are virtually unknown (see ref. 20 for early neuroimaging insight). A recent study by Paternina-Die et al. offers intriguing clues 21 . Women were scanned once in the third trimester and again in the postpartum period, revealing a reduction of cortical volume observable in the late pregnancy scan. These findings suggest that pregnancy is a highly dynamic period for neural remodeling, yet neuroscientists lack a detailed map of how the human brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in which a healthy 38-year-old primiparous woman underwent 26 magnetic resonance imaging (MRI) scans and venipuncture beginning 3 weeks preconception through 2 years postpartum. We observed widespread reductions in cortical GMV and cortical thickness (CT) occurring in step with advancing gestational week and the dramatic rise in sex hormone production. Remodeling was also evident within\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "## Methods\n\n## Participant\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. Previous studies reported no observable differences in neural changes from prepregnancy to postpregnancy between women who conceived naturally versus women who conceived via IVF 13 , and doing so provides a controlled way of monitoring pregnancy status. The participant experienced no pregnancy complications (for example, gestational diabetes and hypertension), delivered at full term via vaginal birth, nursed through 16 months postpartum, and had no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking. The participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\n## Study design\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks before conception through 2 years postpartum (162 weeks), during which high-resolution anatomical and diffusion spectrum imaging scans of the brain were acquired. Scans were distributed throughout this period, including prepregnancy (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans; Fig. 1c). The first 6 sessions took place at the UCSB Brain Imaging Center (BIC), the final 20 sessions took place at the UCI Facility for Imaging and Brain Research (FIBRE). The majority of scans took place between 9 AM and 2 PM, limiting significant AM-PM fluctuations 49 . The MRI protocol, scanner (Siemens 3T Prisma) and software (version MR E11) were identical across sites. Each scanner was checked weekly for the duration of the study and passed all QC reports indicating no significant alterations in the geometry. To ensure the robustness of the findings, after the final study session, the participant completed back-to-back validation scans at UCI and UCSB within a 12-h window to assess reliability between scanners. Intraclass correlation coefficients (two-way, random effects, absolute agreement, single rater) reveal 'excellent' test-retest reliability between scanners, including ROI-level GMV (ICC = 0.97, 95% CI: 0.80-0.99), ROI-level CT (ICC = 0.96, 95% CI: 0.90-0.98), MTL subfield volume (ICC = 0.99, 95% CI: 0.97-0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91-0.97). Furthermore, when examining the relationship between gestation week and GMV among UCI-only gestational sessions, findings were consistent (Supplementary Fig. 12), indicating that site differences are highly unlikely to have contributed meaningfully to the observed effects. Although not applicable here, we note that having a control participant scanned over a similar duration within the same scanner is critical for estimating how much variation in the brain can be attributed to within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the following scales were administered on each experiment day: Perceived Stress Scale 50 , Pittsburgh Sleep Quality Index 51 , State-Trait Anxiety Inventory for Adults 52 and Profile of Mood States 53 . Correlation analyses between state-dependent measures, summary brain metrics and gestation week revealed little to no relationships. The only exception to this was a moderate negative association between global QA and state anxiety (Spearman's correlation ( ρ ) = -0.65, q = 0.04; baseline-36 weeks, n = 16). By making this data openly accessible, we encourage a more nuanced approach toward exploring mood and lifestyle measures in relation to brain changes over pregnancy.\n\n## Endocrine procedures\n\nThe participant underwent a blood draw ( n = 19; Fig. 1c) before MRI scanning. Sex steroid concentrations were determined via ultra-sensitive liquid chromatography-mass spectrometry at the Brigham and Women's Hospital Research Assay Core (BRAC). Assay sensitivities, dynamic range and intra-assay coefficients of variation", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain-indicating greater tract integrity-as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n## Results\n\n## Serological evaluations\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml -1 and progesterone (P) = 0.84 ng ml -1 ; 3 weeks preparturition, E = 12,400 pg ml -1 and P = 103 ng ml -1 ; 3 months postparturition, E = 11.50 pg ml -1 and P = 0.04 ng ml -1 ).\n\n## Whole-brain dynamics from baseline through postpartum\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline-2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV ( F = 27.87, P < 0.001, deviance explained = 93.9%, R 2 adj = 0.91), summary CT ( F = 15.79, P < 0.001, deviance explained = 78.6%, R 2 adj = 0.75) and total brain volume ( F = 26.12, P < 0.001, deviance explained = 93.4%, R 2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, R 2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.77) and increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n## Cortical volume and thickness changes tied to gestation\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline-36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Cortical GMV and CT . We then narrowed our analyses to the first 19 sessions (baseline-36 weeks gestation) to assess novel brain changes occurring over the gestational window. We first computed Pearson's product-moment correlation matrices between the following variables: gestation week, estradiol, progesterone and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then ran the analyses again to include total GMV in the regression model (Supplementary Table 2). This was extended to the network level, where we ran partial correlations accounting for total GMV. These same analyses were then run with CT measures. Globally-corrected results provided in Supplementary Tables 1-5. Percent change at the network level was computed by subtracting the final pregnancy value (36 weeks pregnant) from the first prepregnancy baseline value, then dividing that difference by said first prepregnancy baseline value. All analyses underwent multiple comparisons testing (false discovery rate (FDR)-corrected at q < 0.05).\n\nSubcortical GMV . A similar statistical approach was taken for subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by gestation week (FDR-corrected at q < 0.05).\n\nTo evaluate the relationship between gestation week and MTL subregion volume over pregnancy ( n = 7 bilateral subregions and n = 18 MTL scans), we used a combination of linear and nonlinear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described in 'Summary brain metrics'). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for CA1 and CA2/CA3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of total GMV calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if they met FDR correction at q < 0.05.\n\nWhite matter microstructure . DSI Studio's correlational tractography 74 was used to analyze the relationship between white matter structure and gestational week ( n = 16). A truncated model was run to examine the relationship between white matter and sex steroid hormones ( n = 14) for the subset of diffusion scans with paired endocrine data during gestation. A nonparametric Spearman's correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of interest (QA and MD; see Supplementary Table 9 and Supplementary Fig. 10 for MD results) because the data were not normally distributed. Statistical inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The correlational tractography was run with the following parameters: t score threshold of 2.5, four pruning iterations and a length threshold of 25 voxel distance. To estimate the FDR, a total of 4,000 randomized permutations were applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, suggested by DSI Studio), and contained at least ten tracts. For visualization of global and tract QA at each gestational stage, mean QA values were extracted using DSI Studio's whole-brain fiber tracking algorithm and ROI-based tracking using the default HCP842 atlas 78 .", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "were as follows: estradiol-1.0 pg ml -1 , 1-500 pg ml -1 , <5% relative s.d. (RSD); progesterone-0.05 ng ml -1 , 0.05-10 ng ml -1 , 9.33% RSD. Serological samples were not acquired in five sessions due to scheduling conflicts with UC Irvine's Center for Clinical Research.\n\nMRI acquisition . MRI scanning sessions at the University of California, Santa Barbara and Irvine were conducted on 3T Prisma scanners equipped with 64-channel phased-array head/neck coil (of which 50 coils are used for axial brain imaging). High-resolution anatomical scans were acquired using a T1-weighted (T1w) magnetization prepared rapid gradient echo (MPRAGE) sequence (repetition time (TR) = 2,500 ms, time to echo (TE) = 2.31 ms, inversion time (TI) = 934 ms, flip angle = 7°, 0.8 mm thickness) followed by a gradient echo field map (TR = 758 ms, TE1 = 4.92 ms, TE2 = 7.38 ms, flip angle = 60°). A T2-weighted (T2w) turbo spin echo scan was also acquired with an oblique coronal orientation positioned orthogonally to the main axis of the hippocampus (TR/ TE = 9,860/50 ms, flip angle = 122°, 0.4 × 0.4 mm 2 in-plane resolution, 2-mm slice thickness, 38 interleaved slices with no gap, total acquisition time = 5 min and 42 sec). The Diffusion Spectrum Imaging (DSI) protocol sampled the entire brain with the following parameters: single phase, TR = 4,300 ms, echo time = 100.2 ms, 139 directions, b -max = 4,990, FoV = 259 × 259 mm, 78 slices, 1.7986 × 1.7986 × 1.8 mm voxel resolution. These images were linearly registered to the whole-brain T1w MPRAGE image. A custom foam headcase was used to provide extra padding around the head and neck, as well as to minimize head motion. Additionally, a custom-built sound-absorbing foam girdle was placed around the participant's waist to attenuate sound near the fetus during second-trimester and third-trimester scanning.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "## White matter microstructure changes tied to gestation\n\nIn contrast to decreasing global GMV, correlational tractography of white matter, which tests for linear trends in the data, revealed increasing microstructural integrity across the whole brain during gestation (Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone (all q < 0.001; Supplementary Fig. 9). Tracts displaying robust correlations with gestational week included the corpus callosum, arcuate fasciculus, inferior fronto-occipital fasciculus and inferior longitudinal fasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior longitudinal fasciculus, corticostriatal, corticospinal and corticopontine tracts (see Supplementary Table 9 for complete list).\n\n## Comparing brain changes across pregnancy against controls\n\nWe then compared the changes in GMV across gestation to that of typical variability over time, derived from eight densely-sampled controls 23 . The GMV changes we see across pregnancy far exceed normative brain variability (Supplementary Fig. 11). On average, change in cortical GMV was nearly three times higher than controls scanned over a similar duration (Supplementary Fig. 11a,b). This extends to MTL subfields, wherein change in volume was three to four times greater across gestation than normative brain variability (Supplementary Fig. 11c,d). We contextualized these findings further by comparing gestational GMV change against our participant's preconception brain volumes; average GMV change during pregnancy was six times (cortical) and three times (MTL) higher than the variability observed between baseline sessions.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Critically, dynamic neural changes occurred within the pregnancy window itself, a nuance not captured by studies limited to comparisons between prepregnancy and postpregnancy. For example, we observed large increases in white matter microstructural integrity (QA) throughout the first and second trimesters of pregnancy, but these measures fully returned to baseline values by the first postpartum scan. This pattern may explain why previous studies report no pregnancy-related differences in white matter tractography 14 . Other measures, such as GMV and CT, decreased throughout gestation and displayed only a modest rebound postpartum. These nonlinear patterns suggest that only quantifying prepregnancy and postpartum brain structure may\n\nPHC\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "participant's first two baseline scans (that is, preconception) to derive within-participant variability estimates.\n\nBenchmarking our data in this way allows us to capture the degree of change expected due to factors such as image processing and instrumentation variability or other day-to-day changes that could potentially modulate brain size and shape (see ref. 80 for review). The percent change observed over pregnancy (baseline versus 36 weeks gestation) far exceeds the expected variability estimated using both the Day2Day dataset (Supplementary Fig. 11) and our within-participant control data. This was quantified by dividing the observed percent change in GMV metrics (baseline versus 36 weeks) by the global measure of GMV percent variability of each control group (that is, Day2Day, within-participant control), independently for cortex and subcortex.\n\n## Reporting summary\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n## Data availability\n\nThe dataset consists of 26 MRI scans (T1w, T2w and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The raw data is publicly available at https://openneuro.org/datasets/ds005299. Source data are provided with this paper.\n\n## Code availability\n\nNo custom code was used.\n\n## References", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed4.pdf" - }, - { - "text": "## References\n\n- 1. World Health Organization. Maternal, newborn, child and adolescent health and ageing. platform.who.int/data/ maternal-newborn-child-adolescent-ageing (2022).\n- 2. Thornburg, K. L., Bagby, S. P. & Giraud, G. D. Knobil and Neill's Physiology of Reproduction pp. 1927-1955 (Elsevier, 2015).\n- 3. Brunton, P. J. & Russell, J. A. The expectant brain: adapting for motherhood. Nat. Rev. Neurosci. 9 , 11-25 (2008).\n- 4. Gregg, C. Pregnancy, prolactin and white matter regeneration. J. Neurol. Sci. 285 , 22-27 (2009).\n- 5. Haim, A. et al. A survey of neuroimmune changes in pregnant and postpartum female rats. Brain Behav. Immun. 59 , 67-78 (2017).\n- 6. Barrière, D. A. et al. Brain orchestration of pregnancy and maternal behavior in mice: a longitudinal morphometric study. NeuroImage 230 , 117776 (2021).\n- 7. Celik, A., Somer, M., Kukreja, B., Wu, T. & Kalish, B. T. The genomic architecture of pregnancy-associated plasticity in the maternal mouse hippocampus. eNeuro 9 , ENEURO.0117-22. 2022 (2022).\n- 8. Puri, T. A., Richard, J. E. & Galea, L. A. M. Beyond sex di/fferences: short- and long-term e/ffects of pregnancy on the brain. Trends Neurosci. 46 , 459-471 (2023).\n- 9. Chaker, Z. et al. Pregnancy-responsive pools of adult neural stem cells for transient neurogenesis in mothers. Science 382 , 958-963 (2023).\n- 10. Diamond, M. C., Johnson, R. E. & Ingham, C. Brain plasticity induced by environment and pregnancy. Int. J. Neurosci. 2 , 171-178 (1971).\n- 11. Servin-Barthet, C. et al. The transition to motherhood: linking hormones, brain and behaviour. Nat. Rev. Neurosci. 24 , 605-619 (2023).\n- 12. Ammari, R. et al. Hormone-mediated neural remodeling orchestrates parenting onset during pregnancy. Science 382 , 76-81 (2023).\n- 13. Hoekzema, E. et al. Pregnancy leads to long-lasting changes in human brain structure. Nat. Neurosci. 20 , 287-296 (2017).\n- 14. Hoekzema, E. et al. Mapping the e/ffects of pregnancy on resting state brain activity, white matter microstructure, neural metabolite concentrations and grey matter architecture. Nat. Commun. 13 , 6931 (2022).\n- 15. Martínez-García, M., Paternina-Die, M., Desco, M., Vilarroya, O. & Carmona, S. Characterizing the brain structural adaptations across the motherhood transition. Front. Glob. Womens Health 2 , 742775 (2021).\n- 16. Spalek, K. et al. Pregnancy renders anatomical changes in hypothalamic substructures of the human brain that relate to aspects of maternal behavior. Psychoneuroendocrinology 164 , 107021 (2024).\n- 17. Martínez-García, M. et al. Do pregnancy-induced brain changes reverse? The brain of a mother six years after parturition. Brain Sci. 11 , 168 (2021b).\n- 18. De Lange, A.-M. G. et al. Population-based neuroimaging reveals traces of childbirth in the maternal brain. Proc. Natl Acad. Sci. USA 116 , 22341-22346 (2019).", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "Which cortical sub-networks were particularly sensitive to pregnancy?", - "target_page": 2, - "target_passage": "Several sensory and attention subnetworks were particu- larly sensitive to gestation, including the control (subnetwork B), sali- ence ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Changes in GMV were near-ubiquitous across the cortical mantle (Fig. 2a). Most large-scale brain networks exhibited decreases in GMV (Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of interest (ROI) demonstrated negative relationships between GMV and gestation week (Fig. 2a and Supplementary Table 2). Together, these results provide evidence of a global decrease in cortical volume across pregnancy. Several sensory and attention subnetworks were particularly sensitive to gestation, including the control (subnetwork B), salience/ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks (Supplementary Table 1). Regions driving these network-level changes include the bilateral inferior parietal lobe, postcentral gyri, insulae, prefrontal cortex, posterior cingulate and somatosensory cortex (Fig. 2c, Supplementary Table 2 and validation of findings using alternate pipeline in Supplementary Tables 1 and 3). These regions and\n\nassociated brain networks appear to decrease in volume at a faster rate than the rest of the brain throughout pregnancy, as determined by a subsequent analysis controlling for total GMV (Supplementary Tables 1 and 2). GMV reductions were also significantly correlated with the participant's estradiol and progesterone concentrations (Supplementary Table 1). A highly similar pattern of results was observed when examining pregnancy-related CT changes (Supplementary Fig. 3 and Supplementary Tables 4 and 5). Significant reductions in cortical GMV over gestation remained after controlling for standard quality control (QC) metrics, albeit with some influence on the magnitude and location of the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork C), limbic (subnetworks A and B) and visual peripheral networks buck the global trend by slightly increasing (for example, temporal poles), remaining constant (for example, orbitofrontal cortex) or reducing at a much slower rate (for example, extrastriate cortex) than total GMV (Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these regions exhibit similar patterns (Supplementary Fig. 3 and Supplementary Tables 4 and 5).\n\n## Subcortical GMV changes tied to gestation\n\nConsistent with the broader cortical reductions in GMV, several subcortical regions significantly reduced in volume across gestation (Fig. 3a, left). This included bilateral ventral diencephalon (right hemisphere values shown in Fig. 3a, right; encompasses hypothalamus, substantia nigra, mammillary body, lateral geniculate nucleus and red nucleus among others 22 ), caudate, hippocampus and thalamus, along with left putamen and brain stem (Supplementary Table 6, q < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to interrogate subcortical structures at a finer resolution, revealing nonlinear volumetric decreases in CA1 ( F (2,15) = 5.84, q = 0.031, R 2 adj = 0.36; Fig. 3b, left) and CA2/CA3 ( F (2,15) = 6.82, q = 0.027, R 2 adj = 0.41; Fig. 3b, middle) across gestation. PHC exhibited linear volumetric decreases across gestation ( F (1,16) = 24.87, q < 0.001, R 2 adj = 0.58; Fig. 3b, right) which was also tied to estradiol ( F (1,12) = 20.21, q = 0.005, R 2 adj = 0.60). All three relationships remained significant after proportional correction for total GMV. There was no significant change in other subregions or total volume of the hippocampal body, or in the parahippocampal gyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n## White matter microstructure changes tied to gestation", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "Critically, dynamic neural changes occurred within the pregnancy window itself, a nuance not captured by studies limited to comparisons between prepregnancy and postpregnancy. For example, we observed large increases in white matter microstructural integrity (QA) throughout the first and second trimesters of pregnancy, but these measures fully returned to baseline values by the first postpartum scan. This pattern may explain why previous studies report no pregnancy-related differences in white matter tractography 14 . Other measures, such as GMV and CT, decreased throughout gestation and displayed only a modest rebound postpartum. These nonlinear patterns suggest that only quantifying prepregnancy and postpartum brain structure may\n\nPHC\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "Fig. 1 | Precision imaging reveals neuroanatomical changes throughout gestation. a , Standard medical demarcations for pregnancy stages (that is, trimesters) by gestation week (the image is created with BioRender.com). b , Steroid hormones increased significantly throughout pregnancy and dropped precipitously postpartum, as is characteristic of the prenatal and postnatal periods. c , A healthy 38-year-old primiparous woman underwent 26 scanning sessions from 3 weeks preconception through 2 years postpartum. Scans were distributed throughout preconception (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans); tick marks indicate when major measures were collected and\n\n\n\ncolors denote pregnancy stage. The participant underwent IVF to achieve pregnancy, allowing for precise mapping of ovulation, conception and gestation week. d , Summary (that is, total) of brain measures throughout the experiment. Generalized additive models revealed GMV, CT and total brain volume decreased throughout pregnancy (see Methods for validation with cubic regression), with a slight recovery postpartum. Global QA, lateral ventricle and CSF volumes displayed nonlinear increases across gestation, with a notable rise in the second and third trimesters before dropping sharply postpartum. Shaded regions represent 95% confidence bands; solid lines indicate model fit; dashed line indicates parturition.\n\n## Discussion\n\nConverging evidence across mammalian species points to pregnancy as a remarkable period of neuroplasticity, revealing the brain's ability to undergo adaptive, hormonally-driven neuroanatomical changes beyond adolescence 13-15,20,21,24-26 . Investigations that compare women\n\nprepregnancy and then again postpartum provide the strongest evidence to date that the human brain undergoes such neural changes 11,27 . But what about pregnancy itself? Over what time course do anatomical changes in the maternal brain manifest? Are they tied to the substantial increase in sex hormone production? Here we begin to address these", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain-indicating greater tract integrity-as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n## Results\n\n## Serological evaluations\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml -1 and progesterone (P) = 0.84 ng ml -1 ; 3 weeks preparturition, E = 12,400 pg ml -1 and P = 103 ng ml -1 ; 3 months postparturition, E = 11.50 pg ml -1 and P = 0.04 ng ml -1 ).\n\n## Whole-brain dynamics from baseline through postpartum\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline-2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV ( F = 27.87, P < 0.001, deviance explained = 93.9%, R 2 adj = 0.91), summary CT ( F = 15.79, P < 0.001, deviance explained = 78.6%, R 2 adj = 0.75) and total brain volume ( F = 26.12, P < 0.001, deviance explained = 93.4%, R 2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, R 2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.77) and increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n## Cortical volume and thickness changes tied to gestation\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline-36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "the offspring 12 . Human studies have revealed GMV reductions in areas of the brain important for social cognition and the magnitude of these changes corresponds with increased parental attachment 13 . Deeper examination of cellular and systems-level mechanisms will improve our understanding of how pregnancy remodels specific circuits to promote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal behavior and white matter microstructure (particularly connectivity between temporal and occipital lobes) have been noted 31 . Here we reveal pronounced GMV changes in regions within sensory, attention and default mode networks over the gestational window. In parallel, we observed increased anisotropy in white matter tracts that facilitate communication between emotional and visual processing hubs 37-39 , including the inferior longitudinal fasciculus and inferior fronto-occipital fasciculus. Pinpointing the synchrony of gray and white matter changes that unfold in the maternal brain could be key to understanding the behavioral adaptions that emerge during and after pregnancy, such as honing the brain's visual and auditory responses to infant cues and eliciting maternal behavior. Research into other major transition periods supports this idea. For instance, adolescence is a dynamic period characterized by region-specific, nonlinear decreases in GMV and increases in WMV, maturational brain changes that are tied to gains in executive function and social cognition 40 . For both adolescence 41 and matrescence, the considerable rise in steroid hormone production appears to remodel the brain (see ref. 25 for comparative analysis), promoting a suite of behaviors adaptive to that life stage. How specific neural changes give rise to specific behavioral adaptations has yet to be fully explored with respect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes across pregnancy in a single individual, precluding our ability to generalize to the broader population. To benchmark our findings, we compared the magnitude of GMV changes observed throughout pregnancy against data from nonpregnant individuals sampled over a similar time course. Doing so provided compelling evidence that pregnancy-related neuroanatomical shifts far exceed normative day-to-day brain variability and measurement error. Evidence suggests that white matter microstructure remains fairly stable over a six-month period 42 , but more studies are needed to compare the degree of white matter changes observed during pregnancy to normative change over time. Further, sampling larger cohorts of women will generate much-needed normative models of brain change (akin to ref. 43) throughout pregnancy to establish what constitutes a typical degree of neuroanatomical change expected during gestation and postpartum recovery.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "- 19. Orchard, E. R. et al. Neuroprotective e/ffects of motherhood on brain function in late life: a resting-state fMRI study. Cereb. Cortex 31 , 1270-1283 (2021).\n - 20. Oatridge, A. et al. Change in brain size during and after pregnancy: study in healthy women and women with preeclampsia. Am. J. Neuroradiol. 23 , 19-26 (2002).\n - 21. Paternina-Di, M. et al. Women's neuroplasticity during gestation, childbirth and postpartum. Nat. Neurosci. 27 , 319-327 (2024).\n - 22. Makris, N. et al. Decreased volume of the brain reward system in alcoholism. Biol. Psychiatry 64 , 192-202 (2008).\n - 23. Filevich, E. et al. Day2day: investigating daily variability of magnetic resonance imaging measures over half a year. BMC Neurosci. 18 , 65 (2017).\n - 24. Dulac, C., O'Connell, L. A. & Wu, Z. Neural control of maternal and paternal behaviors. Science 345 , 765-770 (2014).\n - 25. Carmona, S. et al. Pregnancy and adolescence entail similar neuroanatomical adaptations: a comparative analysis of cerebral morphometric changes. Hum. Brain Mapp. 40 , 2143-2152 (2019).\n - 26. Pawluski, J. L., Hoekzema, E., Leuner, B. & Lonstein, J. S. Less can be more: fine tuning the maternal brain. Neurosci. Biobehav. Rev. 133 , 104475 (2022).\n - 27. Martínez-García, M., Jacobs, E. G., de Lange, A. M. G. & Carmona, S. Advancing the neuroscience of human pregnancy. Nat. Neurosci. 27 , 805-807 (2024).\n - 28. Pritschet, L., Taylor, C. M., Santander, T. & Jacobs, E. G. Applying dense-sampling methods to reveal dynamic endocrine modulation of the nervous system. Curr. Opin. Behav. Sci. 40 , 72-78 (2021).\n - 29. Taxier, L. R., Gross, K. S. & Frick, K. M. Oestradiol as a neuromodulator of learning and memory. Nat. Rev. Neurosci. 21 , 535-550 (2020).\n - 30. Kohl, J. et al. Functional circuit architecture underlying parental behaviour. Nature 556 , 326-331 (2018). Article 7701.\n - 31. Rodrigo, M. J. et al. Inferior fronto-temporo-occipital connectivity: a missing link between maltreated girls and neglectful mothers. Soc. Cogn. A/ffect. Neurosci. 11 , 1658-1665 (2016).\n - 32. Pawluski, J. L., Lonstein, J. S. & Fleming, A. S. The neurobiology of postpartum anxiety and depression. Trends Neurosci. 40 , 106-120 (2017).\n - 33. Barba-Müller, E., Craddock, S., Carmona, S. & Hoekzema, E. Brain plasticity in pregnancy and the postpartum period: links to maternal caregiving and mental health. Arch. Womens Ment. Health 22 , 289-299 (2019).\n - 34. Barth, C. & de Lange, A.-M. G. Towards an understanding of women's brain aging: the immunology of pregnancy and menopause. Front. Neuroendocrinol. 58 , 100850 (2020).\n - 35. Orchard, E. R., Rutherford, H. J. V., Holmes, A. J. & Jamadar, S. D. Matrescence: lifetime impact of motherhood on cognition and the brain. Trends Cogn. Sci. 27 , 302-316 (2023).\n - 36. Duarte-Guterman, P. et al. Cellular and molecular signatures of motherhood in the adult and ageing rat brain. Open Biol. 13 , 230217 (2023).\n - 37. Herbet, G., Zemmoura, I. & Du/ffau, H. Functional anatomy of the inferior longitudinal fasciculus: from historical reports to current hypotheses. Front. Neuroanat. 12 , 77 (2018).\n - 38. Wang, Y., Metoki, A., Alm, K. H. & Olson, I. R. White matter pathways and social cognition. Neurosci. Biobehav. Rev. 90 , 350-370 (2018).\n - 39. Zekelman, L. R. et al. White matter association tracts underlying language and theory of mind: an investigation of 809 brains from the Human Connectome Project. Neuroimage 246 , 118739 (2022).\n - 40. Blakemore, S. J. & Choudhury, S. Development of the adolescent brain: implications for executive function and social cognition. J. Child Psychol. Psychiatry 47 , 296-312 (2006).\n - 41. Blakemore, S. J., Burnett, S. & Dahl, R. E. The role of puberty in the developing adolescent brain. Hum. Brain Mapp. 31 , 926-933 (2010).", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - }, - { - "text": "a\n\n## Whole-brain subcortical volumes\n\n\n\nb\n\nCA1Medial temporal lobe subregion volumes\n\n\n\nCA2/CA3Fig. 3 | Subcortical GMV changed throughout gestation. a , Multivariate regression analyses revealed largely negative relationships between gestation week and subcortical GMV regions over pregnancy, including bilateral thalamus, caudate, hippocampus, ventral diencephalon (encompassing hypothalamus, substantia nigra, mammillary body and red nucleus) and left caudate. Lateral ventricles displayed the only positive relationships with gestation week (also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown here were derived via FreeSurfer and 'aseg' subcortical segmentation. FDRcorrected at q < 0.05. Inset, right ventral diencephalon displayed the strongest negative association with gestation (left; baseline-36 weeks, 19 scans) and did not return to baseline postpartum (right; gestation and postpartum, 26 scans). b , The participant's hippocampus and surrounding cortex were segmented\n\n\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression analyses (PHC) revealed subfields were negatively associated with gestation week (baseline-36 weeks, 18 scans) and did not return to baseline postpartum (gestation and postpartum, 25 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. FDR-corrected at q < 0.05. For a and b , nonsignificant regions were set to zero for interpretability. See Supplementary Fig. 6 for complete labeling of regions in both segmentations. Brain visualizations created with R package ggseg 48 . DC, diencephalon.\n\noutstanding questions. This study and corresponding open-access dataset offer neuroscientists a detailed map of the human brain across gestation, a resource for which a wide range of previously unattainable neurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that pregnancy is characterized by reductions in GMV, cortical thinning and enhanced white matter microstructural integrity that unfold week by week. These changes were also tied to the significant rise in steroid hormone concentrations over pregnancy. Some of these changes persist at 2 years postpartum (for example, global reductions in GMV and CT), while others, including markers of white matter integrity, appear to be transient. Ventricular expansion and contraction parallel these cortical changes. These widespread patterns, and the notable increase in CSF volume across gestation, could reflect increased water retention and subsequent compression of cortical tissue. However, the persistence of these changes at 2 years postpartum and regional variation in GMV, CT and QA, hint at cellular underpinnings, such as alterations in glia\n\nor neuron number, synaptic density and myelination (for review on the latter, see ref. 4). Future studies of the relationship between fluid dynamics and volumetric changes will help clarify the factors that drive global neural changes during pregnancy; such insights will have broad implications for maternal health (for example, neurological effects tied to pre-eclampsia or edema).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "## Neuroanatomical changes observed over the course of a human pregnancy\n\nReceived: 23 August 2023\n\nAccepted: 29 July 2024\n\nPublished online: 16 September 2024\n\nCheck for updates\n\nLaura Pritschet 1 , Caitlin M. Taylor 1 , Daniela Cossio 2 , Joshua Faskowitz 3 , Tyler Santander 1 , Daniel A. Handwerker 3 , Hannah Grotzinger 1 , Evan Layher 1 , Elizabeth R. Chrastil 2,5 &\n\nEmily G. Jacobs 1,4,5\n\nPregnancy is a period of profound hormonal and physiological changes experienced by millions of women annually, yet the neural changes unfolding in the maternal brain throughout gestation are not well studied in humans. Leveraging precision imaging, we mapped neuroanatomical changes in an individual from preconception through 2 years postpartum. Pronounced decreases in gray matter volume and cortical thickness were evident across the brain, standing in contrast to increases in white matter microstructural integrity, ventricle volume and cerebrospinal /fluid, with few regions untouched by the transition to motherhood. This dataset serves as a comprehensive map of the human brain across gestation, providing an open-access resource for the brain imaging community to further explore and understand the maternal brain.\n\nWorldwide, nearly 85% of women experience one or more pregnancies in their lifetime 1 , with 140 million women becoming pregnant each year. Over an approximately 40-week gestational window, the maternal body undergoes profound physiological adaptations to support the development of the fetus, including increases in plasma volume, metabolic rate, oxygen consumption and immune regulation 2 . These rapid adaptations are initiated by 100-fold to 1,000-fold increases in hormone production, including estrogen and progesterone. These neuromodulatory hormones also drive significant reorganization of the central nervous system. Evidence from animal models and human studies converge on pregnancy as a period of remarkable neuroplasticity 3-10 (see ref. 10 for one of the earliest known observations). Gestational increases in steroid hormone synthesis drive neurogenesis, dendritic spine growth, microglial proliferation, myelination and astrocyte remodeling (for review, see ref. 11). These cellular changes are pronounced in brain circuits that promote maternal behavior. For example, Ammari et al. recently discovered that steroid hormones can fine-tune the response properties of galanin neurons in the rodent medial preoptic area of the hypothalamus (mPOA), leading to enhanced sensitivity in dams to sensory cues from newborn pups 12 .\n\nIn humans, reductions in gray matter volume (GMV) have been observed postpartum 13-16 , particularly in regions central to theory-of-mind processing 13 . These GMV changes persist at 6 years postpartum 17 and are traceable decades later 18,19 , underscoring the permanence of this major remodeling event. And yet the changes that occur within the maternal brain during gestation itself are virtually unknown (see ref. 20 for early neuroimaging insight). A recent study by Paternina-Die et al. offers intriguing clues 21 . Women were scanned once in the third trimester and again in the postpartum period, revealing a reduction of cortical volume observable in the late pregnancy scan. These findings suggest that pregnancy is a highly dynamic period for neural remodeling, yet neuroscientists lack a detailed map of how the human brain changes throughout the gestational period.\n\nHere we conducted a precision imaging study of pregnancy in which a healthy 38-year-old primiparous woman underwent 26 magnetic resonance imaging (MRI) scans and venipuncture beginning 3 weeks preconception through 2 years postpartum. We observed widespread reductions in cortical GMV and cortical thickness (CT) occurring in step with advancing gestational week and the dramatic rise in sex hormone production. Remodeling was also evident within\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed4.pdf" - }, - { - "text": "## Methods\n\n## Participant\n\nOur participant (E.R.C.) was a healthy 38-year-old primiparous woman who underwent in-vitro fertilization (IVF) to achieve pregnancy. Previous studies reported no observable differences in neural changes from prepregnancy to postpregnancy between women who conceived naturally versus women who conceived via IVF 13 , and doing so provides a controlled way of monitoring pregnancy status. The participant experienced no pregnancy complications (for example, gestational diabetes and hypertension), delivered at full term via vaginal birth, nursed through 16 months postpartum, and had no history of neuropsychiatric diagnosis, endocrine disorders, prior head trauma or history of smoking. The participant gave written informed consent and the study was approved by the University of California, Irvine Human Subjects Committee.\n\n## Study design\n\nThe participant underwent 26 MRI scanning sessions from 3 weeks before conception through 2 years postpartum (162 weeks), during which high-resolution anatomical and diffusion spectrum imaging scans of the brain were acquired. Scans were distributed throughout this period, including prepregnancy (four scans), first trimester (four scans), second trimester (six scans), third trimester (five scans) and postpartum (seven scans; Fig. 1c). The first 6 sessions took place at the UCSB Brain Imaging Center (BIC), the final 20 sessions took place at the UCI Facility for Imaging and Brain Research (FIBRE). The majority of scans took place between 9 AM and 2 PM, limiting significant AM-PM fluctuations 49 . The MRI protocol, scanner (Siemens 3T Prisma) and software (version MR E11) were identical across sites. Each scanner was checked weekly for the duration of the study and passed all QC reports indicating no significant alterations in the geometry. To ensure the robustness of the findings, after the final study session, the participant completed back-to-back validation scans at UCI and UCSB within a 12-h window to assess reliability between scanners. Intraclass correlation coefficients (two-way, random effects, absolute agreement, single rater) reveal 'excellent' test-retest reliability between scanners, including ROI-level GMV (ICC = 0.97, 95% CI: 0.80-0.99), ROI-level CT (ICC = 0.96, 95% CI: 0.90-0.98), MTL subfield volume (ICC = 0.99, 95% CI: 0.97-0.99) and ROI-level QA (ICC = 0.94, 95% CI: 0.91-0.97). Furthermore, when examining the relationship between gestation week and GMV among UCI-only gestational sessions, findings were consistent (Supplementary Fig. 12), indicating that site differences are highly unlikely to have contributed meaningfully to the observed effects. Although not applicable here, we note that having a control participant scanned over a similar duration within the same scanner is critical for estimating how much variation in the brain can be attributed to within-scanner variability.\n\nTo monitor state-dependent mood and lifestyle measures, the following scales were administered on each experiment day: Perceived Stress Scale 50 , Pittsburgh Sleep Quality Index 51 , State-Trait Anxiety Inventory for Adults 52 and Profile of Mood States 53 . Correlation analyses between state-dependent measures, summary brain metrics and gestation week revealed little to no relationships. The only exception to this was a moderate negative association between global QA and state anxiety (Spearman's correlation ( ρ ) = -0.65, q = 0.04; baseline-36 weeks, n = 16). By making this data openly accessible, we encourage a more nuanced approach toward exploring mood and lifestyle measures in relation to brain changes over pregnancy.\n\n## Endocrine procedures\n\nThe participant underwent a blood draw ( n = 19; Fig. 1c) before MRI scanning. Sex steroid concentrations were determined via ultra-sensitive liquid chromatography-mass spectrometry at the Brigham and Women's Hospital Research Assay Core (BRAC). Assay sensitivities, dynamic range and intra-assay coefficients of variation", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed4.pdf" - }, - { - "text": "a\n\nWhole-brain GMV\n\nGMV ~ gestation week\n\nFig. 2 | Cortical GMV showed widespread change through gestation and\n\n\n\n\n\nPostcentral gyrus Dorsal attention network B Regional GMV\n\n\n\nFrontal eye fields\n\nDorsal attention network B\n\n\n\nc\n\nPrecuneus/posterior cingulate Default mode network A\n\n\n\n\n\nMedial frontal Salience ventral attention network A\n\n\n\nInsula Salience ventral attention network B\n\n\n\n\n\n\n\npostpartum. a , Multivariate regression analyses reveal largely negative relationships between gestation week and regional GMV, with only a minority of regions unaffected or increasing over the gestational window (baseline-36 weeks). All associations presented here were corrected for multiple comparisons (FDR at q < 0.05; nonsignificant values set to zero for interpretability). b , Average network change was calculated by estimating GMV percent change from baseline (initial) to 36 weeks gestation (final). Attention and control networks appear most affected. c , Six representative regions, classified by major subnetworks, that exhibit pronounced GMV change across gestation. For each panel, we display a scatterplot between average GMV of the ROIs and gestation week (left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy stage across the whole study (right; gestation and postpartum sessions, 26 scans).\n\nShaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. All statistical tests were corrected for multiple comparisons (FDR at q < 0.05) and values were z scored and transformed to have a mean of zero and s.d. of one for easier comparison across regions. Please note that the data values shown here are raw (see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). Brain visualizations created with R package ggseg 48 . IQR, interquartile range; Lat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral network; SomMot, somatomotor network; VisCent, visual central network; Cont, control network; TempPar, temporal parietal network; DorsAttn, dorsal attention network; SalVentAttn, salience/ventral attention network.\n\nInferior parietal Control network B", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed4.pdf", - "query": "What may reflect the decrease in GMV during pregnancy?", - "target_page": 6, - "target_passage": " Decreases in GMV may reflect ‘fine-tuning’ of the brain by neuromodulatory hormones in prepara- tion for parenthood", - "chunk_present": { - "presence": true, - "index": 7 - } - }, - "top_chunk": [ - { - "text": "Cortical GMV and CT . We then narrowed our analyses to the first 19 sessions (baseline-36 weeks gestation) to assess novel brain changes occurring over the gestational window. We first computed Pearson's product-moment correlation matrices between the following variables: gestation week, estradiol, progesterone and the 17 network-level average GMV values. We then ran a multivariate regression analysis predicting ROI-level GMV changes by gestation week. To identify which regions were changing at a rate different from the global decrease, we then ran the analyses again to include total GMV in the regression model (Supplementary Table 2). This was extended to the network level, where we ran partial correlations accounting for total GMV. These same analyses were then run with CT measures. Globally-corrected results provided in Supplementary Tables 1-5. Percent change at the network level was computed by subtracting the final pregnancy value (36 weeks pregnant) from the first prepregnancy baseline value, then dividing that difference by said first prepregnancy baseline value. All analyses underwent multiple comparisons testing (false discovery rate (FDR)-corrected at q < 0.05).\n\nSubcortical GMV . A similar statistical approach was taken for subcortical volume estimates. We ran a multivariate regression analysis predicting GMV changes over gestation in 28 ROIs (Supplementary Fig. 6a) by gestation week (FDR-corrected at q < 0.05).\n\nTo evaluate the relationship between gestation week and MTL subregion volume over pregnancy ( n = 7 bilateral subregions and n = 18 MTL scans), we used a combination of linear and nonlinear models based on individual subregion data patterns. Models were compared for best fit with each subregion via AIC from the GLM output (as described in 'Summary brain metrics'). A linear regression model was most appropriate for PHC (AICdiff < 3), whereas a quadratic model performed best for CA1 and CA2/CA3. As a control, we repeated the analyses with MTL subregion volumes after proportional volume correction of total GMV calculated by ASHS. Finally, we evaluated the relationship between endogenous sex hormones (estrogen and progesterone) and subregion volumes using linear regression. Relationships were considered significant only if they met FDR correction at q < 0.05.\n\nWhite matter microstructure . DSI Studio's correlational tractography 74 was used to analyze the relationship between white matter structure and gestational week ( n = 16). A truncated model was run to examine the relationship between white matter and sex steroid hormones ( n = 14) for the subset of diffusion scans with paired endocrine data during gestation. A nonparametric Spearman's correlation was used to derive the correlation between gestational week and endocrine factors and our metrics of interest (QA and MD; see Supplementary Table 9 and Supplementary Fig. 10 for MD results) because the data were not normally distributed. Statistical inference was reached using connectometry, a permutation-based approach that tests the strength of coherent associations found between the local connectome and our variables of interest. It provides higher reliability and replicability by correcting for multiple comparisons. This technique provides a high-resolution characterization of local axonal orientation. The correlational tractography was run with the following parameters: t score threshold of 2.5, four pruning iterations and a length threshold of 25 voxel distance. To estimate the FDR, a total of 4,000 randomized permutations were applied to obtain the null distribution of the track length. Reported regions were selected based on FDR cutoff (FDR < 0.2, suggested by DSI Studio), and contained at least ten tracts. For visualization of global and tract QA at each gestational stage, mean QA values were extracted using DSI Studio's whole-brain fiber tracking algorithm and ROI-based tracking using the default HCP842 atlas 78 .", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed4.pdf" - }, - { - "text": "Changes in GMV were near-ubiquitous across the cortical mantle (Fig. 2a). Most large-scale brain networks exhibited decreases in GMV (Fig. 2b and Supplementary Table 1); indeed, 80% of the 400 regions of interest (ROI) demonstrated negative relationships between GMV and gestation week (Fig. 2a and Supplementary Table 2). Together, these results provide evidence of a global decrease in cortical volume across pregnancy. Several sensory and attention subnetworks were particularly sensitive to gestation, including the control (subnetwork B), salience/ventral attention (subnetwork A), dorsal attention (subnetwork B), default (subnetwork A) and somatomotor (subnetworks A and B) networks (Supplementary Table 1). Regions driving these network-level changes include the bilateral inferior parietal lobe, postcentral gyri, insulae, prefrontal cortex, posterior cingulate and somatosensory cortex (Fig. 2c, Supplementary Table 2 and validation of findings using alternate pipeline in Supplementary Tables 1 and 3). These regions and\n\nassociated brain networks appear to decrease in volume at a faster rate than the rest of the brain throughout pregnancy, as determined by a subsequent analysis controlling for total GMV (Supplementary Tables 1 and 2). GMV reductions were also significantly correlated with the participant's estradiol and progesterone concentrations (Supplementary Table 1). A highly similar pattern of results was observed when examining pregnancy-related CT changes (Supplementary Fig. 3 and Supplementary Tables 4 and 5). Significant reductions in cortical GMV over gestation remained after controlling for standard quality control (QC) metrics, albeit with some influence on the magnitude and location of the observed effects (Supplementary Figs. 4 and 5).\n\nIn contrast, GMV within regions of the default mode (subnetwork C), limbic (subnetworks A and B) and visual peripheral networks buck the global trend by slightly increasing (for example, temporal poles), remaining constant (for example, orbitofrontal cortex) or reducing at a much slower rate (for example, extrastriate cortex) than total GMV (Fig. 2a,b and Supplementary Tables 1 and 2). CT changes in these regions exhibit similar patterns (Supplementary Fig. 3 and Supplementary Tables 4 and 5).\n\n## Subcortical GMV changes tied to gestation\n\nConsistent with the broader cortical reductions in GMV, several subcortical regions significantly reduced in volume across gestation (Fig. 3a, left). This included bilateral ventral diencephalon (right hemisphere values shown in Fig. 3a, right; encompasses hypothalamus, substantia nigra, mammillary body, lateral geniculate nucleus and red nucleus among others 22 ), caudate, hippocampus and thalamus, along with left putamen and brain stem (Supplementary Table 6, q < 0.05).\n\nNext, high-resolution segmentation of the MTL allowed us to interrogate subcortical structures at a finer resolution, revealing nonlinear volumetric decreases in CA1 ( F (2,15) = 5.84, q = 0.031, R 2 adj = 0.36; Fig. 3b, left) and CA2/CA3 ( F (2,15) = 6.82, q = 0.027, R 2 adj = 0.41; Fig. 3b, middle) across gestation. PHC exhibited linear volumetric decreases across gestation ( F (1,16) = 24.87, q < 0.001, R 2 adj = 0.58; Fig. 3b, right) which was also tied to estradiol ( F (1,12) = 20.21, q = 0.005, R 2 adj = 0.60). All three relationships remained significant after proportional correction for total GMV. There was no significant change in other subregions or total volume of the hippocampal body, or in the parahippocampal gyrus (Supplementary Table 7 and Supplementary Fig. 8).\n\n## White matter microstructure changes tied to gestation", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "## White matter microstructure changes tied to gestation\n\nIn contrast to decreasing global GMV, correlational tractography of white matter, which tests for linear trends in the data, revealed increasing microstructural integrity across the whole brain during gestation (Fig. 4a), concomitant with the rise in 17β-estradiol and progesterone (all q < 0.001; Supplementary Fig. 9). Tracts displaying robust correlations with gestational week included the corpus callosum, arcuate fasciculus, inferior fronto-occipital fasciculus and inferior longitudinal fasciculus (Fig. 4b), as well as the cingulum bundle, middle and superior longitudinal fasciculus, corticostriatal, corticospinal and corticopontine tracts (see Supplementary Table 9 for complete list).\n\n## Comparing brain changes across pregnancy against controls\n\nWe then compared the changes in GMV across gestation to that of typical variability over time, derived from eight densely-sampled controls 23 . The GMV changes we see across pregnancy far exceed normative brain variability (Supplementary Fig. 11). On average, change in cortical GMV was nearly three times higher than controls scanned over a similar duration (Supplementary Fig. 11a,b). This extends to MTL subfields, wherein change in volume was three to four times greater across gestation than normative brain variability (Supplementary Fig. 11c,d). We contextualized these findings further by comparing gestational GMV change against our participant's preconception brain volumes; average GMV change during pregnancy was six times (cortical) and three times (MTL) higher than the variability observed between baseline sessions.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "a\n\nWhole-brain GMV\n\nGMV ~ gestation week\n\nFig. 2 | Cortical GMV showed widespread change through gestation and\n\n\n\n\n\nPostcentral gyrus Dorsal attention network B Regional GMV\n\n\n\nFrontal eye fields\n\nDorsal attention network B\n\n\n\nc\n\nPrecuneus/posterior cingulate Default mode network A\n\n\n\n\n\nMedial frontal Salience ventral attention network A\n\n\n\nInsula Salience ventral attention network B\n\n\n\n\n\n\n\npostpartum. a , Multivariate regression analyses reveal largely negative relationships between gestation week and regional GMV, with only a minority of regions unaffected or increasing over the gestational window (baseline-36 weeks). All associations presented here were corrected for multiple comparisons (FDR at q < 0.05; nonsignificant values set to zero for interpretability). b , Average network change was calculated by estimating GMV percent change from baseline (initial) to 36 weeks gestation (final). Attention and control networks appear most affected. c , Six representative regions, classified by major subnetworks, that exhibit pronounced GMV change across gestation. For each panel, we display a scatterplot between average GMV of the ROIs and gestation week (left; gestation sessions only, 19 scans), and summary GMV of ROIs by pregnancy stage across the whole study (right; gestation and postpartum sessions, 26 scans).\n\nShaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. All statistical tests were corrected for multiple comparisons (FDR at q < 0.05) and values were z scored and transformed to have a mean of zero and s.d. of one for easier comparison across regions. Please note that the data values shown here are raw (see Supplementary Tables 1 and 2 and Supplementary Data 1 for exhaustive list). Brain visualizations created with R package ggseg 48 . IQR, interquartile range; Lat, lateral; Med, medial; DMN, default mode network; VisPeri, visual peripheral network; SomMot, somatomotor network; VisCent, visual central network; Cont, control network; TempPar, temporal parietal network; DorsAttn, dorsal attention network; SalVentAttn, salience/ventral attention network.\n\nInferior parietal Control network B", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed4.pdf" - }, - { - "text": "a\n\n## Whole-brain subcortical volumes\n\n\n\nb\n\nCA1Medial temporal lobe subregion volumes\n\n\n\nCA2/CA3Fig. 3 | Subcortical GMV changed throughout gestation. a , Multivariate regression analyses revealed largely negative relationships between gestation week and subcortical GMV regions over pregnancy, including bilateral thalamus, caudate, hippocampus, ventral diencephalon (encompassing hypothalamus, substantia nigra, mammillary body and red nucleus) and left caudate. Lateral ventricles displayed the only positive relationships with gestation week (also depicted in Fig. 1d). The whole-brain subcortical GMV estimates shown here were derived via FreeSurfer and 'aseg' subcortical segmentation. FDRcorrected at q < 0.05. Inset, right ventral diencephalon displayed the strongest negative association with gestation (left; baseline-36 weeks, 19 scans) and did not return to baseline postpartum (right; gestation and postpartum, 26 scans). b , The participant's hippocampus and surrounding cortex were segmented\n\n\n\ninto seven bilateral subregions. Quadratic (CA1, CA2/CA3) and linear regression analyses (PHC) revealed subfields were negatively associated with gestation week (baseline-36 weeks, 18 scans) and did not return to baseline postpartum (gestation and postpartum, 25 scans). Shaded regions in scatterplots represent a 95% confidence interval. Each boxplot represents IQR for each stage, with a horizontal line representing the median value. The whiskers indicate variability outside (±1.5) of this range. Outside values are >1.5× and <3× IQR beyond either end of the box. FDR-corrected at q < 0.05. For a and b , nonsignificant regions were set to zero for interpretability. See Supplementary Fig. 6 for complete labeling of regions in both segmentations. Brain visualizations created with R package ggseg 48 . DC, diencephalon.\n\noutstanding questions. This study and corresponding open-access dataset offer neuroscientists a detailed map of the human brain across gestation, a resource for which a wide range of previously unattainable neurobiological questions can now be explored.\n\nOur findings from this precision imaging study show that pregnancy is characterized by reductions in GMV, cortical thinning and enhanced white matter microstructural integrity that unfold week by week. These changes were also tied to the significant rise in steroid hormone concentrations over pregnancy. Some of these changes persist at 2 years postpartum (for example, global reductions in GMV and CT), while others, including markers of white matter integrity, appear to be transient. Ventricular expansion and contraction parallel these cortical changes. These widespread patterns, and the notable increase in CSF volume across gestation, could reflect increased water retention and subsequent compression of cortical tissue. However, the persistence of these changes at 2 years postpartum and regional variation in GMV, CT and QA, hint at cellular underpinnings, such as alterations in glia\n\nor neuron number, synaptic density and myelination (for review on the latter, see ref. 4). Future studies of the relationship between fluid dynamics and volumetric changes will help clarify the factors that drive global neural changes during pregnancy; such insights will have broad implications for maternal health (for example, neurological effects tied to pre-eclampsia or edema).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - }, - { - "text": "subcortical structures, including the ventral diencephalon, caudate, thalamus, putamen and hippocampus. High-resolution imaging and segmentation of the medial temporal lobe (MTL) extend these findings further, revealing specific volumetric reductions within hippocampal subfields CA1, CA2/CA3 and parahippocampal cortex (PHC). In contrast to widespread decreases in cortical and subcortical GMV, correlational tractography analyses revealed nonlinear increases in white matter quantitative anisotropy (QA) throughout the brain-indicating greater tract integrity-as gestational week progressed. Together, these findings reveal the highly dynamic changes that unfold in a human brain across pregnancy, demonstrating a capacity for extensive neural remodeling well into adulthood.\n\n## Results\n\n## Serological evaluations\n\nSerological evaluations captured canonical hormone fluctuations characteristic of the prenatal, perinatal and postnatal periods (Fig. 1b). Serum hormone concentrations increased significantly over the course of pregnancy and dropped precipitously postpartum (preconception, estradiol (E) = 3.42 pg ml -1 and progesterone (P) = 0.84 ng ml -1 ; 3 weeks preparturition, E = 12,400 pg ml -1 and P = 103 ng ml -1 ; 3 months postparturition, E = 11.50 pg ml -1 and P = 0.04 ng ml -1 ).\n\n## Whole-brain dynamics from baseline through postpartum\n\nTo begin, we characterized broad neuroanatomical changes over the course of the entire experimental window (baseline-2 years postpartum, 26 scans; Fig. 1d). Generalized additive models revealed strong nonlinear (effective degrees of freedom > 3) relationships between weeks since conception and summary brain metrics. Total GMV ( F = 27.87, P < 0.001, deviance explained = 93.9%, R 2 adj = 0.91), summary CT ( F = 15.79, P < 0.001, deviance explained = 78.6%, R 2 adj = 0.75) and total brain volume ( F = 26.12, P < 0.001, deviance explained = 93.4%, R 2 adj = 0.90) linearly decreased during gestation and appeared to partially rebound postpartum. In contrast, global microstructural integrity (QA) of white matter increased throughout the first and second trimesters before returning to baseline levels in the postpartum period (whole-brain QA, F = 4.62, P = 0.007, deviance explained = 60.2%, R 2 adj = 0.51). We also observed nonlinear patterns of lateral ventricle expansion (F = 10.44, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.77) and increased cerebrospinal fluid (CSF; F = 13.32, P < 0.001, deviance explained = 83.8%, R 2 adj = 0.79) rising in the second and third trimesters before dropping sharply postpartum.\n\n## Cortical volume and thickness changes tied to gestation\n\nWe then narrowed the aperture to capture changes unfolding within gestation itself (baseline-36 weeks pregnant, 19 scans). Relationships between summary brain metrics were evident over the gestational period as follows: total brain volume, GMV and CT were positively associated with one another, whereas lateral ventricles, CSF and global QA demonstrated negative relationships with GMV (Supplementary Fig. 1).", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed4.pdf" - }, - { - "text": "the offspring 12 . Human studies have revealed GMV reductions in areas of the brain important for social cognition and the magnitude of these changes corresponds with increased parental attachment 13 . Deeper examination of cellular and systems-level mechanisms will improve our understanding of how pregnancy remodels specific circuits to promote maternal behavior.\n\nAlthough studied to a lesser degree, ties between maternal behavior and white matter microstructure (particularly connectivity between temporal and occipital lobes) have been noted 31 . Here we reveal pronounced GMV changes in regions within sensory, attention and default mode networks over the gestational window. In parallel, we observed increased anisotropy in white matter tracts that facilitate communication between emotional and visual processing hubs 37-39 , including the inferior longitudinal fasciculus and inferior fronto-occipital fasciculus. Pinpointing the synchrony of gray and white matter changes that unfold in the maternal brain could be key to understanding the behavioral adaptions that emerge during and after pregnancy, such as honing the brain's visual and auditory responses to infant cues and eliciting maternal behavior. Research into other major transition periods supports this idea. For instance, adolescence is a dynamic period characterized by region-specific, nonlinear decreases in GMV and increases in WMV, maturational brain changes that are tied to gains in executive function and social cognition 40 . For both adolescence 41 and matrescence, the considerable rise in steroid hormone production appears to remodel the brain (see ref. 25 for comparative analysis), promoting a suite of behaviors adaptive to that life stage. How specific neural changes give rise to specific behavioral adaptations has yet to be fully explored with respect to human pregnancy.\n\nThis precision imaging study mapped neuroanatomical changes across pregnancy in a single individual, precluding our ability to generalize to the broader population. To benchmark our findings, we compared the magnitude of GMV changes observed throughout pregnancy against data from nonpregnant individuals sampled over a similar time course. Doing so provided compelling evidence that pregnancy-related neuroanatomical shifts far exceed normative day-to-day brain variability and measurement error. Evidence suggests that white matter microstructure remains fairly stable over a six-month period 42 , but more studies are needed to compare the degree of white matter changes observed during pregnancy to normative change over time. Further, sampling larger cohorts of women will generate much-needed normative models of brain change (akin to ref. 43) throughout pregnancy to establish what constitutes a typical degree of neuroanatomical change expected during gestation and postpartum recovery.", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed4.pdf" - }, - { - "text": "sleep patterns 11 . These factors could have a role in the brain changes observed here, with some driving neurobiological changes and others, like water retention, potentially affecting MRI-based measurements. Note that, although cortical reductions in GMV over gestation were stable across analyses, accounting for QC measures influenced the magnitude and location of these results. These metrics all fell within the standard range, but there may be meaningful reductions in signal that accompany volumetric reductions (for example, increased CSF and decreased GM)-a methodological nuance that goes beyond the scope of this resource study. Ultimately, identifying the shared and unique contributions of these factors to the neuroanatomical changes that unfold across gestation warrants further investigation. Deeply phenotyping a large and diverse cohort of women across pregnancy will open up new avenues of exploration, for example, allowing researchers to link blood-based proteomic signatures to pregnancy outcomes; deploying wearable devices to monitor changes in sleep, cognition and mood; and probing the broader social and environmental determinants of maternal health 27 .\n\nThe neuroanatomical changes that unfold during matrescence may have broad implications for understanding individual differences in parental behavior 13,24,30,31 , vulnerability to mental health disorders 32,33 and patterns of brain aging 18,19,34-36 . Decreases in GMV may reflect 'fine-tuning' of the brain by neuromodulatory hormones in preparation for parenthood 26 . For example, in rodents, steroid hormones promote parental behavior by remodeling specific neural circuits in the medial preoptic area of the hypothalamus. These behavioral adaptations are critical to the dam's ability to meet the demands of caring for", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed4.pdf" - }, - { - "text": "participant's first two baseline scans (that is, preconception) to derive within-participant variability estimates.\n\nBenchmarking our data in this way allows us to capture the degree of change expected due to factors such as image processing and instrumentation variability or other day-to-day changes that could potentially modulate brain size and shape (see ref. 80 for review). The percent change observed over pregnancy (baseline versus 36 weeks gestation) far exceeds the expected variability estimated using both the Day2Day dataset (Supplementary Fig. 11) and our within-participant control data. This was quantified by dividing the observed percent change in GMV metrics (baseline versus 36 weeks) by the global measure of GMV percent variability of each control group (that is, Day2Day, within-participant control), independently for cortex and subcortex.\n\n## Reporting summary\n\nFurther information on research design is available in the Nature Portfolio Reporting Summary linked to this article.\n\n## Data availability\n\nThe dataset consists of 26 MRI scans (T1w, T2w and diffusion scans) alongside state-dependent measures and serum assessments of ovarian sex hormones for each session. The raw data is publicly available at https://openneuro.org/datasets/ds005299. Source data are provided with this paper.\n\n## Code availability\n\nNo custom code was used.\n\n## References", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed4.pdf" - }, - { - "text": "Critically, dynamic neural changes occurred within the pregnancy window itself, a nuance not captured by studies limited to comparisons between prepregnancy and postpregnancy. For example, we observed large increases in white matter microstructural integrity (QA) throughout the first and second trimesters of pregnancy, but these measures fully returned to baseline values by the first postpartum scan. This pattern may explain why previous studies report no pregnancy-related differences in white matter tractography 14 . Other measures, such as GMV and CT, decreased throughout gestation and displayed only a modest rebound postpartum. These nonlinear patterns suggest that only quantifying prepregnancy and postpartum brain structure may\n\nPHC\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "How to light up my sports smart watch?", - "target_page": 2, - "target_passage": "Up button: Short press to light up or turn off the screen", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## Up button:\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n## Button down:\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n## Charging instructions:\n\nWireless charging, as shown in the picture below.\n\n\n\n## 1.1 Shortcut function:\n\n- 1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n- 2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "Click 'camera' in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n## 5. Data synchronization\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n## 6. Tilt to wake the screen\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n## 7. Do not disturb mode\n\nIn the APP, tap 'Device' > 'More' > 'Do not disturb mode', set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n## 8. Daily alarm clock\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n## 9. Sedentary reminder\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n## 10. Drink water reminder\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n## 11. Dial push\n\n## 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n - 11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with 'custom watch faces' are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n## 12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n## 2.2 Sleep\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## 2.3 stopwatch\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## 2.4 Weather\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n## 2.5 Find mobile phone\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## 2.6 Meteorology\n\nClick on 'Meteorology' on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## 2.7 Massager\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## 3.0 Menu style\n\nThere are a variety of menu styles for users to choose.\n\n## 3.1 Settings\n\n - 1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n - 2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n - 3) Set screen time; a variety of screen time lengths can be selected.\n - 4) Vibration intensity; set reminder vibration intensity.\n - 5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n - 6) Restore factory settings; click ��� to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n## 1.6 Frequently used contacts\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n## 1.7 Fitness data\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n## 1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\n\n## basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the 'Start' button on the screen to start the exercise; click the 'Start' button again to pause the recording of the exercise; click the 'End' button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n## 1.9 Heart rate\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n## 1.10 ECG\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n## 2.0 My QR code\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n## 2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "- 3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n- 4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n- 5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n## 1.2 App notification\n\n- 1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n- 2) Swipe to the bottom to click the delete icon to clear all message records.\n\n## 1.3 Drop-down menu\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n- 1) Bluetooth connection status; time; power left;\n- 2) About, where you can check the firmware version of watch and the address of the Bluetooth\n- 3) Setting, where you can enter it to set part of the functions;\n- 4) Brightness adjustment; where you can adjust the brightness of the screen;\n- 5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n## 1.4 Phone/Call History\n\n- 1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n- 2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n- 3. Dial the keyboard, you can enter the phone number to make a call.\n\n## 1.5 message\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n- 1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n- 1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "## Sports smart watch User Manual DT3 Mate\n\n\n\nThank you for choosing our smart watch. You can fully understand the use and operation of the equipment by reading this manual.\n\nThe company reserves the right to modify the contents of this manual without any prior notice.\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n## A. Watch function description\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "## B ． Bind to the APP\n\n## 1. APP download method\n\n## 1.1 Scan the QR code to download\n\n\n\n1.2 Search the application at App market and download For Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\n\n\nAfter WearPro is installed, the app icon appears as\n\n.\n\n## 2.Bind Bluetooth\n\n\n\n## 2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n## 2.2 Connected to the APP state:\n\n\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## 3. Find Watch\n\nAfter the smartwatch is bound to the APP, you click 'Find Watch' in the APP, the smartwatch will light up and vibrate for once.\n\n## 4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on 'Firmware upgrade' in the column of 'Device', and users can decide to whether upgrade the firmware version.\n\n## 13. Unbind\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\n\n\nsmart watch, and click \"Forget this device\". The 'About' of the watch has an 'Unbind' button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n## ●Frequently asked questions and answers\n\n*Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.\n\n*Why can't I take a hot bath with my watch?\n\nThe temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.\n\n## *No power on, no charging\n\nIf you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.\n\n## Warranty description:\n\n - 1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.\n - 2. No warranty is provided for failures caused by the user's personal reasons, as follows:\n - 1). Failure caused by unauthorized disassembly or modification of the watch.\n - 2). Failure caused by accidental fall during use.\n - 3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.\n - 3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 12 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11234\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "Is my sports smartwatch's fitness data turned on or off by default?", - "target_page": 4, - "target_passage": "Fitness data is turned on by default.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n## 1.6 Frequently used contacts\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n## 1.7 Fitness data\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n## 1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\n\n## basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the 'Start' button on the screen to start the exercise; click the 'Start' button again to pause the recording of the exercise; click the 'End' button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n## 1.9 Heart rate\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n## 1.10 ECG\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n## 2.0 My QR code\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n## 2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on 'Firmware upgrade' in the column of 'Device', and users can decide to whether upgrade the firmware version.\n\n## 13. Unbind\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\n\n\nsmart watch, and click \"Forget this device\". The 'About' of the watch has an 'Unbind' button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n## ●Frequently asked questions and answers\n\n*Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.\n\n*Why can't I take a hot bath with my watch?\n\nThe temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.\n\n## *No power on, no charging\n\nIf you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "Click 'camera' in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n## 5. Data synchronization\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n## 6. Tilt to wake the screen\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n## 7. Do not disturb mode\n\nIn the APP, tap 'Device' > 'More' > 'Do not disturb mode', set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n## 8. Daily alarm clock\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n## 9. Sedentary reminder\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n## 10. Drink water reminder\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n## 11. Dial push\n\n## 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n - 11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with 'custom watch faces' are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n## 12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n## 2.2 Sleep\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## 2.3 stopwatch\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## 2.4 Weather\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n## 2.5 Find mobile phone\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## 2.6 Meteorology\n\nClick on 'Meteorology' on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## 2.7 Massager\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## 3.0 Menu style\n\nThere are a variety of menu styles for users to choose.\n\n## 3.1 Settings\n\n - 1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n - 2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n - 3) Set screen time; a variety of screen time lengths can be selected.\n - 4) Vibration intensity; set reminder vibration intensity.\n - 5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n - 6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "## Sports smart watch User Manual DT3 Mate\n\n\n\nThank you for choosing our smart watch. You can fully understand the use and operation of the equipment by reading this manual.\n\nThe company reserves the right to modify the contents of this manual without any prior notice.\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n## A. Watch function description\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "\n\n## Up button:\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n## Button down:\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n## Charging instructions:\n\nWireless charging, as shown in the picture below.\n\n\n\n## 1.1 Shortcut function:\n\n- 1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n- 2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "- 3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n- 4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n- 5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n## 1.2 App notification\n\n- 1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n- 2) Swipe to the bottom to click the delete icon to clear all message records.\n\n## 1.3 Drop-down menu\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n- 1) Bluetooth connection status; time; power left;\n- 2) About, where you can check the firmware version of watch and the address of the Bluetooth\n- 3) Setting, where you can enter it to set part of the functions;\n- 4) Brightness adjustment; where you can adjust the brightness of the screen;\n- 5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n## 1.4 Phone/Call History\n\n- 1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n- 2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n- 3. Dial the keyboard, you can enter the phone number to make a call.\n\n## 1.5 message\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n- 1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n- 1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "## B ． Bind to the APP\n\n## 1. APP download method\n\n## 1.1 Scan the QR code to download\n\n\n\n1.2 Search the application at App market and download For Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\n\n\nAfter WearPro is installed, the app icon appears as\n\n.\n\n## 2.Bind Bluetooth\n\n\n\n## 2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n## 2.2 Connected to the APP state:\n\n\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## 3. Find Watch\n\nAfter the smartwatch is bound to the APP, you click 'Find Watch' in the APP, the smartwatch will light up and vibrate for once.\n\n## 4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "## Important notes :\n\n - /SM590000 Data retention protection is permanent . After it is turned on, it cannot be turned off.\n - /SM590000 Content Manager OnDemand does not support deletion on hold data. This feature prevents held data from being deleted until the hold is released.\n\nTivoli Storage Manager supports two retention policies:", - "page_start": 257, - "page_end": 257, - "source_file": "sg246915.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.\n\n## Warranty description:\n\n - 1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.\n - 2. No warranty is provided for failures caused by the user's personal reasons, as follows:\n - 1). Failure caused by unauthorized disassembly or modification of the watch.\n - 2). Failure caused by accidental fall during use.\n - 3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.\n - 3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - } - ] - }, - { - "references": { - "source_file": "6126797.pdf", - "query": "When does my Sport smartwatch start and stop monitoring sleep?", - "target_page": 5, - "target_passage": "Sleep monitoring time period: from 18:00 at night to 10:00 the next day", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Bind the smartwatch to the app WearPro, you can control the music to start/pause/play previous song/play next song of your phone.\n\nBind the audio/calling Bluetooth of the smartwatch also, the music will be broadcast on the smartwatch.\n\n## 2.2 Sleep\n\nSleep monitoring time period: from 18:00 at night to 10:00 the next day, the data will be generated by the watch. After connecting to the APP, the sleep data on the watch can be synchronized to the APP for you to check.\n\n## 2.3 stopwatch\n\nClick the stopwatch to enter the timing interface, and you can record the time once.\n\n## 2.4 Weather\n\nAfter the smartwatch is connected to the app and the data is synchronized, tap Weather on the watch to display the weather information for the day.\n\n## 2.5 Find mobile phone\n\nAfter the watch is bound to the app WearPro, tap this function to find the mobile phone, and the mobile phone will vibrate or emit a ringtone.\n\n## 2.6 Meteorology\n\nClick on 'Meteorology' on the watch to display the ultraviolet (UV) and air pressure conditions of the day.\n\n## 2.7 Massager\n\nTap the green button to start the massage, and the watch is in a vibrating state, tap the red button to end the massage state.\n\n## 3.0 Menu style\n\nThere are a variety of menu styles for users to choose.\n\n## 3.1 Settings\n\n - 1) You can select the watch language on the settings of the watch, or the watch language can be synchronized with your mobile phone language after the watch successfully binds to the APP.\n - 2) Switch the watch face, swipe to the right to view the next watch face, select a watch face, and click it to set the watch face.\n - 3) Set screen time; a variety of screen time lengths can be selected.\n - 4) Vibration intensity; set reminder vibration intensity.\n - 5) Password; a 4-digit password can be set (if you forget the password, please enter 8762 to decrypt the previous password).\n - 6) Restore factory settings; click √ to enable the factory reset, and click X to cancel the factory reset.", - "page_start": 4, - "page_end": 4, - "source_file": "6126797.pdf" - }, - { - "text": "Click 'camera' in the app WearPro to wake up the camera mode of the watch, click the camera button on the watch to take photos, and the photos will be automatically saved to the phone album.\n\n## 5. Data synchronization\n\nAfter the watch is successfully bound to the application, the data in the smartwatch can be synchronized to the application.\n\n## 6. Tilt to wake the screen\n\nWear the smartwatch correctly on your wrist (left/right hand). when you switch on the feature, you can light up the screen when you raise up your wrist.\n\n## 7. Do not disturb mode\n\nIn the APP, tap 'Device' > 'More' > 'Do not disturb mode', set the start to end time, such as 12:00 to 14:00, then you won't receive phone calls and apps notifications on the watch during this period.\n\n## 8. Daily alarm clock\n\nIn the APP in the APP Device>More, set the start and the end time, the alarm can be set only once or repeatedly on the date (week) setting, and the alarm can be turned on/off.\n\n## 9. Sedentary reminder\n\nSet the start and the end time of the sedentary reminder, and the time interval (minutes) in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting. When the sedentary time is reached, the watch will vibrate and display a sedentary icon on the screen.\n\n## 10. Drink water reminder\n\nSet the reminder frequency (minutes) and the time period of the start and the end in a day in the APP. You can set the reminder for once or to repeat regularly by entering the repeating setting and selecting the date (week) of the water reminder. When the time of drink water reminder is reached, the watch will vibrate and there will be a water icon on the screen.\n\n## 11. Dial push\n\n## 11.1.Push an existing watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n - 11.2. Customize the watch face\n\nBind the watch and the app, open the app, tap Device > Watch face push, the first several watch faces marked with 'custom watch faces' are customizable. The watch will restart and bind the APP automatically after the synchronization of the watch face.\n\n## 12. Firmware version", - "page_start": 6, - "page_end": 6, - "source_file": "6126797.pdf" - }, - { - "text": "Enable the SMS notification in the app. When one or more SMS messages are received on the mobile phone, the watch will receive one or more SMS reminders at the same time.\n\n1.5.3. Other application message notifications:\n\nTurn on the corresponding application message notification in the app, such as WeChat, QQ, Outlook, Facebook and other applications. When the mobile phone receives one/multiple application message notifications, the watch will receive one/multiple corresponding message reminders at the same time.\n\n## 1.6 Frequently used contacts\n\nThe watch binds to the app, and you allow the watch to access to the phone book of your mobile phone, then you can synchronize you contacts of your mobile phone to the smartwatch.\n\n## 1.7 Fitness data\n\nFitness data is turned on by default. When you enter the fitness data interface, scroll up the screen, the smartwatch will display the current data of steps, distance, and calories. The data will be wiped out at 00:00 every day in the morning.\n\n## 1.8 Sports modes (walking, running, cycling, rope skipping, badminton,\n\n## basketball, football)\n\n1.8.1 Select the corresponding exercise mode, click the 'Start' button on the screen to start the exercise; click the 'Start' button again to pause the recording of the exercise; click the 'End' button to end the recording, and save to the data.\n\n1.8.2 The data can only be saved when the recording of the exercise is more than 1 minute; If the recording time is less than 1 minute, the smartwatch will remind you that the data is too little to be saved.\n\n## 1.9 Heart rate\n\nAfter you wearing the smartwatch correctly, you can measure heart rate when you enter the heart rate function. If you don't wear the smartwatch properly, it will remind you to wear firmly for the measurement.\n\n## 1.10 ECG\n\nAfter you wearing the smartwatch correctly, and enter the ECG function(you need to turn on the ECG interface in the app, you can have single measurement at a time. The data of ECG will be saved in the mobile phone. This function should be used with the app.\n\n## 2.0 My QR code\n\nConnect the watch to the APP, find My QR Code in the APP, select WeChat/QQ/Alipay and other \"Receive money QR code\" to sync to the watch (Please follow the instructions of the app to operate the function).\n\n## 2.1 Remote control music", - "page_start": 3, - "page_end": 3, - "source_file": "6126797.pdf" - }, - { - "text": "\n\n## Up button:\n\nShort press to light up or turn off the screen; one press to go back the dial interface; long press to reactivate the watch.\n\n## Button down:\n\nShort press to enter multi-sport mode.\n\nIn addition, when the watch is in the off-screen state, you can light up the screen by pressing any buttons.\n\n## Charging instructions:\n\nWireless charging, as shown in the picture below.\n\n\n\n## 1.1 Shortcut function:\n\n- 1) Swipe to the left till you find the \"+\" icon, click the icon to add part of the functions in the shortcut.\n- 2) Scroll down the screen when the watch is in the dial interface, you can find Bluetooth connection status, time, power, brightness adjustment and other functions.", - "page_start": 1, - "page_end": 1, - "source_file": "6126797.pdf" - }, - { - "text": "The version of the watch is displayed on 'Firmware upgrade' in the column of 'Device', and users can decide to whether upgrade the firmware version.\n\n## 13. Unbind\n\nIn the \"Device\" column of WearPro, scroll down to the \"Unbind\" and click to unbind the APP. The iSO users need to go to the Bluetooth settings of the phone, select the Bluetooth name of the\n\n\n\nsmart watch, and click \"Forget this device\". The 'About' of the watch has an 'Unbind' button, click it to unbind or do it in the APP. For the safety of users' data, the watch will implement a factory reset after that.\n\n## ●Frequently asked questions and answers\n\n*Please avoid exposing the device to extreme temperatures that are too cold or too hot for a long time, which may cause permanent damage.\n\n*Why can't I take a hot bath with my watch?\n\nThe temperature of the bath water is relatively changed, it will produce a lot of water vapor, and the water vapor is in the gas phase, and its molecular radius is small, and it is easy to seep into the gap of the watch case. The internal circuit of the watch is short-circuited, which damages the circuit board of the watch and damages the watch.\n\n## *No power on, no charging\n\nIf you receive the goods and the watch does not turn on, it may be caused by a collision during the transportation of the watch and the battery Seiko board has been protected, so plug in the charging cable to activate it.", - "page_start": 7, - "page_end": 7, - "source_file": "6126797.pdf" - }, - { - "text": "## Sports smart watch User Manual DT3 Mate\n\n\n\nThank you for choosing our smart watch. You can fully understand the use and operation of the equipment by reading this manual.\n\nThe company reserves the right to modify the contents of this manual without any prior notice.\n\nThe product contains: a packing box, a manual, a watch body, and a charging cable.\n\n## A. Watch function description\n\nButton description:", - "page_start": 0, - "page_end": 0, - "source_file": "6126797.pdf" - }, - { - "text": "- 3) Swipe to the right when the watch is in the dial interface, you can find time/date/week/the latest message (enter to view multiple messages)/some of the recently used menu functions, and turn on or off audio Bluetooth for calls.\n- 4) Swipe up the screen when the watch is in the dial interface to enter the menu interface, and scroll up and down to find the corresponding function.\n- 5) Long press the watch face interface and swipe to right or left to switch the watch face, select one of them and set it with one-click.\n\n## 1.2 App notification\n\n- 1) When the watch is bound to the APP, and you allow the watch to display notifications on the watch, the new messages received in your mobile phone will be pushed to the watch, and a total of 10 messages can be saved. The messages received after 10 messages will be overwritten one by one.\n- 2) Swipe to the bottom to click the delete icon to clear all message records.\n\n## 1.3 Drop-down menu\n\nScroll down the screen when the watch is in the dial interface to enter the drop-down menu interface.\n\n- 1) Bluetooth connection status; time; power left;\n- 2) About, where you can check the firmware version of watch and the address of the Bluetooth\n- 3) Setting, where you can enter it to set part of the functions;\n- 4) Brightness adjustment; where you can adjust the brightness of the screen;\n- 5) Alipay. Download the app Alipay in your mobile phone and bind it with your watch to realize offline payment.\n\n## 1.4 Phone/Call History\n\n- 1. Swipe to the left when the watch is in the watch interface, click the calling icon to turn on/off the calling Bluetooth. Turn on the calling Bluetooth, you will find the name of the calling Bluetooth, then go to the Bluetooth settings of your mobile phone, and bind the Bluetooth in the name of the calling Bluetooth of your watch. You can use the watch to make phone calls when they are successfully bound.\n- 2. Call records, which can save the records of incoming and dialed calls. (It can save more than 50 call records, and it will be automatically overwritten when 128 records are full. Click any call record to call back)\n- 3. Dial the keyboard, you can enter the phone number to make a call.\n\n## 1.5 message\n\nWhen the watch is successfully bound to the app, and you approve notifications of corresponding apps in your mobile phone system, and switch on these apps or callings notifications functions on your watch, the notifications on your mobile phone can synchronize to your watch.\n\n- 1.5.1. Incoming call notification:\n\nTurn on the incoming call reminder in the app. When the phone has a incoming call, the watch will light up or vibrate.\n\n- 1.5.2. SMS notification:", - "page_start": 2, - "page_end": 2, - "source_file": "6126797.pdf" - }, - { - "text": "If the battery is too low or the watch does not turn on after a long period of time, please plug in the data cable and charge it for more than half an hour to activate.\n\n## Warranty description:\n\n - 1. If there are any quality problems caused by manufacturing, materials, design, etc. in normal use, the motherboard of the watch is guaranteed for repair for free within one year, while the battery and charger within half a year from the date of purchase.\n - 2. No warranty is provided for failures caused by the user's personal reasons, as follows:\n - 1). Failure caused by unauthorized disassembly or modification of the watch.\n - 2). Failure caused by accidental fall during use.\n - 3). All man-made damages or the third party's fault, or misuses (such as: water in the device, cracking by external force, scratches on the case, damage, etc.) are not covered in the warranty.\n - 3. When requesting the warranty service, please provide a warranty card with the date of purchase and the stamp of the place of purchase on it.", - "page_start": 8, - "page_end": 8, - "source_file": "6126797.pdf" - }, - { - "text": "## B ． Bind to the APP\n\n## 1. APP download method\n\n## 1.1 Scan the QR code to download\n\n\n\n1.2 Search the application at App market and download For Android users:\n\nSearch for \"WearPro\" in the Google Play app store or any customized Android store to download, remember to check the pop-up box on your phone when installing, and agree to the permission. For iOS users:\n\nSearch for \"WearPro\" in the APP Store to download, remember to check the pop-up box on your phone when installing, and agree to the permission.\n\n\n\nAfter WearPro is installed, the app icon appears as\n\n.\n\n## 2.Bind Bluetooth\n\n\n\n## 2.1 Unconnected to the APP state:\n\nAfter the watch is turned on, the Bluetooth will be in the state of being searched. After open the APK/APP, go to Devices > Add Device > click to start searching, select and click the corresponding watch device name, and the watch will be successfully bound to the app.\n\n## 2.2 Connected to the APP state:\n\n\n\nWatch time synchronization: the time shown at the smartwatch and your mobile phone will synchronized after the smartwatch is bound to the APP successfully.\n\n2.3 Binding the audio/calling Bluetooth\n\nWhen the smartwatch is in the dial interface, you can find the audio/calling Bluetooth icon, and click it to turn it on, then go to the Bluetooth settings of your mobile phone and click the name of the audio/calling Bluetooth of the smartwatch to bind it.\n\n## 3. Find Watch\n\nAfter the smartwatch is bound to the APP, you click 'Find Watch' in the APP, the smartwatch will light up and vibrate for once.\n\n## 4. Camera", - "page_start": 5, - "page_end": 5, - "source_file": "6126797.pdf" - }, - { - "text": "## Monitor\n\n - · Logs in CloudWatch\n - · Errors and tracing in X-Ray\n - · Metrics\n\n## Secure\n\n - · Execution role", - "page_start": 53, - "page_end": 53, - "source_file": "serverless-core.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "Have the operating profits in Japan for Nissan gone up or down in 2004?", - "target_page": 5, - "target_passage": "operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, SALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS FOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. THE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. AT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO REACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\n## Net Sales\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 percent from last year. A higher volume and mix had a positive impact of ¥707.0 billion. Movements in foreign exchange rates produced a negative impact of ¥173.0 billion. Changes in the scope of consolidation, including Dongfeng Motor and Yulon Nissan Motor, raised revenues by ¥432.0 billion.\n\n## Operating Income\n\nConsolidated operating profit improved by 4.4 percent from last year to a record ¥861.2 billion. This resulted in an operating profit margin of 10.0 percent. Operating profit was affected by the following factors:\n\n - · The effect of foreign exchange rates produced a ¥78 billion negative impact for the full year. The depreciation of the U.S. dollar against the yen resulted in a negative impact of ¥74 billion, with an additional ¥13 billion from other currencies. The appreciation of the euro resulted in a positive impact of ¥9 billion.\n - · The change in the scope of consolidation produced a positive impact of ¥31 billion. This was primarily from the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n - · The impact of the higher volume and mix contributed ¥284 billion. This was mainly driven by an increase in U.S. sales volume.\n - · Selling expenses increased by ¥114 billion, also mainly due to the increase of sales in the U.S.\n - · The improvement in purchasing costs amounted to ¥131 billion.\n - · Product enrichment and the cost of regulations had a negative impact of ¥92 billion.\n - · An additional ¥44 billion was allocated to R&D to reinforce product and technology development.\n - · Cost reductions from manufacturing efficiencies were offset by costs associated with expanding the Canton plant's capacity, which resulted in a ¥15 billion increase in manufacturing and logistics expenses.\n - · Warranty costs increased by ¥41 billion, partly due to greater volume.\n - · General, administrative and other expenses increased by ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year. This was mainly due to unfavorable exchange rate fluctuations and an increase in R&D expenses, which reached a record level.\n\nDue to higher volumes, profitability in the U.S. and Canada increased 7.9 percent from last year and totaled ¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase of 13.8 percent compared to last year, owing to a better mix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico, operating profits came to ¥84.8 billion, an increase of 28.5 percent compared to last year. This was primarily due to the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n\nInter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## FISCAL YEAR 2004 SHARE PERFORMANCE\n\nDESPITE NISSAN'S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS NEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED AT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR UNDERSTANDING OF NISSAN'S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH VIEW OF THE COMPANY'S OPERATIONS AND PERFORMANCE INDICATORS.\n\n## Share Performance in Fiscal 2004\n\nNissan's share price began at ¥1,143 at the beginning of fiscal 2004 and ended the fiscal year at ¥1,099, generating a negative return of 3.85 percent. Total shareholder return (TSR) was -1.67 percent, while the dividend yield came to 2.18 percent (¥24 per share dividend, divided by the ¥1,099 closing price). Adverse movements in foreign exchange rates and commodity price hikes adversely affected Nissan's profitability, which was reflected in the share price. In addition, specific events relating directly to the company also had a negative impact. Later in this report, corporate officers will explain what actions Nissan has undertaken to ensure better performance.\n\n## Payout Policy\n\nNissan announced its NISSAN Value-Up three-year dividend policy, covering the period from fiscal 2005 to fiscal 2007, at the annual general meeting of shareholders on June 23, 2004. Nissan proposes a long-term dividend policy to provide more visibility and improve transparency into the ways in which Nissan rewards its shareholders. Nissan believes that a long-term dividend policy reduces uncertainty for investors who already own or are considering acquiring Nissan stock.\n\n## Fiscal Year 2004 Share Performance\n\n(Index: April 1, 2004=100)\n\n\n\n## IR Activities\n\nUnder NISSAN Value-Up, the IR team's performance will be evaluated based on the price-earnings ratio (PER) and volatility relative to our major competitors. PER is used to measure how successfully the IR team manages market expectations about Nissan in order to maintain the Nissan share price close to an intrinsic value. The other measure, volatility, is used to measure the risk investors perceive when considering Nissan stock. If Nissan can successfully reduce volatility, the minimum return required by investors should decline. The IR team believes that a strengthening of disclosure activities is required to improve both measures. The team plans to disclose not only financial results but also more forward-looking information about Nissan fundamentals such as technology and product. Such forward-looking information helps investors to forecast future performance more precisely and reduces uncertainty about the future. As a consequence, Nissan will increase the number of investor conferences, events, and teleconferences during fiscal 2005.\n\n## Five-Year Share Performance\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## PERFORMANCE\n\n## The recovery story is complete\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up to all the challenges. We had a record year in revenues, operating profit, net income, sales volume and production.\n\n## Sales performance\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This record level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is 281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine all-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan's manufacturing plants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n## Financial performance\n\n - · Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n - · Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a percentage of net revenue, our operating profit margin came to 10.0 percent.\n - · Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n## Nissan 180 commitments\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot be closed completely until the end of September 2005, but we know that we have already delivered two of the plan's three critical commitments.\n\n - · We committed to an 8 percent operating profit margin, and our margin has been at or above 10 percent for every year of NISSAN 180.\n - · We committed to zero debt, and today we have more than ¥200 billion in net cash under the new and more demanding accounting standards.\n - · Our only remaining commitment is to achieve one million additional sales. Even here we are in reasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, which is a slight advance compared to our commitment to reach 3,597,000 units by the end of September 2005.", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004\n\nc3", - "page_start": 112, - "page_end": 112, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries Fiscal years 2004, 2003, 2002, 2001 and 2000\n\n| | Millions of yen | Millions of yen | (except per share amounts and number of employees) | Millions of yen | Millions of yen | Millions of U.S. dollars (Note 1) (except per share amounts) |\n|--------------------------------------------|--------------------|--------------------|------------------------------------------------------|--------------------|--------------------|-----------------------------------------------------------------|\n| For the years ended | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2002 Mar. 31, 2003 | 2001 Mar. 31, 2002 | 2000 Mar. 31, 2001 | 2004 Mar. 31, 2005 |\n| Net sales | ¥8,576,277 | ¥7,429,219 | ¥6,828,588 | ¥6,196,241 | ¥6,089,620 | $80,152 |\n| Operating income | 861,160 | 824,855 | 737,230 | 489,215 | 290,314 | 8,048 |\n| Net income | 512,281 | 503,667 | 495,165 | 372,262 | 331,075 | 4,788 |\n| Net income per share (Note 2) | 125.16 | 122.02 | 117.75 | 92.61 | 83.53 | 1.17 |\n| Cash dividends paid (Note 3) | 94,236 | 74,594 | 50,800 | 27,841 | 0 | 881 |\n| Shareholder's equity | ¥2,465,750 | ¥2,023,994 | ¥1,808,304 | ¥1,620,822 | ¥ 957,939 | $23,044 |\n| Total assets | 9,848,523 | 7,859,856 | 7,349,183 | 7,215,005 | 6,451,243 | 92,042 |\n| Net consolidated automotive debt (Note 4) | (205,791) | 13,603 | 107,952 | 431,714 | 952,657 | (1,923) |\n| Number of employees | 183,607 | 123,748 | 127,625 | 125,099 | 133,833 | |\n\n- Notes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n- 2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year. Figures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.", - "page_start": 2, - "page_end": 2, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## NON-CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries Fiscal years 2004, 2003, 2002, 2001 and 2000\n\n| | Millions of yen | Millions of yen | (except per share amounts and number of employees) | Millions of yen | Millions of yen | Millions of U.S. dollars (Note 1) (except per share amounts) |\n|---------------------------------|--------------------|--------------------|------------------------------------------------------|--------------------|--------------------|-----------------------------------------------------------------|\n| For the years ended | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2002 Mar. 31, 2003 | 2001 Mar. 31, 2002 | 2000 Mar. 31, 2001 | 2004 Mar. 31, 2005 |\n| Net sales | ¥3,718,720 | ¥3,480,290 | ¥3,419,068 | ¥3,019,860 | ¥2,980,130 | $ 34,754 |\n| Operating income | 231,764 | 245,836 | 316,059 | 242,279 | 127,762 | 2,166 |\n| Net income | 102,415 | 80,713 | 72,869 | 183,449 | 187,485 | 957 |\n| Net income per share (Note 2) | 23.24 | 18.15 | 16.09 | 45.61 | 47.14 | 0.22 |\n| Cash dividends paid (Note 3-4) | 24.00 | 19.00 | 14.00 | 8.00 | 7.00 | 0.22 |\n| Shareholder's equity | ¥1,685,893 | ¥1,709,705 | ¥1,798,716 | ¥1,829,052 | ¥1,450,159 | $ 15,756 |\n| Total assets | 3,981,914 | 4,055,579 | 3,933,993 | 3,915,031 | 3,576,466 | 37,214 |\n| Long-term debt | 489,151 | 653,392 | 902,118 | 942,518 | 798,009 | 4,572 |\n| Depreciation and amortization | 102,145 | 115,180 | 56,760 | 56,265 | 49,074 | 954,626 |\n| Number of employees | 32,177 | 31,389 | 31,128 | 30,365 | 30,747 | |\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.", - "page_start": 106, - "page_end": 106, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\n## Automotive Debt:\n\nDespite higher levels incurred for capital expenditures and R&D, cash generated from operating activities in the automotive division eliminated net automotive debt. Nissan held a ¥205.8 billion yen net cash position at the close of fiscal 2004 in this division.\n\n## Rating\n\nRegarding Nissan's long-term credit rating, R&I upgraded Nissan from A- to A on May 11, 2005. S&P upgraded their rating from BBB to BBB+ on July 20, 2004, and Moody's upgraded from Baa3 to Baa1 on January 29, 2004.\n\n## Investment Policy\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5 billion, representing 5.6 percent of net revenue. This increase included the Canton plant expansion. R&D expenditures increased by ¥43.8 billion to ¥398.1 billion. This increase went to fund new technologies and product development. Our R&D resources are focused on projects that add value to our customers and that will deliver an expected return, in both the short and long term.\n\n## Dividend\n\nAt the annual general meeting of shareholders on June 21, 2005, the company proposed increasing its dividend to ¥24 per share in 2004, up from ¥19 in 2003. In the first year of the NISSAN Value-up dividend policy, the Company plans to increase the per-share dividend to ¥29 in 2005. By the end of NISSAN Value-up in March 2008, Nissan plans to pay an annual dividend of no less than ¥40 per share.\n\n## Return on Invested Capital (ROIC)\n\nNissan's investments are made within the strict guidelines of its automotive operating ROIC. Based on these guidelines, Nissan reached 20.1 percent of ROIC on a consistent basis as of fiscal 2003.\n\n## Dividend Policy\n\n\n\n*Forecast", - "page_start": 15, - "page_end": 15, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Looking to the New Fiscal Year\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume of 61 million units globally, Nissan's sales are forecast to come to 3,618,000 units, a 6.8 percent increase over the prior year.\n\nWorldwide, we will launch six all-new models-five in Japan, one in Europe-leading to twenty regional product events.\n\n## Our sales objectives\n\n - · Japan: 933,000 units, a 10 percent increase over last year\n - · U.S.: 1,047,000 units, an increase of 3.3 percent\n - · Europe: 550,000 units, a 1.1 percent increase over last year\n - · General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n## Our financial outlook\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of uncertainty and risks-volatility in exchange rates, higher interest rates, higher commodity prices, higher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The opportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign exchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n - · Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n - · Operating profit is expected to be ¥870 billion, up 1 percent.\n - · Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n - · Net income is predicted to be ¥517 billion, up 0.9 percent.\n - · Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n - · R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n - · ROIC is expected to remain at or above 20 percent.", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\n## Net Income\n\nNet non-operating expenses totaled ¥5.5 billion, ¥9.7 billion lower than last year. This was primarily due to a ¥5.3 billion decrease in financial costs and a ¥5.3 billion increase in equity in earnings of unconsolidated subsidiaries and affiliates, thanks mainly to Renault. Net extraordinary losses totaled ¥62.5 billion, ¥10.7 billion lower than last year, mainly due to the sale of the site of the former Murayama plant. Net income before taxes came to ¥793.2 billion. Income taxes totaled ¥258.0 billion, with an effective consolidated tax rate of 33 percent. Minority interests amounted to ¥22.9 billion, mainly from Yulon Nissan Motor. As a result, net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n## FINANCIAL POSITION\n\n## Balance Sheet\n\nIn 2004, total consolidated assets increased by 25.3 percent to ¥9,848.5 billion.\n\nCurrent assets increased by 36.4 percent, or ¥1,372.4 billion, to ¥5,139.4 billion. This increase included changes in the scope of consolidation by ¥271.1 billion and an increase in sales finance receivables by ¥840.6 billion thanks to increased sales in the U.S. Fixed assets increased by 15.1 percent, or ¥616.7 billion, to ¥4,708.0 billion. Property, plant and equipment valuation increased by ¥593.6 billion, mainly due to capital expenditures of ¥477.5 billion and an increase in leased vehicles.\n\nCurrent liabilities increased by 28.1 percent, or ¥872.2 billion, to ¥3,974.7 billion. This increase included changes in the scope of consolidation of ¥144.4 billion and an increase in short-term borrowings for sales financing of ¥558.5 billion.\n\nIn 2004, total shareholder equity increased from ¥2,024.0 billion to ¥2,465.8 billion. This gain was primarily due to net income of ¥512.3 billion, offset by dividends paid totaling ¥101.2 billion. Consolidated shareholder equity represented 29 percent of total revenues and 25 percent of total assets.\n\n## Cash Flow\n\nCash from operating activities was ¥369.4 billion, below the previous year's level of ¥797.4 billion. This drop was primarily caused by a ¥331.2 billion increase in finance receivables in the U.S. and Japan. There were also increases in inventory and income tax paid.\n\nCash used for investing activities increased by ¥108.9 billion to ¥865.0 billion. This increase was mainly due to an increase of leased vehicles in the U.S.\n\nCash from financing activities totaled ¥521.0 billion, including an increase in short-term borrowing of ¥666.2 billion, offset by ¥94 billion for the payment of dividends and ¥26 billion for the acquisition of treasury stock.\n\nIn total, cash and cash equivalents increased by ¥95.6 billion to ¥289.8 billion from fiscal 2004.", - "page_start": 14, - "page_end": 14, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## NISSAN Value-Up: Sustaining Performance\n\nNissan's position today is much different than it was six years ago or even three years ago. In 1999, we were in crisis, and the Nissan Revival Plan was needed to revive our company and build a future. In April 2002, when NISSAN 180 began, we wanted to complete the revival process, with an emphasis on profitable growth.\n\nNISSAN Value-Up is about sustaining performance. About taking all the gains we have made in connecting with our customers, in growing volumes, in creating value, in earning profits, in improving management- and then building upon these gains.\n\nWith NISSAN Value-Up, you will not see a radical break from NISSAN 180. This plan is evolutionary, not revolutionary. We will take the core elements that got us to this point-namely, more revenue, less cost, more quality and speed, and maximized Alliance benefit with Renaultand build upon them.\n\nNISSAN Value-Up has three critical commitments:\n\nProfit: Nissan will maintain the top level of operating profit margin among global automakers for each of the three years of the plan.\n\nVolume: Nissan will achieve global sales of 4.2 million units measured in fiscal 2008.\n\nROIC: Nissan will achieve a 20 percent ROIC on average over the course of the plan, based on the new formula that excludes cash on hand from the denominator.\n\nNISSAN Value-Up will oversee 28 new models, resulting in the start of production of 70 models worldwide, over two dozen more than the 44 production starts during NISSAN 180. Of the 28 new models, 18 will be replacements for existing models and 10 will be completely new 'conquest' models. We will enter more new segments, and we will introduce six models that will delight customers by being completely innovative in their concept and benefits.\n\nWe will pursue four major breakthroughs while implementing NISSAN Value-Up:\n\n - · Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and continue to establish its credibility as a Tier-1 luxury player.\n - · We will develop our Light Commercial Vehicle (LCV) business into a fully competitive global operation through new market and product entries. By 2007, we plan to increase our LCV volume by 40 percent from fiscal 2004 to 434,000 units. During this period, operating margin is targeted to double from 4 percent to 8 percent.\n - · We will take a more efficient global sourcing approach to maximize our opportunities and minimize our overall costs as we grow. Our engineering, production and purchasing functions will continue their acceleration toward being fully integrated global operations.\n - · We will continue to invest in new and emerging markets, including China, India and Russia.", - "page_start": 11, - "page_end": 11, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "How can CEDAR Oil be used with the AY11236 microscope?", - "target_page": 10, - "target_passage": "1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil. 2. After finishing the observation, wipe off the cedar oil. 3. Do not use the 40x objective until you have wiped off all of the cedar oil.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## OPERATION ( cont. )\n\n - 6. Adjust the interpupillary distance by using the eyepiece interpupillary slide adjustment.\n - 7. Observe using the right eyepiece adjusting the coarse and fine focus and adjust the diopter ring until image is clear and sharp.\n - 8. Observe with the left eyepiece and adjust the diopter ring until image is clear and sharp.\n - 9. Rotate the fine focus adjustment when using other objectives. NOTE: This instrument is equipped with patent objectives so the precision or parfocalization is very high.\n\nFig. 1 - Objective Parts\n\n\n\n - 10. If the image is in focus with the 10x objective, you can select other objectives and observe the specimen even if the fine adjustment knob has not been used by using the following method (See Fig. 1):\n - 1. Unscrew the 40x or 100x objective and remove from turret.\n - 2. Remove the mark sleeve.\n - 3. Turn the ring on the objective to adjust its parfocal distance.\n - 4. Re-insert the objective and compare with the 10x.\n - 5. Adjust until the 40x and 100x objectives image is clear.\n\n## USING THE CEDAR OIL\n\n - 1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil.\n - 2. After finishing the observation, wipe off the cedar oil.\n - 3. Do not use the 40x objective until you have wiped off all of the cedar oil.\n\n\n\n## OPERATION ( cont. )\n\n## ADJUSTING THE CONDENSER APERTURE", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n\n\n## PARTS LIST\n\n## Model AY11240\n\nName\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\nPlain Concave Mirror\n\n1\n\nPlastic Dust Cover\n\n1\n\n10x Wide Field Eyepiece\n\n1\n\nLens Cleaning Tissue\n\n1\n\nSpecification\n\n1\n\nInspection Certificate\n\n1\n\nPacking List\n\n1\n\n## OPERATION\n\n## Model AY11240\n\n## Model AY11238\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret.\n - 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Adjust the stand to an angle that provides comfortable observation.\n - 5. Rotate and adjust concave mirror to light the field of view. NOTE: Do not reflect the Sun with the mirror. This can cause serious eye injury or permanent eye damage.\n - 6. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret. 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n - 5. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n\n4x\n\n10x\n\n40x (s)\n\nQty\n\n1\n\n1\n\n1\n\n1\n\n## Model AY11238\n\n| Name | Name | Qty |\n|-------------------------|-------------------------|-------|\n| Microscope Stand | Microscope Stand | 1 |\n| | 4x | 1 |\n| Achromatic Objective | 10x | 1 |\n| | 40x (s) | 1 |\n| 10x Wide Field Eyepiece | 10x Wide Field Eyepiece | 1 |\n| Plastic Dust Cover | Plastic Dust Cover | 1 |\n| Spare Bulb | Spare Bulb | 1 |\n| Lens Cleaning Tissue | Lens Cleaning Tissue | 1 |\n| Specification | Specification | 1 |\n| Inspection Certificate | Inspection Certificate | 1 |\n| Packing List | Packing List | 1 |", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n## PARTS LIST\n\n## Model AY11228\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n## OPERATION\n\n## Model AY11228\n\n## Model AY11232\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n - 3. Fix the binocular body on the stand with the tightening screw.\n - 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11232\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11240\n\n## Model AY11238\n\n - 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n - 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n## USING THE 5-HOLE DIAPHRAGM\n\n - 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n - 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole.\n - Use the following guidelines to match the hole number to the objective that you have selected:\n - 40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n## COARSE KNOB ADJUSTMENT - Model AY11240\n\n - 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n - 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\nFig. 1- Coarse Adjustment Knob\n\n\n\n\n\n\n\n## MODEL AY11228/AY11232\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## INDEX\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232.................. 6-9\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n10-13\n\n14-18\n\nBack Cover\n\n## IMPORTANT NOTES\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32 o F to 104 o F.\n- 3. Do not use this instrument in an environment with a lot of dust. Cover the instrument when not in use.\n- 4. Do not subject the instrument to shock.\n\n## MAINTENANCE\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios:\n\nWet weather: 1:2\n\n- Dry Weather: 1:1\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n\n\n## MODEL AY11240/AY11238\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 o vertical to 45 o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 o angle. The head rotates 360 o . The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 12 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11234\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n## PARTS LIST\n\n| Name | Name |\n|-----------------------------------|---------------------------------------------|\n| Microscope Stand | Microscope Stand |\n| | 4x (parfocal distance adjustable) |\n| | 10x |\n| | 40x (s) (parfocal distance adjustable) |\n| | 100x (oil,s) (parfocal distance adjustable) |\n| 10x Wide Field Eyepiece w/Pointer | 10x Wide Field Eyepiece w/Pointer |\n| Abbe Condenser NA1.25 | Abbe Condenser NA1.25 |\n| | |\n| Spare 6V20W Halogen Bulb | Spare 6V20W Halogen Bulb |\n| Lens Cleaning Tissue | Lens Cleaning Tissue |\n| Cedar Oil | Cedar Oil |\n| 1A Fuse (spare) | 1A Fuse (spare) |\n| Specification | Specification |\n| Inspection Certificate | Inspection Certificate |\n| Packing List | Packing List |\n\n## OPERATION\n\n - 1. Remove all components from package. Identify all parts before assembling instrument.\n - 2. Attach 4x, 10x and 40x objectives by screwing into revolving turret. Tighten and secure to maximum finger pressure only.\n - 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n - 5. Observe the specimen using the lowest magnification objective first. The 10x objective provides a larger field of view making it easier to search the specimen.", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11230\n\n## Model AY11234\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## USING THE VERTICAL TUBE MODELS AY11230/11234\n\n - 1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n - 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n - 3. Make sure that both the images in\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n\n\n\n\n## MODEL AY11230/AY11234\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11228\n\n## Model AY11232\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION\n\n - 1. Turn the zoom magnification knob to the desired magnification and field of view.\n - 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n - 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n## DIOPTER RING ADJUSTMENT\n\n - 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n - a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n - b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n - c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring.\n - d.With more than one viewer, each viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n## CHANGING THE BULB", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "For the AY11230 microscope, what is the interpupillary adjustment?", - "target_page": 7, - "target_passage": "Model AY11230 1. Interpupillary Adjustment: 55mm - 75mm", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## SPECIFICATIONS\n\n## Model AY11230\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: 60mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Right Diopter Adjustment Range: +4 to -6 dopters\n - 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n## Model AY11234\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: >50mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Diopter Adjustment Range: +/- 5 diopters\n - 6. Illumination:\n\nInput Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n\n\n\n\n## Optical Specifications - Model AY11230\n\n| Total Magnification | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | Working Distance |\n|-----------------------|---------------------------|------------------------------------------------|--------------------|\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n## Optical Specifications - Model AY11234", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## SPECIFICATIONS\n\n## Model AY11228\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: 60mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Right Diopter Adjustment Range: +4 to -6 dopters\n - 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n## Model AY11232\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: >50mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Diopter Adjustment Range: +/- 5 diopters\n - 6. Illumination:\n - Input Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n\n\n\n\n## Optical Specifications - Model AY11228\n\n| Total Magnification | Objective | Eyepiece Magnification | Working Distance |\n|-----------------------|---------------|--------------------------|--------------------|\n| | Magnification | & Field Diameter (mm) | |\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n## Optical Specifications - Model AY11232\n\n| Objective Zoom Scale | Objective Zoom Scale | | | | | |\n|---------------------------|-----------------------------------|---------------|-------------|--------------|--------------|---------------|\n| Accessory Large Objective | Accessory Large Objective | - | 0.5x | 0.75x 1.5x | | 2x |\n| Working Distance (mm) | Working Distance (mm) | 95 | 156 | 102 | 44 | 30 |\n| WF10x/20mm | Total Magnification | 7x- 45x | 3.5x- 22.5x | 5.3x- 33.8x | 10.5x- 67.5x | 14x- |\n| WF10x/20mm | Field of View Objective Dia. (mm) | 28.6- 4.4 | 57.2- 8.8 | 38.1- 5.9 | 19.0- 2.9 | 90x 14.3- 2.2 |\n| WF12.5x/18mm | Total Magnification | 8.8x- 56x | 4.4x- 28x | 6.6x- 42x | 13.2x- 84x | 17.6x- 112x |\n| WF12.5x/18mm | Field of View Objective Dia. (mm) | 25.7- 4.0 | 51.4- 8 | 34.3- 5.3 | 17.1- 2.7 | 12.9- 2.0 |\n| WF15x/16mm | Total Magnification | 10.5x- 67.5x | 5.3x- 33.8x | 7.9x- 58.6x | 15.7x- 101x | 21x- 135x |\n| WF15x/16mm | Field of View Objective Dia. (mm) | 22.9- 3.6 | 45.8- 7.2 | 30.5- 4.8 | 15.3- 24 | 11.5- 1.8 |\n| WF20x/12mm | Total Magnification | 14x- 90x | 7x- 45x | 10.5x- 67.5x | 21x- 135x | 28x- 180x |\n| WF20x/12mm | Field of View Objective Dia. (mm) | 17.0- 2.7 | 34.0- 5.4 | 22.7- 3.6 | 11.3- 1.8 | 8.5- 1.4 |\n| WF25x/9mm | Total Magnification | 17.5x- 112.5x | 8.8x- 56.3x | 13x- 84.4x | 26.3x- 169x | 35x- 225x |\n| WF25x/9mm | Field of View Objective Dia. (mm) | 12.9- 2.0 | 25.8- 4.0 | 17.2- 2.7 | 8.6- 1.3 | 6.5- 1.0 |\n\n\n\n\n\n## PARTS LIST\n\n## Model AY11228", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n## PARTS LIST\n\n## Model AY11228\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n## OPERATION\n\n## Model AY11228\n\n## Model AY11232\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n - 3. Fix the binocular body on the stand with the tightening screw.\n - 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11232\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11230\n\n## Model AY11234\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## USING THE VERTICAL TUBE MODELS AY11230/11234\n\n - 1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n - 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n - 3. Make sure that both the images in\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n - 6. Adjust the interpupillary distance by using the eyepiece interpupillary slide adjustment.\n - 7. Observe using the right eyepiece adjusting the coarse and fine focus and adjust the diopter ring until image is clear and sharp.\n - 8. Observe with the left eyepiece and adjust the diopter ring until image is clear and sharp.\n - 9. Rotate the fine focus adjustment when using other objectives. NOTE: This instrument is equipped with patent objectives so the precision or parfocalization is very high.\n\nFig. 1 - Objective Parts\n\n\n\n - 10. If the image is in focus with the 10x objective, you can select other objectives and observe the specimen even if the fine adjustment knob has not been used by using the following method (See Fig. 1):\n - 1. Unscrew the 40x or 100x objective and remove from turret.\n - 2. Remove the mark sleeve.\n - 3. Turn the ring on the objective to adjust its parfocal distance.\n - 4. Re-insert the objective and compare with the 10x.\n - 5. Adjust until the 40x and 100x objectives image is clear.\n\n## USING THE CEDAR OIL\n\n - 1. Drop some cedar oil on to the top of the 100x objective when the 100x objective is being used. NOTE: To maintain a good quality image, rotate the turret right and left several times to eliminate bubbles in the cedar oil.\n - 2. After finishing the observation, wipe off the cedar oil.\n - 3. Do not use the 40x objective until you have wiped off all of the cedar oil.\n\n\n\n## OPERATION ( cont. )\n\n## ADJUSTING THE CONDENSER APERTURE", - "page_start": 9, - "page_end": 9, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11228\n\n## Model AY11232\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION\n\n - 1. Turn the zoom magnification knob to the desired magnification and field of view.\n - 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n - 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n## DIOPTER RING ADJUSTMENT\n\n - 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n - a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n - b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n - c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring.\n - d.With more than one viewer, each viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n## CHANGING THE BULB", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 12 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11234\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11240\n\n## Model AY11238\n\n - 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n - 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n## USING THE 5-HOLE DIAPHRAGM\n\n - 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n - 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole.\n - Use the following guidelines to match the hole number to the objective that you have selected:\n - 40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n## COARSE KNOB ADJUSTMENT - Model AY11240\n\n - 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n - 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\nFig. 1- Coarse Adjustment Knob\n\n\n\n\n\n\n\n## MODEL AY11228/AY11232\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n\n\n## PARTS LIST\n\n## Model AY11240\n\nName\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\nPlain Concave Mirror\n\n1\n\nPlastic Dust Cover\n\n1\n\n10x Wide Field Eyepiece\n\n1\n\nLens Cleaning Tissue\n\n1\n\nSpecification\n\n1\n\nInspection Certificate\n\n1\n\nPacking List\n\n1\n\n## OPERATION\n\n## Model AY11240\n\n## Model AY11238\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret.\n - 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Adjust the stand to an angle that provides comfortable observation.\n - 5. Rotate and adjust concave mirror to light the field of view. NOTE: Do not reflect the Sun with the mirror. This can cause serious eye injury or permanent eye damage.\n - 6. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret. 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n - 5. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n\n4x\n\n10x\n\n40x (s)\n\nQty\n\n1\n\n1\n\n1\n\n1\n\n## Model AY11238\n\n| Name | Name | Qty |\n|-------------------------|-------------------------|-------|\n| Microscope Stand | Microscope Stand | 1 |\n| | 4x | 1 |\n| Achromatic Objective | 10x | 1 |\n| | 40x (s) | 1 |\n| 10x Wide Field Eyepiece | 10x Wide Field Eyepiece | 1 |\n| Plastic Dust Cover | Plastic Dust Cover | 1 |\n| Spare Bulb | Spare Bulb | 1 |\n| Lens Cleaning Tissue | Lens Cleaning Tissue | 1 |\n| Specification | Specification | 1 |\n| Inspection Certificate | Inspection Certificate | 1 |\n| Packing List | Packing List | 1 |", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## SPECIFICATIONS\n\n - 1. Length of mechanical tube: 160mm\n - 2. Conjugate distance between object and image: 195mm\n - 3. Condenser: Abbe; numerical aperture: NA1.25 (oil immersion)\n - 4. Illumination: Input 110V or 200V; Output: 20W\n - 5. Fine adjustment range: .002mm\n - 6. Coarse Adjustment Range: 20mm\n - 7. Shift or Mechanical Stage: Longitude - 40mm; Transversal - 70mm\n - 8. Condenser Elevation Range: 15mm\n - 9. Iris diaphragm aperture: 2mm-30mm\n\n## Objective Specifications\n\n| Classification | Optical System | Magnification | Numerical Aperture | Working Distance |\n|----------------------|-------------------|------------------------------|----------------------|---------------------|\n| Achromatic Objective | Dry | 4x Adjustable Focus | 0.1 | 37.42mm |\n| Achromatic Objective | Dry | 10x | 0.25 | 7.14mm |\n| Achromatic Objective | Dry | 40x Spring Adjustable Focus | 0.65 | 0.57mm |\n| Achromatic Objective | Oil Immer- sion | 100x Spring Adjustable Focus | 1.25 | 0.18mm |\n\nNote: For oil immersion, please use the index of refraction 1.515 oil\n\n## Eyepiece Specifications\n\n| Classification | Magnification | Field of View (FOV) Diameter |\n|-----------------------|-----------------|--------------------------------|\n| Plain Field Eyepiece | 10x | 18mm |\n\n## Total Magnification\n\n| Objective Magnification Eyepiece | 10x |\n|------------------------------------|-------|\n| 4x | 40x |\n| 10x | 100x |\n| 40x (s) | 400x |\n| 100x (oil,s) | 1000x |\n\n\n\n\n\n## PARTS LIST", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "Microscope Manual.pdf", - "query": "The illumination of my AY11236 microscope is not very strong, what can I do to solve this?", - "target_page": 10, - "target_passage": "1. Open iris diaphragm wider. 2. Raise condenser. 3. Clean lens.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 12 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11234\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n## PARTS LIST\n\n## Model AY11228\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 10V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Black/White Working Stage | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |\n\n## OPERATION\n\n## Model AY11228\n\n## Model AY11232\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Tighten the knob on the stand to prevent the elevator from sliding down.\n - 3. Fix the binocular body on the stand with the tightening screw.\n - 4. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Check the input voltage to ensure that it conforms to the microscopes requirement.\n\n## SELECTING THE ILLUMINATION\n\n - 1. Depending on microscope use, select oblique or transmitted illumination.\n - 2. The Brightness Adjustment Knobs change the oblique or transmitted light independently. The transmitted illuminator fluorescent lamp cannot be adjusted.\n - 3. The angle of the oblique lamp can be adjusted to ensure optimum lighting of the sample.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## Model AY11232\n\n| Name | Qty |\n|--------------------------------------------------|---------------|\n| Binocular Body (incl. 2x, 4x obj.) | 1 |\n| 10x Wide Field Eyepiece | 2 |\n| Eyeshade | 2 |\n| 12V 10W Halogen Lamp 12V 10W Halogen Lamp w/cup | 1 ea. (spare) |\n| Fuse 2A (spare) | 1 |\n| Lens Cleaning Tissue | 1 |\n| Dust Cover | 1 |\n| Specifications | 1 |\n| Packing Slip | 1 |\n| Quality Inspection Certificate | 1 |", - "page_start": 4, - "page_end": 4, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n\n\n\n\n## MODEL AY11230/AY11234\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11230 and Model AY11234 are trinocular microscopes designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use and the vertical tube make them is useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11230 is a fixed power trinocular stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11234 is a zoom trinocular stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n\n\n## PARTS LIST\n\n## Model AY11240\n\nName\n\nMicroscope Stand\n\nAchromatic\n\nObjective\n\nPlain Concave Mirror\n\n1\n\nPlastic Dust Cover\n\n1\n\n10x Wide Field Eyepiece\n\n1\n\nLens Cleaning Tissue\n\n1\n\nSpecification\n\n1\n\nInspection Certificate\n\n1\n\nPacking List\n\n1\n\n## OPERATION\n\n## Model AY11240\n\n## Model AY11238\n\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret.\n - 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Adjust the stand to an angle that provides comfortable observation.\n - 5. Rotate and adjust concave mirror to light the field of view. NOTE: Do not reflect the Sun with the mirror. This can cause serious eye injury or permanent eye damage.\n - 6. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n - 1. Remove components from package. identify all parts before assembling.\n - 2. Attach 4x, 10x and 40x objectives to revolving turret. 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n - 5. Observe the specimen using the lowest magnification objective first. The 4x objective provides a larger field of view to search specimen.\n\n4x\n\n10x\n\n40x (s)\n\nQty\n\n1\n\n1\n\n1\n\n1\n\n## Model AY11238\n\n| Name | Name | Qty |\n|-------------------------|-------------------------|-------|\n| Microscope Stand | Microscope Stand | 1 |\n| | 4x | 1 |\n| Achromatic Objective | 10x | 1 |\n| | 40x (s) | 1 |\n| 10x Wide Field Eyepiece | 10x Wide Field Eyepiece | 1 |\n| Plastic Dust Cover | Plastic Dust Cover | 1 |\n| Spare Bulb | Spare Bulb | 1 |\n| Lens Cleaning Tissue | Lens Cleaning Tissue | 1 |\n| Specification | Specification | 1 |\n| Inspection Certificate | Inspection Certificate | 1 |\n| Packing List | Packing List | 1 |", - "page_start": 2, - "page_end": 2, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11230\n\n## Model AY11234\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## USING THE VERTICAL TUBE MODELS AY11230/11234\n\n - 1. The vertical tube can be used for instructional viewing or to photograph the image witrh a digital camera or micro TV unit.\n - 2. Loosen the retention screw, then rotate the adjustment ring to change the length of the vertical tube.\n - 3. Make sure that both the images in\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION", - "page_start": 7, - "page_end": 7, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11228\n\n## Model AY11232\n\n## SELECTING OBJECTIVE MAGNIFICATION\n\n - 1. There are two objectives. The lower magnification objective has a greater depth of field and view.\n - 2. In order to observe the specimen easily use the lower magnification objective first. Then, by rotating the case, the magnification can be changed.\n\n## CHANGING THE INTERPUPILLARY DISTANCE\n\n - 1. The distance between the observer's pupils is the interpupillary distance.\n - 2. To adjust the interpupillary distance rotate the prism caps until both eyes coincide with the image in the eyepiece.\n\n## FOCUSING\n\n - 1. Remove the lens protective cover.\n - 2. Place the specimen on the working stage.\n - 3. Focus the specimen with the left eye first while turning the focus knob until the image appears clear and sharp.\n - 4. Rotate the right eyepiece ring until the images in each eyepiece coincide and are sharp and clear.\n\n## CHANGING THE BULB\n\n - 1. Disconnect the power cord from the electrical outlet before changing the bulb.\n - 2. When the bulb is cool, remove the oblique illuminator cap and remove the halogen bulb with cap.\n - 3. Replace with a new halogen bulb.\n - 4. Open the window in the base plate and replace the halogen lamp or fluorescent lamp of transmitted illuminator.\n\n## FOCUSING\n\n - 1. Turn the focusing knob away or toward you until a clear image is viewed.\n - 2. If the image is unclear, adjust the height of the elevator up or down, then turn the focusing knob again.\n\n## ZOOM MAGNIFICATION\n\n - 1. Turn the zoom magnification knob to the desired magnification and field of view.\n - 2. In most situations, it is recommended that you focus at the lowest magnification, then move to a higher magnification and re-focus as necessary.\n - 3. If the image is not clear to both eyes at the same time, the diopter ring may need adjustment.\n\n## DIOPTER RING ADJUSTMENT\n\n - 1. To adjust the eyepiece for viewing with or without eyeglasses and for differences in acuity between the right and left eyes, follow the following steps:\n - a. Observe an image through the left eyepiece and bring a specific point into focus using the focus knob.\n - b. By turning the diopter ring adjustment for the left eyepiece, bring the same point into sharp focus.\n - c.Then bring the same point into focus through the right eyepiece by turning the right diopter ring.\n - d.With more than one viewer, each viewer should note their own diopter ring position for the left and right eyepieces, then before viewing set the diopter ring adjustments to that setting.\n\n## CHANGING THE BULB", - "page_start": 5, - "page_end": 5, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## OPERATION ( cont. )\n\n## Model AY11240\n\n## Model AY11238\n\n - 7. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 8. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n - 6. To clearly see the outline of the specimen, rotate the coarse adjustment knob and lower the barrel to the space limiter.\n - 7. Rotate the fine adjustment knob until the image is in sharp focus. When using other objectives, rotate the fine focus adjustment until the image is in focus.\n\n## USING THE 5-HOLE DIAPHRAGM\n\n - 1. To obtain the best contrast for observing, match the hole size to the objective that is being used to view the specimen.\n - 2. Each hole has a corresponding number from 1 to 5. 1 is the smallest hole; 5 is the largest hole.\n - Use the following guidelines to match the hole number to the objective that you have selected:\n - 40x objective: Use #5 hole\n\n10x objective: Use #4 or #3 hole\n\n4x objective: Use #2 or #1 hole\n\n## COARSE KNOB ADJUSTMENT - Model AY11240\n\n - 1. The coarse adjustment knob has an adjustable heavy-light nut (See Fig.1).\n - 2. To adjust the knob loosen or tighten the nut. NOTE: Adjusting the nut too tight will make focusing difficult. Adjusting the nut too loose will cause the tube to slide.\n\nFig. 1- Coarse Adjustment Knob\n\n\n\n\n\n\n\n## MODEL AY11228/AY11232\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11228 and Model AY11232 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11228 is a fixed power stereo microscope. It is constructed with two optical paths at the same angle. It is equipped with transmitted illumination and oblique illumination. By using this instrument, the user can observe and enlarge the right side stereo image. BARSKA Model AY11232 is a zoom stereo microscope. The object being viewed is enlarged through two identical sized sets of right and left eye lenses. The zoom provides different magnification and features an inversion system which allows the image to be viewed normally and right side up.", - "page_start": 3, - "page_end": 3, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## SPECIFICATIONS\n\n## Model AY11230\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: 60mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Right Diopter Adjustment Range: +4 to -6 dopters\n - 6. Illumination: Input Voltage: 110V AC or 220V Output: Oblique illumination: 12V 10W Halogen Lamp\n\n## Model AY11234\n\n - 1. Interpupillary Adjustment: 55mm - 75mm\n - 2. Working Stage Diameter: 95mm\n - 3. Focus Knob Adjustment Range: >50mm\n - 4. Elevator Adjustment Range: 110mm\n - 5. Diopter Adjustment Range: +/- 5 diopters\n - 6. Illumination:\n\nInput Voltage: 110V AC or 220V Output: Oblique Illumination: 12V 10W Halogen Lamp Transmitted Illumination: 12V 10W Halogen Lamp\n\n\n\n\n\n## Optical Specifications - Model AY11230\n\n| Total Magnification | Objective Magnification | Eyepiece Magnification & Field Diameter (mm) | Working Distance |\n|-----------------------|---------------------------|------------------------------------------------|--------------------|\n| 20x, 40x | 2x, 4x | Wide Field 10x, 20mm | 90mm |\n\n## Optical Specifications - Model AY11234", - "page_start": 6, - "page_end": 6, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n## PARTS LIST\n\n| Name | Name |\n|-----------------------------------|---------------------------------------------|\n| Microscope Stand | Microscope Stand |\n| | 4x (parfocal distance adjustable) |\n| | 10x |\n| | 40x (s) (parfocal distance adjustable) |\n| | 100x (oil,s) (parfocal distance adjustable) |\n| 10x Wide Field Eyepiece w/Pointer | 10x Wide Field Eyepiece w/Pointer |\n| Abbe Condenser NA1.25 | Abbe Condenser NA1.25 |\n| | |\n| Spare 6V20W Halogen Bulb | Spare 6V20W Halogen Bulb |\n| Lens Cleaning Tissue | Lens Cleaning Tissue |\n| Cedar Oil | Cedar Oil |\n| 1A Fuse (spare) | 1A Fuse (spare) |\n| Specification | Specification |\n| Inspection Certificate | Inspection Certificate |\n| Packing List | Packing List |\n\n## OPERATION\n\n - 1. Remove all components from package. Identify all parts before assembling instrument.\n - 2. Attach 4x, 10x and 40x objectives by screwing into revolving turret. Tighten and secure to maximum finger pressure only.\n - 3. Place the specimen on the stage and secure with spring clips. NOTE: The cover glass must face upward (the thinner glass is the cover glass), otherwise when the 40x objective is used the specimen cannot be observed. Observation is best when the thickness of the cover glass is 0.1-1.1mm and the cover glass is 0.17mm.\n - 4. Plug power cord into an electrical outlet. Turn microscope lamp ON.\n - 5. Observe the specimen using the lowest magnification objective first. The 10x objective provides a larger field of view making it easier to search the specimen.", - "page_start": 8, - "page_end": 8, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "## INDEX\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232.................. 6-9\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n10-13\n\n14-18\n\nBack Cover\n\n## IMPORTANT NOTES\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32 o F to 104 o F.\n- 3. Do not use this instrument in an environment with a lot of dust. Cover the instrument when not in use.\n- 4. Do not subject the instrument to shock.\n\n## MAINTENANCE\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios:\n\nWet weather: 1:2\n\n- Dry Weather: 1:1\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n\n\n## MODEL AY11240/AY11238\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 o vertical to 45 o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 o angle. The head rotates 360 o . The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What event marks the beginning of the field of artificial intelligence?", - "target_page": 22, - "target_passage": "The field of AI research was founded at a workshop at Dartmouth College in 1956.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "In November 2023, the first global AI Safety Summit was held in Bletchley Park in the UK to discuss the near and far term risks of AI and the possibility of mandatory and voluntary regulatory frameworks. [314] 28 countries including the United States, China, and the European Union issued a declaration at the start of the summit, calling for international co-operation to manage the challenges and risks of artificial intelligence. [315][316] In May 2024 at the AI Seoul Summit, 16 global AI tech companies agreed to safety commitments on the development of AI. [317][318]\n\n## History\n\nThe study of mechanical or \"formal\" reasoning began with philosophers and mathematicians in antiquity. The study of logic led directly to Alan Turing's theory of computation, which suggested that a machine, by shuffling symbols as simple as \"0\" and \"1\", could simulate any conceivable form of mathematical reasoning. [319][320] This, along with concurrent discoveries in cybernetics, information theory and neurobiology, led researchers to consider the possibility of building an \"electronic brain\". [r] They developed several areas of research that would become part of AI, [322] such as McCullouch and Pitts design for \"artificial neurons\" in 1943, [115] and Turing's influential 1950 paper 'Computing Machinery and Intelligence', which introduced the Turing test and showed that \"machine intelligence\" was plausible. [323][320]\n\nThe field of AI research was founded at a workshop at Dartmouth College in 1956. [s][6] The attendees became the leaders of AI research in the 1960s. [t] They and their students produced programs that the press described as \"astonishing\": [u] computers were learning checkers strategies, solving word problems in algebra, proving logical theorems and speaking English. [v][7] Artificial intelligence laboratories were set up at a number of British and U.S. universities in the latter 1950s and early 1960s. [320]\n\nResearchers in the 1960s and the 1970s were convinced that their methods would eventually succeed in creating a machine with general intelligence and considered this the goal of their field. [327] In 1965 Herbert Simon predicted, \"machines will be capable, within twenty years, of doing any work a man can do\". [328] In 1967 Marvin Minsky agreed, writing that \"within a generation ... the problem of creating 'artificial intelligence' will substantially be solved\". [329] They had, however, underestimated the difficulty of the problem. [w] In 1974, both the U.S. and British governments cut off exploratory research in response to the criticism of Sir James Lighthill [331] and ongoing pressure from the U.S. Congress to fund more productive projects. [332] Minsky's and Papert's book Perceptrons was understood as proving that artificial neural networks would never be useful for solving real-world tasks, thus discrediting the approach altogether. [333] The \"AI winter\", a period when obtaining funding for AI projects was difficult, followed. [9]\n\nIn the early 1980s, AI research was revived by the commercial success of expert systems, [334] a form of AI program that simulated the knowledge and analytical skills of human experts. By 1985, the market for AI had reached over a billion dollars. At the same time, Japan's fifth generation computer project inspired the U.S. and British governments to restore funding for academic research. [8] However, beginning with the collapse of the Lisp Machine market in 1987, AI once again fell into disrepute, and a second, longerlasting winter began. [10]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia3.pdf" - }, - { - "text": "\n\n## Artificial intelligence\n\nArtificial intelligence ( AI ), in its broadest sense, is intelligence exhibited by machines, particularly computer systems. It is a field of research in computer science that develops and studies methods and software that enable machines to perceive their environment and use learning and intelligence to take actions that maximize their chances of achieving defined goals. [1] Such machines may be called AIs.\n\nHigh-profile applications of AI include advanced web search engines (e.g., Google Search); recommendation systems (used by YouTube, Amazon, and Netflix); virtual assistants (e.g., Google Assistant, Siri, and Alexa); autonomous vehicles (e.g., Waymo); generative and creative tools (e.g., ChatGPT and AI art); and superhuman play and analysis in strategy games (e.g., chess and Go). However, many AI applications are not perceived as AI: \"A lot of cutting edge AI has filtered into general applications, often without being called AI because once something becomes useful enough and common enough it's not labeled AI anymore.\" [2][3]\n\nVarious subfields of AI research are centered around particular goals and the use of particular tools. The traditional goals of AI research include reasoning, knowledge representation, planning, learning, natural language processing, perception, and support for robotics. [a] General intelligence-the ability to complete any task performed by a human on an at least equal level-is among the field's long-term goals. [4] To reach these goals, AI researchers have adapted and integrated a wide range of techniques, including search and mathematical optimization, formal logic, artificial neural networks, and methods based on statistics, operations research, and economics. [b] AI also draws upon psychology, linguistics, philosophy, neuroscience, and other fields. [5]\n\nArtificial intelligence was founded as an academic discipline in 1956, [6] and the field went through multiple cycles of optimism throughout its history, [7][8] followed by periods of disappointment and loss of funding, known as AI winters. [9][10] Funding and interest vastly increased after 2012 when deep learning outperformed previous AI techniques. [11] This growth accelerated further after 2017 with the transformer architecture, [12] and by the early 2020s many billions of dollars were being invested in AI and the field experienced rapid ongoing progress in what has become known as the AI boom. The emergence of advanced generative AI in the midst of the AI boom and its ability to create and modify content exposed several unintended consequences and harms in the present and raised concerns about the risks of AI and its long-term effects in the future, prompting discussions about regulatory policies to ensure the safety and benefits of the technology.\n\n## Goals", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia3.pdf" - }, - { - "text": "From the early days of the development of artificial intelligence, there have been arguments, for example, those put forward by Joseph Weizenbaum, about whether tasks that can be done by computers actually should be done by them, given the difference between computers and humans, and between quantitative", - "page_start": 17, - "page_end": 17, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Harari, Yuval Noah (2023). \"AI and the future of humanity\" (https://www.youtube.com/watch?v= LWiM-LuRe6w). YouTube . Archived (https://web.archive.org/web/20240930110823/https://w ww.youtube.com/watch?v=LWiM-LuRe6w) from the original on 30 September 2024. Retrieved 5 October 2024.\n - Haugeland, John (1985). Artificial Intelligence: The Very Idea . Cambridge, Mass.: MIT Press. ISBN 978-0-2620-8153-5.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- McCarthy, John; Minsky, Marvin; Rochester, Nathan; Shannon, Claude (1955). \"A Proposal for the Dartmouth Summer Research Project on Artificial Intelligence\" (https://web.archive.org/w eb/20070826230310/http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth.html). Archived from the original (http://www-formal.stanford.edu/jmc/history/dartmouth/dartmouth. html) on 26 August 2007. Retrieved 30 August 2007.\n - McCarthy, John (2007), \"From Here to Human-Level AI\", Artificial Intelligence , p. 171\n - McCarthy, John (1999), What is AI? (http://jmc.stanford.edu/artificial-intelligence/what-is-ai/inde x.html), archived (https://web.archive.org/web/20221204051737/http://jmc.stanford.edu/artifi cial-intelligence/what-is-ai/index.html) from the original on 4 December 2022, retrieved 4 December 2022\n - McCauley, Lee (2007). \"AI armageddon and the three laws of robotics\". Ethics and Information Technology . 9 (2): 153-164. CiteSeerX 10.1.1.85.8904 (https://citeseerx.ist.psu.edu/viewdo c/summary?doi=10.1.1.85.8904). doi:10.1007/s10676-007-9138-2 (https://doi.org/10.1007% 2Fs10676-007-9138-2). S2CID 37272949 (https://api.semanticscholar.org/CorpusID:372729 49).\n - McGarry, Ken (1 December 2005). \"A survey of interestingness measures for knowledge discovery\". The Knowledge Engineering Review . 20 (1): 39-61. doi:10.1017/S0269888905000408 (https://doi.org/10.1017%2FS0269888905000408). S2CID 14987656 (https://api.semanticscholar.org/CorpusID:14987656).\n - McGaughey, E (2022), Will Robots Automate Your Job Away? Full Employment, Basic Income, and Economic Democracy (https://papers.ssrn.com/sol3/papers.cfm?abstract\\_id=3044448), p. 51(3) Industrial Law Journal 511-559, doi:10.2139/ssrn.3044448 (https://doi.org/10.213 9%2Fssrn.3044448), S2CID 219336439 (https://api.semanticscholar.org/CorpusID:2193364 39), SSRN 3044448 (https://papers.ssrn.com/sol3/papers.cfm?abstract\\_id=3044448), archived (https://web.archive.org/web/20210131074722/https://papers.ssrn.com/sol3/paper s.cfm?abstract\\_id=3044448) from the original on 31 January 2021, retrieved 27 May 2023\n - Merkle, Daniel; Middendorf, Martin (2013). \"Swarm Intelligence\". In Burke, Edmund K.; Kendall, Graham (eds.). Search Methodologies: Introductory Tutorials in Optimization and Decision Support Techniques . Springer Science & Business Media. ISBN 978-1-4614-6940-7.\n - Minsky, Marvin (1967), Computation: Finite and Infinite Machines , Englewood Cliffs, N.J.: Prentice-Hall\n - Moravec, Hans (1988). Mind Children (https://archive.org/details/mindchildrenfutu00mora). Harvard University Press. ISBN 978-0-6745-7616-2. Archived (https://web.archive.org/web/2 0200726131644/https://archive.org/details/mindchildrenfutu00mora) from the original on 26 July 2020. Retrieved 18 November 2019.\n - Morgenstern, Michael (9 May 2015). \"Automation and anxiety\" (https://www.economist.com/new s/special-report/21700758-will-smarter-machines-cause-mass-unemployment-automation-a nd-anxiety). The Economist . Archived (https://web.archive.org/web/20180112214621/https:// www.economist.com/news/special-report/21700758-will-smarter-machines-cause-mass-une mployment-automation-and-anxiety) from the original on 12 January 2018. Retrieved 13 January 2018.\n - Müller, Vincent C.; Bostrom, Nick (2014). \"Future Progress in Artificial Intelligence: A Poll Among Experts\" (http://www.sophia.de/pdf/2014\\_PT-AI\\_polls.pdf) (PDF). AI Matters . 1 (1): 9-11. doi:10.1145/2639475.2639478 (https://doi.org/10.1145%2F2639475.2639478). S2CID 8510016 (https://api.semanticscholar.org/CorpusID:8510016). Archived (https://web. archive.org/web/20160115114604/http://www.sophia.de/pdf/2014\\_PT-AI\\_polls.pdf) (PDF) from the original on 15 January 2016.", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## References\n\n - 1. Russell & Norvig (2021), pp. 1-4.\n - 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n - 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". Business Horizons . 62 : 15-25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n - 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32-33, 1020-1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n - 5. Russell & Norvig (2021, §1.2).\n - 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111-136), NRC (1999, pp. 200-201) The proposal: McCarthy et al. (1955)\n - 7. Successful programs of the 1960s: McCorduck (2004, pp. 243-252), Crevier (1993, pp. 52107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19-21)\n - 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426-441), Crevier (1993, pp. 161-162, 197-203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210-211), Newquist (1994, pp. 235-248)\n - 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115-117), Russell & Norvig (2021, pp. 21-22), NRC (1999, pp. 212-213), Howe (1994), Newquist (1994, pp. 189-201)\n - 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430-435), Crevier (1993, pp. 209-210), NRC (1999, pp. 214-216), Newquist (1994, pp. 301-318)\n - 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n - 12. Toews (2023).\n - 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3-5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7-12)\n - 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12-18), Poole, Mackworth & Goebel (1998, pp. 345-395), Luger & Stubblefield (2004, pp. 333-381), Nilsson (1998, chpt. 7-12)\n - 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n - 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n - 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23-46, 69-81, 169-233, 235-277, 281-298, 319345), Luger & Stubblefield (2004, pp. 227-243), Nilsson (1998, chpt. 17.1-17.4, 18)\n - 18. Smoliar & Zhang (1994).\n - 19. Neumann & Möller (2008).\n - 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Edward Fredkin argues that \"artificial intelligence is the next step in evolution\", an idea first proposed by Samuel Butler's \"Darwin among the Machines\" as far back as 1863, and expanded upon by George Dyson in his 1998 book Darwin Among the Machines: The Evolution of Global Intelligence . [398]\n\n## In fiction\n\nThought-capable artificial beings have appeared as storytelling devices since antiquity, [399] and have been a persistent theme in science fiction. [400]\n\nA common trope in these works began with Mary Shelley's Frankenstein , where a human creation becomes a threat to its masters. This includes such works as Arthur C. Clarke's and Stanley Kubrick's 2001: A Space Odyssey (both 1968), with HAL 9000, the murderous computer in charge of the Discovery One spaceship, as well as The Terminator (1984) and The Matrix (1999). In contrast, the rare loyal robots such as Gort from The Day the Earth Stood Still (1951) and\n\nThe word \"robot\" itself was coined by Karel Čapek in his 1921 play R.U.R. , the title standing for \"Rossum's Universal Robots\".\n\n\n\nBishop from Aliens (1986) are less prominent in popular culture. [401]\n\nIsaac Asimov introduced the Three Laws of Robotics in many stories, most notably with the \"Multivac\" super-intelligent computer. Asimov's laws are often brought up during lay discussions of machine ethics; [402] while almost all artificial intelligence researchers are familiar with Asimov's laws through popular culture, they generally consider the laws useless for many reasons, one of which is their ambiguity. [403]\n\nSeveral works use AI to force us to confront the fundamental question of what makes us human, showing us artificial beings that have the ability to feel, and thus to suffer. This appears in Karel Čapek's R.U.R. , the films A.I. Artificial Intelligence and Ex Machina , as well as the novel Do Androids Dream of Electric Sheep? , by Philip K. Dick. Dick considers the idea that our understanding of human subjectivity is altered by technology created with artificial intelligence. [404]\n\n## See also\n\n - Artificial intelligence and elections - Use and impact of AI on political elections\n - Artificial intelligence content detection - Software to detect AI-generated content\n - Behavior selection algorithm - Algorithm that selects actions for intelligent agents\n - Business process automation - Automation of business processes\n - Case-based reasoning - Process of solving new problems based on the solutions of similar past problems\n - Computational intelligence - Ability of a computer to learn a specific task from data or experimental observation\n - Digital immortality - Hypothetical concept of storing a personality in digital form\n - Emergent algorithm - Algorithm exhibiting emergent behavior\n - Female gendering of AI technologies - Gender biases in digital technology", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## Areas of Exploration\n\n## Support for Creators in the Time of Artificial Intelligence\n\nIn 2023, we convened hundreds via roundtables, community conferences (e.g. MozFest , Wikimania ), and public events (e.g. symposium on Generative AI & Creativity )to debate copyright law, the ethics of open sharing, and other relevant areas that touch AI.\n\nAt our CC Global Summit, participants drafted community-driven principles on AI that are a valuable input and will help inform the organization's thinking as we determine CC's exact role in the AI space.\n\n'The Pillars of Creation' by James Webb Space Telescope is licensed under CC BY 2.0.\n\n\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "2023-Creative-Commons-Annual-Report-2-1.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt that this approach would be able to imitate all the processes of human cognition, especially perception, robotics, learning and pattern recognition, [335] and began to look into \"sub-symbolic\" approaches. [336] Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that move and survive. [x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete and uncertain information by making reasonable guesses rather than precise logic. [86][341] But the most important development was the revival of \"connectionism\", including neural network research, by Geoffrey Hinton and others. [342] In 1990, Yann LeCun successfully showed that convolutional neural networks can recognize handwritten digits, the first of many successful applications of neural networks. [343]\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, economics and mathematics). [344] By 2000, solutions developed by AI researchers were being widely used, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as the AI effect). [345] However, several academic researchers became concerned that AI was no longer pursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded institutions by the 2010s. [4]\n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field. [11] For many specific tasks, other methods were abandoned. [y] Deep learning's success was based on both hardware improvements (faster computers, [347] graphics processing units, cloud computing [348] ) and access to large amounts of data [349] (including curated datasets, [348] such as ImageNet). Deep learning's success led to an enormous increase in interest and funding in AI. [z] The amount of machine learning research (measured by total publications) increased by 50% in the years 2015-2019. [306]\n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine learning conferences, publications vastly increased, funding became available, and many researchers refocussed their careers on these issues. The alignment problem became a serious field of academic study. [283]\n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was released in 2020 by OpenAI and is capable of generating high-quality human-like text. [350] ChatGPT, launched on November 30, 2022, became the fastest-growing consumer software application in history, gaining over 100 million users in two months. [351] It marked what is widely regarded as AI's breakout year, bringing it into the public consciousness. [352] These programs, and others, inspired an aggressive AI boom, where large companies began investing billions of dollars in AI research. According to AI Impacts, about $50 billion annually was invested in \"AI\" around 2022 in the U.S. alone and about 20% of the new", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Glossary of artificial intelligence - List of definitions of terms and concepts commonly used in the study of artificial intelligence\n - Intelligence amplification - Use of information technology to augment human intelligence\n - Intelligent agent - Software agent which acts autonomously\n - Mind uploading - Hypothetical process of digitally emulating a brain\n - Organoid intelligence - Use of brain cells and brain organoids for intelligent computing\n - Robotic process automation - Form of business process automation technology\n - Wetware computer - Computer composed of organic material\n\n## Explanatory notes\n\n - a. This list of intelligent traits is based on the topics covered by the major AI textbooks, including: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and Nilsson (1998)\n - b. This list of tools is based on the topics covered by the major AI textbooks, including: Russell & Norvig (2021), Luger & Stubblefield (2004), Poole, Mackworth & Goebel (1998) and Nilsson (1998)\n - c. It is among the reasons that expert systems proved to be inefficient for capturing knowledge. [30][31]\n - d. \"Rational agent\" is general term used in economics, philosophy and theoretical artificial intelligence. It can refer to anything that directs its behavior to accomplish goals, such as a person, an animal, a corporation, a nation, or in the case of AI, a computer program.\n - e. Alan Turing discussed the centrality of learning as early as 1950, in his classic paper \"Computing Machinery and Intelligence\". [42] In 1956, at the original Dartmouth AI summer conference, Ray Solomonoff wrote a report on unsupervised probabilistic machine learning: \"An Inductive Inference Machine\". [43]\n - f. See AI winter § Machine translation and the ALPAC report of 1966\n - g. Compared with symbolic logic, formal Bayesian inference is computationally expensive. For inference to be tractable, most observations must be conditionally independent of one another. AdSense uses a Bayesian network with over 300 million edges to learn which ads to serve. [93]\n - h. Expectation-maximization, one of the most popular algorithms in machine learning, allows clustering in the presence of unknown latent variables. [95]\n - i. Some form of deep neural networks (without a specific learning algorithm) were described by: Warren S. McCulloch and Walter Pitts (1943) [115] Alan Turing (1948); [116] Karl Steinbuch and Roger David Joseph (1961). [117] Deep or recurrent networks that learned (or used gradient descent) were developed by: Frank Rosenblatt(1957); [116] Oliver Selfridge (1959); [117] Alexey Ivakhnenko and Valentin Lapa (1965); [118] Kaoru Nakano (1971); [119] Shun-Ichi Amari (1972); [119] John Joseph Hopfield (1982). [119] Precursors to backpropagation were developed by: Henry J. Kelley (1960); [116] Arthur E. Bryson (1962); [116] Stuart Dreyfus (1962); [116] Arthur E. Bryson and Yu-Chi Ho (1969); [116] Backpropagation was independently developed by: Seppo Linnainmaa (1970); [120] Paul Werbos (1974). [116]\n - j. Geoffrey Hinton said, of his work on neural networks in the 1990s, \"our labeled datasets were thousands of times too small. [And] our computers were millions of times too slow.\" [121]", - "page_start": 28, - "page_end": 28, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "What would a superintelligence need?", - "target_page": 27, - "target_passage": "possess intelligence far surpassing that of the brightest and most gifted human mind.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "## References\n\n - 1. Russell & Norvig (2021), pp. 1-4.\n - 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n - 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". Business Horizons . 62 : 15-25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n - 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32-33, 1020-1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n - 5. Russell & Norvig (2021, §1.2).\n - 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111-136), NRC (1999, pp. 200-201) The proposal: McCarthy et al. (1955)\n - 7. Successful programs of the 1960s: McCorduck (2004, pp. 243-252), Crevier (1993, pp. 52107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19-21)\n - 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426-441), Crevier (1993, pp. 161-162, 197-203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210-211), Newquist (1994, pp. 235-248)\n - 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115-117), Russell & Norvig (2021, pp. 21-22), NRC (1999, pp. 212-213), Howe (1994), Newquist (1994, pp. 189-201)\n - 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430-435), Crevier (1993, pp. 209-210), NRC (1999, pp. 214-216), Newquist (1994, pp. 301-318)\n - 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n - 12. Toews (2023).\n - 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3-5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7-12)\n - 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12-18), Poole, Mackworth & Goebel (1998, pp. 345-395), Luger & Stubblefield (2004, pp. 333-381), Nilsson (1998, chpt. 7-12)\n - 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n - 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n - 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23-46, 69-81, 169-233, 235-277, 281-298, 319345), Luger & Stubblefield (2004, pp. 227-243), Nilsson (1998, chpt. 17.1-17.4, 18)\n - 18. Smoliar & Zhang (1994).\n - 19. Neumann & Möller (2008).\n - 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "The general problem of simulating (or creating) intelligence has been broken into subproblems. These consist of particular traits or capabilities that researchers expect an intelligent system to display. The traits described below have received the most attention and cover the scope of AI research. [a]\n\n## Reasoning and problem-solving\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they solve puzzles or make logical deductions. [13] By the late 1980s and 1990s, methods were developed for dealing with uncertain or incomplete information, employing concepts from probability and economics. [14]\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a \"combinatorial explosion\": They become exponentially slower as the problems grow. [15] Even humans rarely use the step-by-step deduction that early AI research could model. They solve most of their problems using fast, intuitive judgments. [16] Accurate and efficient reasoning is an unsolved problem.\n\n## Knowledge representation\n\nKnowledge representation and knowledge engineering [17] allow AI programs to answer questions intelligently and make deductions about real-world facts. Formal knowledge representations are used in content-based indexing and retrieval, [18] scene interpretation, [19] clinical decision support, [20] knowledge discovery (mining \"interesting\" and actionable inferences from large databases), [21] and other areas. [22]\n\nA knowledge base is a body of knowledge represented in a form that can be used by a program. An ontology is the set of objects, relations, concepts, and properties used by a particular domain of knowledge. [23] Knowledge bases need to represent things such as objects, properties, categories, and relations between objects; [24] situations, events, states, and time; [25] causes and effects; [26] knowledge about knowledge (what we know about what other people\n\nAn ontology represents knowledge as a set of concepts within a domain and the relationships between those concepts.\n\n\n\nknow); [27] default reasoning (things that humans assume are true until they are told differently and will remain true even when other facts are changing); [28] and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense knowledge (the set of atomic facts that the average person knows is enormous); [29] and the sub-symbolic form of most commonsense knowledge (much of what people know is not represented as \"facts\" or \"statements\" that they could express verbally). [16] There is also the difficulty of knowledge acquisition, the problem of obtaining knowledge for AI applications. [c]\n\n## Planning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## Existential risk\n\nIt has been argued AI will become so powerful that humanity may irreversibly lose control of it. This could, as physicist Stephen Hawking stated, \"spell the end of the human race\". [265] This scenario has been common in science fiction, when a computer or robot suddenly develops a human-like \"self-awareness\" (or \"sentience\" or \"consciousness\") and becomes a malevolent character. [q] These sci-fi scenarios are misleading in several ways.\n\nFirst, AI does not require human-like sentience to be an existential risk. Modern AI programs are given specific goals and use learning and intelligence to achieve them. Philosopher Nick Bostrom argued that if one gives almost any goal to a sufficiently powerful AI, it may choose to destroy humanity to achieve it (he used the example of a paperclip factory manager). [267] Stuart Russell gives the example of household robot that tries to find a way to kill its owner to prevent it from being unplugged, reasoning that \"you can't fetch the coffee if you're dead.\" [268] In order to be safe for humanity, a superintelligence would have to be genuinely aligned with humanity's morality and values so that it is \"fundamentally on our side\". [269]\n\nSecond, Yuval Noah Harari argues that AI does not require a robot body or physical control to pose an existential risk. The essential parts of civilization are not physical. Things like ideologies, law, government, money and the economy are built on language; they exist because there are stories that billions of people believe. The current prevalence of misinformation suggests that an AI could use language to convince people to believe anything, even to take actions that are destructive. [270]\n\nThe opinions amongst experts and industry insiders are mixed, with sizable fractions both concerned and unconcerned by risk from eventual superintelligent AI. [271] Personalities such as Stephen Hawking, Bill Gates, and Elon Musk, [272] as well as AI pioneers such as Yoshua Bengio, Stuart Russell, Demis Hassabis, and Sam Altman, have expressed concerns about existential risk from AI.\n\nIn May 2023, Geoffrey Hinton announced his resignation from Google in order to be able to \"freely speak out about the risks of AI\" without \"considering how this impacts Google.\" [273] He notably mentioned risks of an AI takeover, [274] and stressed that in order to avoid the worst outcomes, establishing safety guidelines will require cooperation among those competing in use of AI. [275]\n\nIn 2023, many leading AI experts endorsed the joint statement that \"Mitigating the risk of extinction from AI should be a global priority alongside other societal-scale risks such as pandemics and nuclear war\". [276]\n\nSome other researchers were more optimistic. AI pioneer Jürgen Schmidhuber did not sign the joint statement, emphasising that in 95% of all cases, AI research is about making \"human lives longer and healthier and easier.\" [277] While the tools that are now being used to improve lives can also be used by bad actors, \"they can also be used against the bad actors.\" [278][279] Andrew Ng also argued that \"it's a mistake to fall for the doomsday hype on AI-and that regulators who do will only benefit vested interests.\" [280] Yann LeCun \"scoffs at his peers' dystopian scenarios of supercharged misinformation and even, eventually, human extinction.\" [281] In the early 2010s, experts argued that the risks are too distant in", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia3.pdf" - }, - { - "text": "show that even a computer capable of perfectly simulating human behavior would not have a mind. [387]\n\n## AI welfare and rights\n\nIt is difficult or impossible to reliably evaluate whether an advanced AI is sentient (has the ability to feel), and if so, to what degree. [388] But if there is a significant chance that a given machine can feel and suffer, then it may be entitled to certain rights or welfare protection measures, similarly to animals. [389][390] Sapience (a set of capacities related to high intelligence, such as discernment or self-awareness) may provide another moral basis for AI rights. [389] Robot rights are also sometimes proposed as a practical way to integrate autonomous agents into society. [391]\n\nIn 2017, the European Union considered granting \"electronic personhood\" to some of the most capable AI systems. Similarly to the legal status of companies, it would have conferred rights but also responsibilities. [392] Critics argued in 2018 that granting rights to AI systems would downplay the importance of human rights, and that legislation should focus on user needs rather than speculative futuristic scenarios. They also noted that robots lacked the autonomy to take part to society on their own. [393][394]\n\nProgress in AI increased interest in the topic. Proponents of AI welfare and rights often argue that AI sentience, if it emerges, would be particularly easy to deny. They warn that this may be a moral blind spot analogous to slavery or factory farming, which could lead to large-scale suffering if sentient AI is created and carelessly exploited. [390][389]\n\n## Future\n\n## Superintelligence and the singularity\n\nA superintelligence is a hypothetical agent that would possess intelligence far surpassing that of the brightest and most gifted human mind. [379] If research into artificial general intelligence produced sufficiently intelligent software, it might be able to reprogram and improve itself. The improved software would be even better at improving itself, leading to what I. J. Good called an \"intelligence explosion\" and Vernor Vinge called a \"singularity\". [395]\n\nHowever, technologies cannot improve exponentially indefinitely, and typically follow an S-shaped curve, slowing when they reach the physical limits of what the technology can do. [396]\n\n## Transhumanism\n\nRobot designer Hans Moravec, cyberneticist Kevin Warwick and inventor Ray Kurzweil have predicted that humans and machines may merge in the future into cyborgs that are more capable and powerful than either. This idea, called transhumanism, has roots in the writings of Aldous Huxley and Robert Ettinger. [397]", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Finding a provably correct or optimal solution is intractable for many important problems. [15] Soft computing is a set of techniques, including genetic algorithms, fuzzy logic and neural networks, that are tolerant of imprecision, uncertainty, partial truth and approximation. Soft computing was introduced in the late 1980s and most successful AI programs in the 21st century are examples of soft computing with neural networks.\n\n## Narrow vs. general AI\n\nAI researchers are divided as to whether to pursue the goals of artificial general intelligence and superintelligence directly or to solve as many specific problems as possible (narrow AI) in hopes these solutions will lead indirectly to the field's long-term goals. [378][379] General intelligence is difficult to define and difficult to measure, and modern AI has had more verifiable successes by focusing on specific problems with specific solutions. The sub-field of artificial general intelligence studies this area exclusively.\n\n## Machine consciousness, sentience, and mind\n\nThe philosophy of mind does not know whether a machine can have a mind, consciousness and mental states, in the same sense that human beings do. This issue considers the internal experiences of the machine, rather than its external behavior. Mainstream AI research considers this issue irrelevant because it does not affect the goals of the field: to build machines that can solve problems using intelligence. Russell and Norvig add that \"[t]he additional project of making a machine conscious in exactly the way humans are is not one that we are equipped to take on.\" [380] However, the question has become central to the philosophy of mind. It is also typically the central question at issue in artificial intelligence in fiction.\n\n## Consciousness\n\nDavid Chalmers identified two problems in understanding the mind, which he named the \"hard\" and \"easy\" problems of consciousness. [381] The easy problem is understanding how the brain processes signals, makes plans and controls behavior. The hard problem is explaining how this feels or why it should feel like anything at all, assuming we are right in thinking that it truly does feel like something (Dennett's consciousness illusionism says this is an illusion). While human information processing is easy to explain, human subjective experience is difficult to explain. For example, it is easy to imagine a colorblind person who has learned to identify which objects in their field of view are red, but it is not clear what would be required for the person to know what red looks like . [382]\n\n## Computationalism and functionalism\n\nComputationalism is the position in the philosophy of mind that the human mind is an information processing system and that thinking is a form of computing. Computationalism argues that the relationship between mind and body is similar or identical to the relationship between software and hardware and thus may be a solution to the mind-body problem. This philosophical position was inspired by the work of AI researchers and cognitive scientists in the 1960s and was originally proposed by philosophers Jerry Fodor and Hilary Putnam. [383]\n\nPhilosopher John Searle characterized this position as \"strong AI\": \"The appropriately programmed computer with the right inputs and outputs would thereby have a mind in exactly the same sense human beings have minds.\" [ac] Searle challenges this claim with his Chinese room argument, which attempts to", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Figure 4.20 Explanation for why ProbeInconsistentTopping is equivalent to owl:Nothing\n\n\n\n## 4.11 Primitive and Defined Classes (Necessary and Sufficient Axioms)\n\nAll of the classes that we have created so far have only used necessary axioms to describe them. Necessary axioms can be read as, If something is a member of this class then it is necessary to fulfil these conditions . With necessary axioms alone, we cannot say that: If something fulfils these conditions then it must be a member of this class .\n\nLet's illustrate this with an example. We will create a subclass of Pizza called CheesyPizza , which will be a Pizza that has at least one kind of CheeseTopping .\n\n## Exercise 20: Create the CheesyPizza class\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n - 1. Select Pizza in the class hierarchy on the Classes tab.\n - 2. Select the Add Subclass icon (see figure 4.4). Name the new subclass CheesyPizza.\n - 3. Make sure CheesyPizza is selected. Click on the Add icon (+) next to the SubClass Of field in the Description view.\n - 4. Select the Class expression editor tab. Type in the new axiom: hasTopping some CheeseTopping. Remember you can use to auto-complete each word in the axiom, e.g., type hasT and then to auto-complete the rest. If you haven't typed enough for Protégé to unambiguously choose one entity or Description Logic keyword you will be prompted with a menu of possible completions. Click OK to enter the new restriction axiom.\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_", - "page_start": 38, - "page_end": 38, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h ttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), Global Catastrophic Risks , Oxford University Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20 08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc e.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved 24 September 2021\n\n## Further reading\n\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace Automation\" (2015) 29(3) Journal of Economic Perspectives 3.\n\nBerlinski, David (2000). The Advent of the Algorithm (https://archive.org/details/adventofalgorith 0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world cat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch ive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved 22 August 2020.\n\n - Boyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585 9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.\n - Cukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", Foreign Affairs , vol. 98, no. 4 (July/August 2019), pp. 192-198. George Dyson, historian of computing, writes (in what might be called \"Dyson's Law\") that \"Any system simple enough to be understandable will not be complicated enough to behave intelligently, while any system complicated enough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer scientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core, dead simple stupid. They work, but they work by brute force.\" (p. 198.)\n - Evans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/ 10.5209%2Frev\\_TK.2015.v12.n2.49072). Teknokultura . 12 (2). doi:10.5209/rev\\_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev\\_TK.2015.v12.n2.49 072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).\n - Frank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the 21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli gence-can-shape-the-21st-century-global-order). The Diplomat . Archived (https://web.archiv e.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli gence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024. Retrieved 8 December 2023. \"Instead, the United States has developed a new area of dominance that the rest of the world views with a mixture of awe, envy, and resentment: artificial intelligence... From AI models and research to cloud computing and venture capital, U.S. companies, universities, and research labs - and their affiliates in allied countries appear to have an enormous lead in both developing cutting-edge AI and commercializing it. The value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the world combined.\"\n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I. chatbots to get their facts right - without destroying itself in the process?\" New York Times Magazine (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipediaai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime s.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback Machine", - "page_start": 66, - "page_end": 66, - "source_file": "wikipedia3.pdf" - }, - { - "text": "that runs inputs through biologically inspired artificial neural networks for all of these types of learning. [48]\n\nComputational learning theory can assess learners by computational complexity, by sample complexity (how much data is required), or by other notions of optimization. [49]\n\n## Natural language processing\n\nNatural language processing (NLP) [50] allows programs to read, write and communicate in human languages such as English. Specific problems include speech recognition, speech synthesis, machine translation, information extraction, information retrieval and question answering. [51]\n\nEarly work, based on Noam Chomsky's generative grammar and semantic networks, had difficulty with word-sense disambiguation [f] unless restricted to small domains called \"micro-worlds\" (due to the common sense knowledge problem [29] ). Margaret Masterman believed that it was meaning and not grammar that was the key to understanding languages, and that thesauri and not dictionaries should be the basis of computational language structure.\n\nModern deep learning techniques for NLP include word embedding (representing words, typically as vectors encoding their meaning), [52] transformers (a deep learning architecture using an attention mechanism), [53] and others. [54] In 2019, generative pre-trained transformer (or \"GPT\") language models began to generate coherent text, [55][56] and by 2023, these models were able to get human-level scores on the bar exam, SAT test, GRE test, and many other real-world applications. [57]\n\n## Perception\n\nMachine perception is the ability to use input from sensors (such as cameras, microphones, wireless signals, active lidar, sonar, radar, and tactile sensors) to deduce aspects of the world. Computer vision is the ability to analyze visual input. [58]\n\nThe field includes speech recognition, [59] image classification, [60] facial recognition, object recognition, [61] object tracking, [62] and robotic perception. [63]\n\n## Social intelligence\n\nAffective computing is a field that comprises systems that recognize, interpret, process, or simulate human feeling, emotion, and mood. [65] For example, some virtual assistants are programmed to speak conversationally or even to banter humorously; it makes them appear more sensitive to the emotional dynamics of human interaction, or to otherwise facilitate humancomputer interaction.\n\nHowever, this tends to give naïve users an unrealistic conception of the intelligence of existing computer agents. [66] Moderate successes related to affective computing include textual sentiment\n\nKismet, a robot head which was made in the 1990s; it is a machine that can recognize and simulate emotions. [64]\n\n", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Gibbs, Samuel (27 October 2014). \"Elon Musk: artificial intelligence is our biggest existential threat\" (https://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligenc e-ai-biggest-existential-threat). The Guardian . Archived (https://web.archive.org/web/201510 30054330/http://www.theguardian.com/technology/2014/oct/27/elon-musk-artificial-intelligen ce-ai-biggest-existential-threat) from the original on 30 October 2015. Retrieved 30 October 2015.\n - Goffrey, Andrew (2008). \"Algorithm\". In Fuller, Matthew (ed.). Software studies: a lexicon (http s://archive.org/details/softwarestudiesl00full\\_007). Cambridge, Mass.: MIT Press. pp. 15 (htt ps://archive.org/details/softwarestudiesl00full\\_007/page/n29)-20. ISBN 978-1-4356-4787-9.\n - Goldman, Sharon (14 September 2022). \"10 years later, deep learning 'revolution' rages on, say AI pioneers Hinton, LeCun and Li\" (https://venturebeat.com/ai/10-years-on-ai-pioneers-hinto n-lecun-li-say-deep-learning-revolution-will-continue). VentureBeat . Archived (https://web.arc hive.org/web/20241005171338/https://venturebeat.com/ai/10-years-on-ai-pioneers-hinton-le cun-li-say-deep-learning-revolution-will-continue/) from the original on 5 October 2024. Retrieved 8 December 2023.\n - Good, I. J. (1965), Speculations Concerning the First Ultraintelligent Machine (https://exhibits.st anford.edu/feigenbaum/catalog/gz727rg3869), archived (https://web.archive.org/web/20230 710131733/https://exhibits.stanford.edu/feigenbaum/catalog/gz727rg3869) from the original on 10 July 2023, retrieved 5 October 2024\n - Goodfellow, Ian; Bengio, Yoshua; Courville, Aaron (2016), Deep Learning (https://web.archive.or g/web/20160416111010/http://www.deeplearningbook.org), MIT Press., archived from the original (http://www.deeplearningbook.org) on 16 April 2016, retrieved 12 November 2017\n - Goodman, Bryce; Flaxman, Seth (2017). \"EU regulations on algorithmic decision-making and a 'right to explanation' \". AI Magazine . 38 (3): 50. arXiv:1606.08813 (https://arxiv.org/abs/1606. 08813). doi:10.1609/aimag.v38i3.2741 (https://doi.org/10.1609%2Faimag.v38i3.2741). S2CID 7373959 (https://api.semanticscholar.org/CorpusID:7373959).\n - Government Accountability Office (13 September 2022). Consumer Data: Increasing Use Poses Risks to Privacy (https://www.gao.gov/products/gao-22-106096). gao.gov (Report). Archived (https://web.archive.org/web/20240913011410/https://www.gao.gov/products/gao-22-10609 6) from the original on 13 September 2024. Retrieved 5 October 2024.\n - Grant, Nico; Hill, Kashmir (22 May 2023). \"Google's Photo App Still Can't Find Gorillas. And Neither Can Apple's\" (https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-googl e-apple.html). The New York Times . Archived (https://web.archive.org/web/2024091415503 2/https://www.nytimes.com/2023/05/22/technology/ai-photo-labels-google-apple.html) from the original on 14 September 2024. Retrieved 5 October 2024.\n - Goswami, Rohan (5 April 2023). \"Here's where the A.I. jobs are\" (https://www.cnbc.com/2023/0 4/05/ai-jobs-see-the-state-by-state-data-from-a-stanford-study.html). CNBC . Archived (http s://web.archive.org/web/20230619015309/https://www.cnbc.com/2023/04/05/ai-jobs-see-the -state-by-state-data-from-a-stanford-study.html) from the original on 19 June 2023. Retrieved 19 June 2023.\n - Harari, Yuval Noah (October 2018). \"Why Technology Favors Tyranny\" (https://www.theatlantic. com/magazine/archive/2018/10/yuval-noah-harari-technology-tyranny/568330). The Atlantic . Archived (https://web.archive.org/web/20210925221449/https://www.theatlantic.com/magazi ne/archive/2018/10/yuval-noah-harari-technology-tyranny/568330) from the original on 25 September 2021. Retrieved 23 September 2021.", - "page_start": 56, - "page_end": 56, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Castaño, Arnaldo Pérez (23 May 2018). Practical Artificial Intelligence: Machine Learning, Bots, and Agent Solutions Using C# . Apress. p. 2. ISBN 978-1-4842-3357-3.\n - Chakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and Navya-Nyaya Logic\". Philosophy and Phenomenological Research . 36 (4): 554-563. doi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j stor.org/stable/2106873).\n - Chatfield, Tom (2017). Critical Thinking: Your Guide to Effective Argument, Successful Analysis and Independent Study . Sage. p. 194. ISBN 978-1-5264-1877-7.\n - Chua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers. org/rec/CHUAER). Logic, Rationality, and Interaction . Lecture Notes in Computer Science. Vol. 10455. pp. 631-636. doi:10.1007/978-3-662-55665-8\\_43 (https://doi.org/10.1007%2F9 78-3-662-55665-8\\_43). ISBN 978-3-662-55664-1.\n - Clocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http s://link.springer.com/chapter/10.1007/978-3-642-55481-0\\_10). Programming in Prolog: Using the ISO Standard . Springer. pp. 237-257. doi:10.1007/978-3-642-55481-0\\_10 (http s://doi.org/10.1007%2F978-3-642-55481-0\\_10). ISBN 978-3-642-55481-0.\n - Cook, Roy T. (2009). Dictionary of Philosophical Logic . Edinburgh University Press. p. 124. ISBN 978-0-7486-3197-1.\n - Copi, Irving M.; Cohen, Carl; Rodych, Victor (2019). Introduction to Logic . Routledge. ISBN 978-1-351-38697-5.\n - Corkum, Philip (2015). \"Generality and Logical Constancy\". Revista Portuguesa de Filosofia . 71 (4): 753-767. doi:10.17990/rpf/2015\\_71\\_4\\_0753 (https://doi.org/10.17990%2Fr pf%2F2015\\_71\\_4\\_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283). JSTOR 43744657 (https://www.jstor.org/stable/43744657).\n - Craig, Edward (1996). Routledge Encyclopedia of Philosophy (https://philpapers.org/rec/BE AREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101 16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021. Retrieved 29 December 2021.\n - Cummings, Louise (2010). \"Abduction\". The Routledge Pragmatics Encyclopedia . Routledge. p. 1. ISBN 978-1-135-21457-9.\n - Cunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/). Internet Encyclopedia of Philosophy . Retrieved 23 September 2022.\n - D'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is Propositional Logic Really Uninformative?\". Synthese . 167 (2): 271-315. doi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4). hdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world cat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192). S2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882).\n - Daintith, John; Wright, Edmund (2008). A Dictionary of Computing . OUP. ISBN 978-0-19923400-4.\n - van Dalen, Dirk (1994). Logic and Structure . Springer. Chapter 1.5. ISBN 978-0-387-578392.\n - Dasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/). Internet Encyclopedia of Philosophy . Retrieved 12 March 2023.\n - Dick, Anthony S.; Müller, Ulrich (2017). Advancing Developmental Science: Philosophy, Theory, and Method . Taylor & Francis. p. 157. ISBN 978-1-351-70456-4.\n - Douven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab duction/) from the original on 7 September 2021. Retrieved 24 August 2021.", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia3.pdf", - "query": "Where can I find the Inspect tool to evaluate the safety of our models?", - "target_page": 21, - "target_passage": "The UK AI Safety Institute released in 2024 a testing toolset called 'Inspect' for AI safety evaluations available under a MIT open-source licence which is freely available on GitHub", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- /SM590000 Creating a snapshot of production data sets for quality assurance", - "page_start": 520, - "page_end": 520, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Status and monitor tool", - "page_start": 338, - "page_end": 338, - "source_file": "sg246915.pdf" - }, - { - "text": "Use the views that are available in the management GUI to verify the status of the system, the hardware devices, the physical storage, and the available volumes by completing the following steps:\n\n - 1. Click Monitoring → Events to see all problems that exist on the system (see Figure 13-34 on page 704).", - "page_start": 724, - "page_end": 724, - "source_file": "sg247938.pdf" - }, - { - "text": "## C Supplementary materials for models\n\nWe present in this section the model characteristics we collected for the 46 evaluated models.\n\nFor evaluating prompt-based models such as intfloat/e5-mistral-instruct-7b , we provide the prompts we used in Table 8.\n\n## D Evaluation results\n\nThis section presents the results obtained for each model on each task. To be relevant, we used the same metrics as in MTEB, which varies from one type of task to another:", - "page_start": 11, - "page_end": 11, - "source_file": "arxiv4.pdf" - }, - { - "text": "Podgorski, D., 2015: Measuring operational performance of OSH management systems - A demonstration of AHP-based selection of leading key performance indicators, in Safety Science, Vol. 73, March 2015, p146-166, https://doi.org/10.1016/j.ssci.2014.11.018", - "page_start": 155, - "page_end": 155, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- /SM590000 Automatic Dump capabilities to capture software detected issues", - "page_start": 695, - "page_end": 695, - "source_file": "sg247938.pdf" - }, - { - "text": "## Monitor\n\n - · Logs in CloudWatch\n - · Errors and tracing in X-Ray\n - · Metrics\n\n## Secure\n\n - · Execution role", - "page_start": 53, - "page_end": 53, - "source_file": "serverless-core.pdf" - }, - { - "text": "- /SM590000 Creating a snapshot of production data sets for application development and testing", - "page_start": 520, - "page_end": 520, - "source_file": "sg247938.pdf" - }, - { - "text": "## INDEX\n\nMaintenance............................................\n\nModel AY11240/Model AY11238..................\n\nModel AY11228/Model AY11232.................. 6-9\n\nModel AY11230/Model AY11234..................\n\nModel AY11236........................................\n\nWarranty Information................................\n\n1\n\n2-5\n\n10-13\n\n14-18\n\nBack Cover\n\n## IMPORTANT NOTES\n\nCongratulations on your purchase of this high quality BARSKA microscope. With proper care, this microscope will provide many years of use. Please read the following instructions before operating this instrument.\n\n- 1. Do not attempt to disassemble the instrument. This product has been carefully assembled at the factory and should only be examined by a factory-trained technician.\n- 2. This instrument should only be used in an environment with an indoor temperature range of 32 o F to 104 o F.\n- 3. Do not use this instrument in an environment with a lot of dust. Cover the instrument when not in use.\n- 4. Do not subject the instrument to shock.\n\n## MAINTENANCE\n\nProper care and storage of this instrument is essential. Please read the following guidelines:\n\n- 1. Keep the instrument in a dry and moisture-free location.\n- 2. Do not expose to acid, alkali fumes or moisture.\n- 3. Keep optical parts clean and free of dust. To clean optical parts gently wipe with lens cleaning tissue and a mixture of alcohol and diethyl ether. Depending on weather conditions, the following are the recommended mixture ratios:\n\nWet weather: 1:2\n\n- Dry Weather: 1:1\n- 4. After use, cover the instrument with the plastic dust cover.\n- 5. If instrument is to be stored for an extended period of time, remove the eyepiece and oculars and store in a moisture-proof container.\n\n\n\n## MODEL AY11240/AY11238\n\n\n\n## MICROSCOPE USAGE\n\nBARSKA Model AY11240 and Model AY11238 are designed for biological studies such as specimen examination. They can also be used for examining bacteria and for general clinical and medical studies. Simple design and use is especially useful for school classroom instruction.\n\n## CONSTRUCTION\n\nBARSKA Model AY11240 is a fixed tube type. For comfortable observation, the arm can be easily tilted at any angle from 90 o vertical to 45 o level. It is also equipped with a coarse adjustment and fine adjustment as well as a space limiter to protect the objective from contacting and damaging the specimen. BARSKA Model AY11238 features a monocular tube that is slanted at a 45 o angle. The head rotates 360 o . The Eyepiece Set Screw prevents the eyepiece from falling out of the tube.\n\n", - "page_start": 1, - "page_end": 1, - "source_file": "Microscope Manual.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\nFigure 5 -Feature Info tool.\n\n\n\nThe different disp layed layers can be examined using the 'Legend' tool. If the external service provides legend graphics, the user can interpret the given symbology and temporarily disable the display of layers (see Figure 6).\n\nFigure 6 -Legend tool.\n\n", - "page_start": 39, - "page_end": 39, - "source_file": "edp_s1_man_portal-version_4.3-user-manual_v1.0.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What was the age category of most new opiate/crack users during the crime peak in the mid-1990s?", - "target_page": 9, - "target_passage": "mplying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "\n\n## New opiate and crack-cocaine users: characteristics and trends\n\nResearch Report 90\n\nNick Morgan, Daniel Heap, Amy Elliott, Tim Millar\n\nJanuary 2016", - "page_start": 0, - "page_end": 0, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## Executive summary\n\nThis paper uses a range of datasets and methodologies to:\n\n-  obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013; 1\n-  examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n-  It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n-  Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent 2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18-24. 3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime - those who have the potential to inflict most societal harm - has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n-  In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n-  However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n-  Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n -  The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n -  This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n -  The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "- initiated use at an older age. Currently it is not possible to determine whether this is a reporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users.\n -  The report has several important policy implications. Even though numbers of new initiates involved with crime have dropped to the low thousands, putting downward pressure on crime, identification and early diversion to treatment remains paramount. Frontier Economics have estimated that the average 4 lifetime crime cost of an injecting drug user is £445,000, so the potential for social harm - even from a small number of individuals - remains large and potentially long-lasting. This means local areas need to manage both the (relatively large) stock of current users, and the (much smaller) flow of new initiates, whose treatment needs may be different. There is no evidence of any new epidemic in this country, but given the impact of the epidemic of the 80s and early 90s on crime, ongoing monitoring of recent trends is required to spot early signs of any emerging problems.\n\n## Aims and Methodology\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use in driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates exist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al ., 2013), there are no estimates for the number of new OCUs each year (throughout this paper the number of new OCUs is also referred to as 'incidence' ). This is important for three main reasons.\n\n - i) Stock and flows: Simply knowing the stock of OCUs tells us nothing about the flows in and out - i.e. if the stock were constant each year that could mean that no one starts using these drugs and no one quits or it could mean all existing users quit but that they are wholly replaced by new users, or any similar scenario in between. Clearly the policy response would need to be quite different for each of these cases, so knowing the true situation is important.\n - ii) Early-warning system: Research by the Home Office and others has shown that there is generally a lag between the start of a heroin/crack epidemic and the point at which it becomes visible on administrative datasets. Closing this gap is important for policy, and part of the reason for its existence is the lack of incidence estimates. Evidence also suggests epidemics spread from area to area, so it is important to monitor local as well as national trends.\n - iii) The social harm that can arise: Though research suggests that not all OCUs resort to acquisitive crime to help finance their drug use, numerous studies show that a proportion consistently do and these individuals can be extremely prolific offenders (Morgan, 2014). One study by Frontier Economics estimated that the average lifetime cost to society of an injecting drug user was £445,000 from crime alone. Hence analysing and identifying new OCUs is a policy priority (Frontier Economics, 2010).\n\nThere are two inter-connected reasons why regular national incidence estimates have not been attempted before 5 . The first is that data on this issue are sparse given the 'hidden' nature of opiate/crack markets and that date of first use is not something that gets recorded at the moment it actually occurs. The second reason, which flows from the first, is that current", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of new users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay et al ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests.\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Figure 11: Number of recent (within two years) OCU initiates presenting to treatment in 2005 and 2013, by age of individual at first presentation.\n\n\n\nThe mode age of initiation has shifted from around 18 to around 25 and there is an older age profile throughout. Rises in average age of initiation have also been reported recently in cohorts of Australian injecting drug users (Horyniak et al., 2015). There appear to be two possible explanations.\n\n -  There is a genuine shift towards new initiates being older, and for them to present to treatment much faster than in previous years.\n -  There is a consistent, but small number of individuals who mis-report their age of onset when attending treatment i.e. who report that they have only been using opiates/crack for a short period when in fact they have been using for a far longer period, and that this is starting to really bias the numbers for recent cohorts because attendees from the original epidemic are becoming smaller.\n\nIt is possible then that the flattening we observe in the incidence trend is due to a small in-flux of older initiates, although mis-reporting may also explain that phenomenon. Either way though, as this analysis has made clear throughout, absolute numbers of new OCUs appear to be small probably fewer than 10,000 per annum and the numbers of those involved with crime will be smaller still. In addition, despite a flattening in the probable trend in new users, there is currently no sign that it is likely to tip upwards. If anything, the data suggest the downward trend is set to resume, though clearly it remains important to monitor the situation.", - "page_start": 28, - "page_end": 28, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.\n\n| Year of first test | Age 18 - 24 | Age 25 - 29 | Age 30 - 34 | Age 35 - 39 | Age 40 over | Total |\n|-----------------------|-----------------|-----------------|-----------------|-----------------|-----------------|---------|\n| 26% | 27% | 24% | 16% | 7% | 100% | 2004 |\n| 23% | 27% | 24% | 17% | 9% | 100% | 2005 |\n| 25% | 26% | 22% | 17% | 11% | 100% | 2006 |\n| 24% | 25% | 21% | 16% | 13% | 100% | 2007 |\n| 21% | 23% | 21% | 18% | 16% | 100% | 2008 |\n| 23% | 22% | 20% | 17% | 18% | 100% | 2009 |\n| 22% | 21% | 20% | 17% | 20% | 100% | 2010 |\n| 22% | 19% | 20% | 16% | 22% | 100% | 2011 |\n| 19% | 20% | 22% | 17% | 23% | 100% | 2012 |\n| 17% | 20% | 22% | 16% | 25% | 100% | 2013 |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 'new-individuals' cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations. 22\n\nFigure 10: New treatment presentations for opiate/crack use.\n\n\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.", - "page_start": 26, - "page_end": 26, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled 'positive-for-both').\n\nThe reason for highlighting only the opiates-only and the 'positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), powdercocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nTable 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.\n\n| Age | Age | Year of birth | Year of birth |\n|-----------------|---------|-----------------|-----------------|\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s. 9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18-20 (Millar et al ., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\nTable 10: Descriptive statistics from the NDTMS data.\n\n| Reason for exclusion | Number of individuals excluded | Total number of individuals analysed |\n|------------------------------------------------------------------------------------------|------------------------------------|------------------------------------------|\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at first treatment | 443 | 243,145 |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005-14 | n/a | 21.7% |\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar et al . (2001) and Hickman et al . (2001). These papers discuss the methodology in detail.\n\nNew opiate and crack-cocaine users: characteristics and trends 22 In brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack-", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "According to the National Database Treatment Monitoring System, how many people started using opiates/crack between 2005 and 2014?", - "target_page": 22, - "target_passage": " Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "Reading down the year columns, the table shows that of the 6,449 people who presented for opiate/crack treatment for the first time in 2013, 376 said they had begun using in 2005. Another 470 said they started using in 2006, and so on.\n\nReading across the table shows that of all those who said they began using opiates/crack in 2005 (8,960), 1,305 also presented to treatment for the first time in that year (which is 15 per cent of the observed cohort from Table 11 and 12 per cent of our estimated total cohort from Table 12). Another 1,508 presented for the first time a year later, and so on. The first number in the totals column (8,960) therefore represents all individuals who said they began using in 2005. It is therefore the 'observed' incidence level. The column to the right of this is the cumulative percentages from the estimated lag-to-treatment distribution in Table 12. This shows the", - "page_start": 23, - "page_end": 23, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## Executive summary\n\nThis paper uses a range of datasets and methodologies to:\n\n-  obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013; 1\n-  examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n-  It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n-  Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent 2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18-24. 3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime - those who have the potential to inflict most societal harm - has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n-  In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n-  However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n-  Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## 2. Estimating an incidence trend from treatment data\n\nThis section uses treatment data from the National Database Treatment Monitoring System (NDTMS) to estimate the number of new OCUs annually. The NDTMS captures data on the numbers of people presenting to services with problem drug misuse and information about the drug treatment they receive. All drug treatment agencies in England provide a basic level of information to the NDTMS on their activities each month. The data for this report included all unique individuals presenting to treatment with opiates or crack-cocaine listed as their primary drug between 2005 and 2014. All individuals whose age of first use was listed as below ten or before 2005 were then excluded. Excluding individuals who started using opiates/crack before 2005 resulted in a large number of records being left out, due to the fact that the majority of the treatment population, even in 2013/14, initiated in the 1980s and 1990s when heroin and crack use surged in the UK. However, this exclusion is necessary for the incidence methodology, as explained later in this section. The remaining dataset included 52,829 individuals, as shown in Table 10.\n\nTable 10: Descriptive statistics from the NDTMS data.\n\n| Reason for exclusion | Number of individuals excluded | Total number of individuals analysed |\n|------------------------------------------------------------------------------------------|------------------------------------|------------------------------------------|\n| Initial sample prior to exclusion | 0 | 243,588 |\n| No age at first use recorded or age was below 10 or higher than age at first treatment | 443 | 243,145 |\n| Year of first use before 2005 | 190,316 | 52,829 |\n| Percentage of total sample initiating 2005-14 | n/a | 21.7% |\n\nThe majority of those presenting for treatment between 2005 and 2014 started using opiates/crack before 2005 (around four in five). Only 52,829 individuals said they had an opiate/crack initiation date between 2005 and 2014. This suggests an average of just under 5,000 new starters per year during this period. But this would be an under-estimate of incidence because it is likely that some of those who began use between 2005 and 2014 would not yet have come to treatment during that period.\n\nTo correct for this, we use two variants of a methodology employed by researchers in Millar et al . (2001) and Hickman et al . (2001). These papers discuss the methodology in detail.\n\nNew opiate and crack-cocaine users: characteristics and trends 22 In brief, the method uses the lag-to-treatment distribution for the sample coupled with the number of new treatment presentations in a given year to estimate OCU incidence in that year. So, when presenting to treatment, all individuals are asked to provide the year in which they first began using their primary drug, which for this analysis was limited to opiates and/or crack-", - "page_start": 21, - "page_end": 21, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "between March 2011 and March 2015 can also be seen in the raw numbers for total new OCU treatment presentations. 22\n\nFigure 10: New treatment presentations for opiate/crack use.\n\n\n\nFigure 10 shows that, rather than increasing in the current year, new presentations for opiate/crack use have actually fallen slightly from 48,154 in 2013/14 to 47,241 in 2014/15, a decrease of 1.9%. However, given that the early signs of previous opiate/crack use epidemics have been missed before (see Morgan, 2014), and the potential social harm that a fresh increase in new OCUs could cause, further analysis was conducted on the most recent data to try and determine whether the apparent flattening in trends was actually caused by the early stages of a significant surge in new users.\n\nThe treatment data was broken down by age to check whether the slight fall in total new presentations in 2014/15 masked an increase in younger treatment presentations. This showed instead that opiate/crack presentations by those aged 18-24 had fallen from 3,579 in 2013/14 to 3,021 in 2014/15, a fall of 15.6%. In other words, younger new presentations have fallen at a faster rate over the last year than for those aged over-25. Furthermore, separate statistics produced for those in treatment aged 18-and-under also show a fall in aggregate numbers in treatment for opiates and crack.\n\nWe also looked at trends at the local level, given that previous epidemics have started in very specific areas and have taken several years to spread nationally. This means that the start of an epidemic can be hidden in the national data because it has not reached enough areas to register.", - "page_start": 26, - "page_end": 26, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "## Conclusion\n\nThis report has attempted to draw together available data and evidence to estimate the number of new opiate/crack-cocaine users (OCUs) per year in England since 2005 and then to look briefly at their characteristics. This is important as previous research has suggested that mostly through the actions of a minority - this group has the potential to have a large impact on crime trends and therefore to impose significant societal costs.\n\nThough data on this population is imperfect, a number of different data sources and methodologies are available to estimate OCU incidence. From these, three key conclusions emerge:\n\n -  The number of new opiate/crack users is clearly far lower now than it was in the 1980s and early 1990s and has even dropped 20-45% since 2005.\n -  This means numbers of new users in 2013 may be around 5,000-8,000 with an approximate upper bound of 10,000; and numbers involved with prolific criminality will be lower still.\n -  The downward trend in new OCUs has flattened since about 2011, but available data do not suggest that this is the precursor to a new increase. If anything, the downward trend may resume in 2014, though the situation requires further monitoring.\n\nFor local areas then, this report suggests that it is still important to identify new OCUs as the arrestee data showed that a proportion of these are likely to offend over a long period of time. But also, there was some evidence of a shift to older initiates, which may require a slightly different treatment approach.", - "page_start": 29, - "page_end": 29, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine. From this information it is possible to create a distribution, for all presentations, of the lag-time between initiation and their first presentation at treatment. This might show - for example - that only ten per cent of all individuals presenting to treatment do so in the first year of use, but that 25 per cent present within two years, and so on. This means that for each year, we can estimate the number of individuals who have begun an opiate-crack career but who have yet to come to treatment . Adding these to the numbers who began in that year and have come to treatment gives our total incidence estimate for each year.\n\nThe first model uses NDTMS data for the cohort starting use in 2005 (n=8,960), the lag-time distribution for those initiating use in 2005 and presenting to treatment between 2005 and 2014 18 is shown below.\n\nTable 11: Time-to-treatment distribution for those initiating use in 2005 and presenting to treatment between 2005 and 2014. 19\n\n| Lag time to treatment (years) | 0-1 | 1-2 | 2-3 | 3-4 | 4-5 | 5-6 | 6-7 | 7-8 | 8-9 | 9-10 |\n|----------------------------------|-------|-------|-------|-------|-------|-------|-------|-------|-------|-----------|\n| Percentage | 15% | 17% | 17% | 14% | 10% | 9% | 6% | 5% | 4% | 4% |\n| Cumulative percentage | 15% | 31% | 49% | 62% | 73% | 82% | 88% | 92% | | 96% 100% |\n\nTable 11 shows that 15 per cent of the individuals who started use in 2005 and had presented for treatment by 2014, presented within one year of initiation. A further 17 per cent presented between one and two years after initiation, prior to coming to treatment, meaning that overall 31 per cent of the sample said they came to treatment within two years of first using opiates/crack. (The fact this is not 32% is simply due to rounding).\n\nAs a basis for the total lag-to-treatment distribution, the main limitation with the above analysis is that it assumes all individuals coming to treatment do so within ten years. Examining data from earlier cohorts suggests this is inaccurate, as a small proportion of OCUs will continue to use these drugs for a long time, sometimes two decades or more, before seeking treatment, and some never will. However, we cannot use an earlier cohort for the distribution because this is equivalent to using out-of-date data. The average lag-to-treatment is likely to have reduced over time given the expansion of treatment places and the influence of DIP. Using old data will miss this and bias the estimates. Even using the 2005 cohort's distribution contains the assumption that the time-to-treatment lag has not altered significantly between 2005 and 2013/14. So, to try and obtain the most accurate model, we used the figures from the 2005 cohort for the first ten years, as above, on the basis that this covers the majority of individuals and for that we want the most up-to-date data possible whilst maintaining a long enough time period. We then index the trend at that point to an older cohort, and use data from that cohort to model the 'tail' of the distribution - i.e. those who take longer than ten years to reach treatment. 20 The result is a 20-year lag-to-treatment distribution, shown in Table 12 below.", - "page_start": 22, - "page_end": 22, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "methods for calculating incidence are complicated and imperfect. It should be acknowledged in advance that this paper does not fully resolve these issues. It is merely intended as a first step, to obtain workable estimates upon which to base policy until more sophisticated methods are developed. That said, every effort is made in this analysis to sense-check the results against other available datasets. The datasets used and the structure of the paper is as follows.\n\n - i) Drug Interventions Programme (DIP) data. In part one, we produce general descriptive statistics from these data, which capture individuals who test positive for opiates/crack-cocaine following arrest or charge. Due to the limitations in coverage of these data over time, we draw only broad conclusions, some of which act as a sensecheck for the main results from part two.\n - ii) Data on presentations to treatment from the National Drug Treatment Monitoring System (NDTMS). In part two, we use two models based on previous research papers to calculate OCU incidence at the national level between 2005 and 2013. Most of the main conclusions come from this section.", - "page_start": 4, - "page_end": 4, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "- initiated use at an older age. Currently it is not possible to determine whether this is a reporting issue or a genuine shift in the age profile of new opiate/crack-cocaine users.\n -  The report has several important policy implications. Even though numbers of new initiates involved with crime have dropped to the low thousands, putting downward pressure on crime, identification and early diversion to treatment remains paramount. Frontier Economics have estimated that the average 4 lifetime crime cost of an injecting drug user is £445,000, so the potential for social harm - even from a small number of individuals - remains large and potentially long-lasting. This means local areas need to manage both the (relatively large) stock of current users, and the (much smaller) flow of new initiates, whose treatment needs may be different. There is no evidence of any new epidemic in this country, but given the impact of the epidemic of the 80s and early 90s on crime, ongoing monitoring of recent trends is required to spot early signs of any emerging problems.\n\n## Aims and Methodology\n\nPrevious Home Office research has demonstrated the importance of opiate/crack-cocaine use in driving aggregate trends in acquisitive crime (Morgan, 2014). While established estimates exist of the total number of opiate/crack-cocaine users (OCUs) in England (Hay et al ., 2013), there are no estimates for the number of new OCUs each year (throughout this paper the number of new OCUs is also referred to as 'incidence' ). This is important for three main reasons.\n\n - i) Stock and flows: Simply knowing the stock of OCUs tells us nothing about the flows in and out - i.e. if the stock were constant each year that could mean that no one starts using these drugs and no one quits or it could mean all existing users quit but that they are wholly replaced by new users, or any similar scenario in between. Clearly the policy response would need to be quite different for each of these cases, so knowing the true situation is important.\n - ii) Early-warning system: Research by the Home Office and others has shown that there is generally a lag between the start of a heroin/crack epidemic and the point at which it becomes visible on administrative datasets. Closing this gap is important for policy, and part of the reason for its existence is the lack of incidence estimates. Evidence also suggests epidemics spread from area to area, so it is important to monitor local as well as national trends.\n - iii) The social harm that can arise: Though research suggests that not all OCUs resort to acquisitive crime to help finance their drug use, numerous studies show that a proportion consistently do and these individuals can be extremely prolific offenders (Morgan, 2014). One study by Frontier Economics estimated that the average lifetime cost to society of an injecting drug user was £445,000 from crime alone. Hence analysing and identifying new OCUs is a policy priority (Frontier Economics, 2010).\n\nThere are two inter-connected reasons why regular national incidence estimates have not been attempted before 5 . The first is that data on this issue are sparse given the 'hidden' nature of opiate/crack markets and that date of first use is not something that gets recorded at the moment it actually occurs. The second reason, which flows from the first, is that current", - "page_start": 3, - "page_end": 3, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of new users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay et al ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests.\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled 'positive-for-both').\n\nThe reason for highlighting only the opiates-only and the 'positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), powdercocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nTable 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.\n\n| Age | Age | Year of birth | Year of birth |\n|-----------------|---------|-----------------|-----------------|\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s. 9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18-20 (Millar et al ., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "legal2_opengouvernementlicense.pdf", - "query": "What proportion of opiate users tested in 2004 were still positive a decade later?", - "target_page": 18, - "target_passage": "Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest)", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "before 1960 was removed and because DIP tests are only administered to those aged 18 and over, so only using data to 2013 means it would not be possible for anyone to be born in 1996 or afterwards to be included. Even so, it is clear from the year-of-birth distribution (Figure 2) that positive opiate tests drop off sharply for those born after 1982. This is in line with other evidence suggesting that the number of new users of opiates decreased sharply in the 2000s. This needs to be considered when interpreting the analysis that follows. When DIP and the NDTMS treatment system began in the mid-2000s, there already existed a cohort of around 320,000 OCUs, according to available estimates by Hay et al ., (2013). And most of these individuals began using opiates/crack during the epidemic years of the 1980s and 1990s. In terms of data capture this means it is hard to separate the gradual inclusion of more and more individuals from this original cohort from genuinely new users of these drugs.\n\nFigure 2: Year of birth distribution for all opiate-only/positive-for-both tests.\n\n\n\nFigure 3, which shows the age of the individual at a positive test, also reveals that although the average age at positive test is 32, the peak is quite flat, with high numbers of positive tests still being recorded by individuals in their late 30s and even into their 40s.", - "page_start": 9, - "page_end": 9, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Table 9: Table showing the age breakdown of individuals testing positive for opiates-only or positive-for-both as a proportion of all individuals first testing positive in that year.\n\n| Year of first test | Age 18 - 24 | Age 25 - 29 | Age 30 - 34 | Age 35 - 39 | Age 40 over | Total |\n|-----------------------|-----------------|-----------------|-----------------|-----------------|-----------------|---------|\n| 26% | 27% | 24% | 16% | 7% | 100% | 2004 |\n| 23% | 27% | 24% | 17% | 9% | 100% | 2005 |\n| 25% | 26% | 22% | 17% | 11% | 100% | 2006 |\n| 24% | 25% | 21% | 16% | 13% | 100% | 2007 |\n| 21% | 23% | 21% | 18% | 16% | 100% | 2008 |\n| 23% | 22% | 20% | 17% | 18% | 100% | 2009 |\n| 22% | 21% | 20% | 17% | 20% | 100% | 2010 |\n| 22% | 19% | 20% | 16% | 22% | 100% | 2011 |\n| 19% | 20% | 22% | 17% | 23% | 100% | 2012 |\n| 17% | 20% | 22% | 16% | 25% | 100% | 2013 |\n\nComparing 2004 with 2013 shows that the younger age groups have seen falls in both the number and the proportion of new positive testers. However, the proportion of those aged 40+ has consistently risen and now constitutes the largest group of all new individuals testing positive.\n\nThis means that the 4,281 individuals testing positive for the first time in 2013 has a very different age profile to that we would expect from a cohort of recent initiates. It is far older, suggesting again that many of those are actually pre-existing users only tested (positively) for the first time in 2013. This adds further weight to the back-of-the-envelope modelling evidence demonstrating that a substantial proportion of the 4,281 new positive testers in 2013 are likely to be longer-term users who have only been first arrested in 2013, rather than genuinely new OCUs.\n\nIn the next section, analysis will examine whether there has been a possible shift towards an older profile amongst new initiates. But even taking this into account, it is unlikely that the majority of those 4,281 individuals are recent initiates. This can be seen clearly in Figure 8 below, which compares the age-of-initiation curve from Figure 11 (in the next section) to the 2013 'new-individuals' cohort in the DIP data.", - "page_start": 19, - "page_end": 19, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "The relationship between the total opiates-only or positive-for-both tests and the individuals responsible for them can also be shown over time, as Table 5 illustrates 11 .\n\nTable 5: Table showing trends in total positive opiates-only or positive-for-both., in unique individuals testing positive, and in new individuals testing positive.\n\nOf central interest for this paper is the third row which shows numbers of individuals testing positive for opiates only or were positive-for-both for the first time. All the previous caveats about DIP trends need to be borne in mind when looking at those figures. Clearly the rise in new positive testers in the early period will be affected by the changes to DIP coverage through those years, as possibly will the sharp fall in positive testers in the latter period. However, graphing the data (see the red line in Figure 7 below) shows that the fall from 14,750 new positive testers in 2006 to 4,281 in 2013, is not only large (the drop is around 70 per cent even if we use the adjusted figure for 2013) but also more or less linear. This means that there is no immediate reason to suggest that the 2013 figures are artificially low due to changes in DIP coverage (i.e. the fact that DIP ceased to be a centrally funded programme in April of that year). Taken together, the data from the period post-2006 (when DIP had achieved a high level of coverage) certainly appear to show that the number of new crime-involved OCUs is unlikely to be rising and may be falling markedly, see Figure 7.", - "page_start": 14, - "page_end": 14, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "These tables can be read both horizontally and vertically. Reading vertically (i.e. down the columns) it can be observed, for example, that of the 12,353 individuals with a positive test in 2013, 4,281 (35%) had not had a previous positive test and over half had already tested positive at least once in 2010 or before.\n\nReading horizontally - for example from left to right across the first row - it can be concluded that of the 12,246 individuals testing positive in 2004, 3,171 also had a positive test in 2005; 3,299 of the original 12,246 also had a positive test in 2006 and so on. The table does not show whether those who had a subsequent test in 2005 were the same individuals as those who had a subsequent test in 2006. So reading the results of the two tables together, we can say that 12,246 individuals had 17,174 positive tests in 2004, and of these, 3,171 also tested positive in 2005, resulting in 5,604 positive tests because some tested positive more than once in that year. The last figure in each column gives the number of new users that year (10,539 in 2005, 14,750 in 2006 and so on).\n\nThere are several observations to be drawn from these tables. First, it is clear that a proportion of opiate-using offenders offend over long periods of time. Nearly ten per cent (8.9%) of individuals who tested positive for opiates at charge in 2004 also tested positive nearly a decade later in 2013 (on arrest). And reading vertically, of the 12,253 individuals testing positive in 2013, 1,092 (8.9%) had also tested positive almost a decade earlier.\n\nNew opiate and crack-cocaine users: characteristics and trends 18 Second, in relation to incidence, these numbers also allow for some back-of-the-envelope modelling to address the extent to which the figure of 4,281 individuals, who are new positive testers in 2013, is an under- or over-estimate of the number of new OCUs in total. Taking the figures for 2008, when DIP was fully up and running, we know that around 25,000 unique individuals had positive tests that year. This can be combined with available estimates of the total OCU population (Hay et al ., 2013) and the proportion who are likely to be offending (Gossop et al. , 2003; Morgan, 2014) to give an approximate arrest rate. i.e. if there were about 150,000 crime-involved OCUs through the period, this implies an arrest rate of about 17 per", - "page_start": 17, - "page_end": 17, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "The age and year of birth distributions are also similar and are shown in the Appendix. Thus, for the majority of the analysis that follows, tests with no PNC number were excluded. 10\n\nThe charts and tables above use data from all positive tests, so will include cases where the same individual has tested positively on more than one occasion. The following data look just at the first test for each individual testing positive for opiates-only or positive-for-both.\n\nTable 4: Descriptive statistics on first positive opiate-only/positive-for-both tests.\n\n| Age | Age | Year of birth | Year of birth |\n|-----------------|---------|-----------------|-----------------|\n| Number of tests | 104,817 | Number of tests | 104,817 |\n| Mean | 31 | Mean | 1977 |\n| Median | 30 | Median | 1977 |\n| Mode | 27 | Mode | 1980 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThere were just over 100,000 unique individuals who tested positive for opiates-only or positivefor-both between 2004 and 2013. The distribution of the 296,008 positive tests these individuals gave, shows that the vast majority (55%) were only tested once (see Figure 4), which is likely to be why the age statistics are quite similar between Table 3 and Table 4. However, within this", - "page_start": 11, - "page_end": 11, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cocaine users. In addition, the sharp decline in total DIP tests in 2013 may be due in part to the fact that DIP ceased to be a nationally funded programme in April 2013.\n\nThese data do show, however, that from 2006 onwards, between a third and half of all acquisitive crime arrests involved a drug test and between 15 per cent and 35 per cent of those tests (depending on the year) resulted in a positive result for opiates-only or for both opiates and cocaine (hereafter labelled 'positive-for-both').\n\nThe reason for highlighting only the opiates-only and the 'positive-for-both' test results is that the primary group of interest in this report are opiate and crack-cocaine users. To capture this group, cocaine-only tests must be excluded because DIP tests cannot distinguish between powder- and crack-cocaine, so a cocaine-only positive test could indicate either. Previous evidence has demonstrated that while there is much overlap between heroin and crack-cocaine cohorts (i.e. many of those who use heroin also use crack-cocaine), powdercocaine users have a quite different profile and are far less likely to be involved with acquisitive crime. Excluding the cocaine-only tests means we can be guaranteed not to capture any powder-cocaine users (who are not also using opiates or crack), but it also means we may miss some crack-cocaine-only users, hence the figures may under-estimate the true population of OCUs slightly.\n\nThe fifth row in Table 1 shows that the total number of opiate and opiate/cocaine tests over the period was 364,537. Table 2 shows descriptive statistics for the individuals providing these tests (noting that the same individual may be included several times if they gave multiple positive tests).\n\nTable 2: Descriptive statistics on all positive opiate-only/positive-for-both tests.\n\n| Age | Age | Year of birth | Year of birth |\n|-----------------|---------|-----------------|-----------------|\n| Number of tests | 364,537 | Number of tests | 364,537 |\n| Mean | 32 | Mean | 1977 |\n| Median | 31 | Median | 1977 |\n| Mode | 28 | Mode | 1979 |\n| Minimum | 18 | Minimum | 1960 |\n| Maximum | 53 | Maximum | 1995 |\n\nThe mean age at test is 32 and the mean year of birth is 1977, implying that most of these individuals were in their mid-to-late teens during the crime peak of the mid-1990s. 9 Given evidence suggesting that the average age of initiation for opiate/crack use is around 18-20 (Millar et al ., 2001), this age profile would tentatively suggest that OCU incidence also peaked in the 1990s and that this created a large cohort of users who would be approaching 40 today.\n\nThe minimum and maximum years of birth are fixed by construction, because anyone born", - "page_start": 8, - "page_end": 8, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## Executive summary\n\nThis paper uses a range of datasets and methodologies to:\n\n-  obtain working estimates for the number of individuals in England who started using opiates/crack from 2005 to 2013; 1\n-  examine the characteristics of these individuals.\n\nThe main findings of the paper are as follows.\n\n-  It is estimated that around 5,000 to 8,000 individuals started using opiates or crackcocaine in 2013. There is a high degree of uncertainty around this figure due to the sparse data on this population, but sense-checks based on treatment and criminal justice system data suggest the true figure is unlikely to be much larger than 10,000.\n-  Data also suggest that the number of current opiate/crack initiates involved with crime may be even lower. The number of arrestees testing positive for the first time for opiates (or for both opiates and crack-cocaine) dropped from 14,750 in 2006 to 4,281 in the first 11 months of 2013, a fall of around 70 per cent 2 . Furthermore, of the new positive testers in 2013, only 721 were aged 18-24. 3 Though this arrestee data will capture only a proportion of the true population, it does suggest that the number of new, young initiates involved with crime - those who have the potential to inflict most societal harm - has decreased markedly, probably just to a few thousand per year; and that this group now make up a small minority of the total number of opiate/crack-cocaine users (estimated to be 294,000 in 2011/12), most of whom are older, longer-term users.\n-  In terms of trends in new opiate/crack-cocaine users, all available data suggest that figures have dipped by at least a fifth since 2005 and have dropped hugely since the late 1980s and early 1990s when the opiate/crack-cocaine population in the UK grew very rapidly. The current estimate works out at a rate of 0.18 per 1,000 population. During the epidemic years, published estimates of new opiate/crack-cocaine users in Manchester and Bolton show rates more than 11 times larger.\n-  However, the findings also suggest that between 2011 and early 2014, the number of new opiate/crack-cocaine users stopped decreasing and instead stabilised at a (historically) low level. Further analysis was conducted to try and determine whether this was a precursor to a new rise in initiates. Though the data are not totally conclusive, the results suggest that a marked increase in new opiate/crack-cocaine users in the near future is unlikely. If anything, findings suggested that the downward trend may be set to resume.\n-  Analysis also revealed some possible changes in characteristics of the new opiate/crackcocaine initiates. There is a trend in the treatment data towards new initiates coming to treatment earlier in their drug-using careers than previous cohorts and also to have", - "page_start": 2, - "page_end": 2, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "\n\n## Modelling methodology\n\nThis brief section outlines the modelling process behind the conclusion in section one, which states that we might expect somewhere between 2,400 and 7,000 individuals from the original cohort of users in 2004 to be captured within the 2013 figure of new DIP arrestees (who test positive for opiates-only or who are positive-for-both).\n\nWe begin by putting in a plausible range of crime-involved OCUs through the period. This combines the total OCU estimates published by Hay et al ., (ranging from around 320,000 OCUs down to around 295,000 in recent years) with available estimates of the percentage who are likely to be committing acquisitive crime. The latter was found to be almost exactly 50% in the NTORS study (Gossop et al ., 2003). As such, a range of between 170,000 and 100,000 crimeinvolved OCUs is likely to include all plausible values (see first row of table below).\n\nWe then calculate the rate at which that population is likely to be arrested and test positive by using the number of individuals testing positive from 2008 (25,433), when DIP was fully up and running. This gives the second row of the table. Combining the values in the first two rows and applying the probability formula given in the main body of the text gives the third row: the probability of first positive DIP test in 2013. Note that this assumes all these individuals continue to offend through the period, which may not be the case, hence final results are probably an upper bound. The final row simply multiples the figure in the first row by the figure in the third to give our estimate of the original cohort who might appear in the 2013 DIP figures as new.", - "page_start": 41, - "page_end": 41, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "Table 7: Number of unique individuals testing positive for opiates-only or positive-for-both, by year of first positive test.", - "page_start": 17, - "page_end": 17, - "source_file": "legal2_opengouvernementlicense.pdf" - }, - { - "text": "cent (25,000/150,000). 14 It is then possible to model how many of the original population of crime-involved OCUs would be likely to test positive in any given year. For example, if there were 150,000 crime-involved OCUs in 2008, the chances of one of that group having a first test in 2013, providing they remained a crime-involved OCU throughout the period 2004-2013 is given by:\n\n(1 - probability of arrest)^8 = chance of not getting caught between 2004 and 2012\n\nMultiplied by:\n\nProbability that they do get arrested in 2013\n\nThis can then be calculated for a range of plausible values for the initial number of OCUs, and hence range of arrest rates, to give a range of plausible values for the number of new testers in 2013 who were actually longer-term users. The results of this modelling suggest that we would expect about 2,400-7,000 new positive tests from individuals who are actually longer-term OCUs. 15 So the fact we only see 4,281 in the real data suggests that genuinely new initiates may be a minority within this figure, as many (probably most) will be from the original cohort.\n\nThis is further reinforced by the next set of analyses, which break down the data on new positive tests per year by age. Table 8 shows how numbers of unique individuals testing positive for the first time break down by year and by age group. The age breakdowns are shown first in absolute numbers and in the second table as a proportion of all those with a first test in that year.\n\nTable 8: Unique individuals testing positive for opiates-only or positive-for-both, by age and by year of first test.\n\n| Year of first test | Age 18-24 | Age 25-29 | Age 30-34 | Age 35-39 | Age 40 over | Total |\n|-----------------------|-------------|-------------|-------------|-------------|----------------|---------|\n| 2004 | 3,150 | 3,319 | 2,938 | 1,958 | 881 | 12,246 |\n| 2005 | 2,391 | 2,832 | 2,548 | 1,791 | 977 | 10,539 |\n| 2006 | 3,635 | 3,768 | 3,275 | 2,491 | 1,580 | 14,749 |\n| 2007 | 3,182 | 3,359 | 2,869 | 2,178 | 1,803 | 13,391 |\n| 2008 | 2,912 | 3,197 | 2,857 | 2,425 | 2,238 | 13,629 |\n| 2009 | 2,711 | 2,594 | 2,304 | 1,998 | 2,048 | 11,655 |\n| 2010 | 2,287 | 2,180 | 2,105 | 1,744 | 2,075 | 10,391 |\n| 2011 | 1,772 | 1,519 | 1,622 | 1,274 | 1,726 | 7,913 |\n| 2012 | 1,136 | 1,179 | 1,300 | 1,030 | 1,377 | 6,022 |\n| 2013 | 721 | 850 | 938 | 704 | 1,068 | 4,281 |\n| Total | 23,897 | 24,797 | 22,756 | 17,593 | 15,773 | 104,816 |", - "page_start": 18, - "page_end": 18, - "source_file": "legal2_opengouvernementlicense.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "Who led the Fronde des princes?", - "target_page": 4, - "target_passage": "It was headed by the highest-ranking French nobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Condé, attacked the rebels in Paris; the rebels were under the political control of Anne's old friend Marie de Rohan. Beaufort, who had escaped from the prison where Anne had incarcerated him five years before, was the military leader in Paris, under the nominal control of Conti. After a few battles, a political compromise was reached; the Peace of Rueil was signed, and the court returned to Paris.\n\nUnfortunately for Anne, her partial victory depended on Condé, who wanted to control the queen and destroy Mazarin's influence. It was Condé's sister who pushed him to turn against the queen. After striking a deal with her old friend Marie de Rohan, who was able to impose the nomination of Charles de l'Aubespine, marquis de Châteauneuf as minister of justice, Anne arrested Condé, his brother Armand de Bourbon, Prince of Conti, and the husband of their sister Anne Genevieve de Bourbon, duchess of Longueville. This situation did not last long, and Mazarin's unpopularity led to the creation of a coalition headed mainly by Marie de Rohan and the duchess of Longueville. This aristocratic coalition was strong enough to liberate the princes, exile Mazarin, and impose a condition of virtual house arrest on Queen Anne.\n\nPortrait by Justus van Egmont between the years 1649-1652.\n\n\n\nAll these events were witnessed by Louis and\n\nlargely explained his later distrust of Paris and the higher aristocracy. [27] \"In one sense, Louis's childhood came to an end with the outbreak of the Fronde. It was not only that life became insecure and unpleasant - a fate meted out to many children in all ages - but that Louis had to be taken into the confidence of his mother and Mazarin on political and military matters of which he could have no deep understanding\". [28] \"The family home became at times a near-prison when Paris had to be abandoned, not in carefree outings to other chateaux but in humiliating flights\". [28] The royal family was driven out of Paris twice in this manner, and at one point Louis XIV and Anne were held under virtual arrest in the royal palace in Paris. The Fronde years planted in Louis a hatred of Paris and a consequent determination to move out of the ancient capital as soon as possible, never to return. [29]\n\nJust as the first Fronde (the Fronde parlementaire of 1648-1649) ended, a second one (the Fronde des princes of 1650-1653) began. Unlike that which preceded it, tales of sordid intrigue and half-hearted warfare characterized this second phase of upper-class insurrection. To the aristocracy, this rebellion represented a protest for the reversal of their political demotion from vassals to courtiers. It was headed by the highest-ranking French\n\nnobles, among them Louis's uncle Gaston, Duke of Orléans and first cousin Anne Marie Louise d'Orléans, Duchess of Montpensier, known as la Grande Mademoiselle ; Princes of the Blood such as Condé, his brother Armand de Bourbon, Prince of Conti, and their sister the Duchess of Longueville; dukes of legitimised royal descent, such as Henri, Duke of Longueville, and François, Duke of Beaufort; so-called \"foreign princes\" such as Frédéric Maurice, Duke of Bouillon, his brother Marshal Turenne, and Marie de Rohan, Duchess of Chevreuse; and scions of France's oldest families, such as François de La Rochefoucauld.\n\nQueen Anne played the most important role in defeating the Fronde because she wanted to transfer absolute authority to her son. In addition, most of the princes refused to deal with Mazarin, who went into exile for a number of years. The Frondeurs claimed to act on Louis's behalf, and in his real interest, against his mother and Mazarin.", - "page_start": 3, - "page_end": 3, - "source_file": "wikipedia5.pdf" - }, - { - "text": "experiences during the Fronde , when men of high birth readily took up the rebel cause against their king, who was actually the kinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French Revolution about a century later.\n\n## France as the pivot of warfare\n\nUnder Louis, France was the leading European power, and most wars pivoted around its aggressiveness. No European state exceeded it in population, and no one could match its wealth, central location, and very strong professional army. It had largely avoided the devastation of the Thirty Years' War. Its weaknesses included an inefficient financial system that was hard-pressed to pay for its military adventures, and the tendency of most other powers to gang up against it.\n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. There were also two lesser conflicts: the War of Devolution and the War of the Reunions. [64] The wars were very expensive but defined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by a mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to enhance his glory. In peacetime, he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] By 1695, France retained much of its dominance but had lost control of the seas to England and Holland, and most countries, both Protestant and Catholic, were in alliance against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned Louis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that France fight back by licensing French merchant ships to privateer and seize enemy merchant ships while avoiding its navies:\n\nLouis XIV\n\n\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in Europe, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies in the East and West Indies; and Holland with all its possessions in the four corners of the world where it has great establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states secretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting and covering their trade. [65]\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England [James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all in Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of peace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they support it by making war against us in concert with the other powers, and they keep it going by means of the money that they pay every year to... Allies.... We must therefore fall back on privateering as the method of conducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more so since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many good officers for the King, and in a short time force his enemies to sue for peace. [66]\n\n## Edict of Fontainebleau", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "## See also\n\n - Charles de Lorme, personal medical doctor to Louis XIV\n - Fundamental laws of the Kingdom of France\n - House of France\n - Levée (ceremony)\n - List of French monarchs\n - Outline of France\n - Louis XIV style\n - Nicolas Fouquet\n - French forestry Ordinance of 1669\n - Potager du Roi", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia5.pdf" - }, - { - "text": "People in France were complaining about the expansion of royal authority, the high rate of taxation, and the reduction of the authority of the Parlement de Paris and other regional representative entities. Paris erupted in rioting as a result, and Anne was forced, under intense pressure, to free Broussel. Moreover, on the night of 9-10 February 1651, when Louis was twelve, a mob of angry Parisians broke into the royal palace and demanded to see their king. Led into the royal bed-chamber, they gazed upon Louis, who was feigning sleep, were appeased, and then quietly departed. [25] The threat to the royal family prompted Anne to flee Paris with the king and his courtiers.\n\nShortly thereafter, the conclusion of the Peace of Westphalia allowed Condé's army to return to aid Louis and his court. Condé's family was close to Anne at that time, and he agreed to help her attempt to restore the king's authority. [26] The queen's army, headed by\n\nBaptismal certificate, 1638\n\n\n\nLouis XIV, then Dauphin of France, in 1642, one year before his accession to the throne, by Philippe de Champaigne\n\n\n\nLouis XIV in 1643, by Claude Deruet\n\n\n\nEurope after the Peace of Westphalia in 1648\n\n", - "page_start": 2, - "page_end": 2, - "source_file": "wikipedia5.pdf" - }, - { - "text": "\n\n## Louis XIV\n\nLouis XIV (Louis-Dieudonné; 5 September 1638 - 1 September 1715), also known as Louis the Great ( Louis le Grand ) or the Sun King ( le Roi Soleil ), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself. [4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\". [5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n## Early years\n\n## Louis XIV\n\nPortrait by Hyacinthe Rigaud , 1701\n\n\n\nKing of France (more...)\n\nReign\n\n14 May 1643 - 1 September\n\n1715\n\nCoronation\n\n7 June 1654\n\nReims Cathedral\n\nPredecessor\n\nLouis XIII\n\nSuccessor\n\nLouis XV\n\nRegent\n\nAnne of Austria (1643-1651)\n\nChief ministers See list\n\n- Cardinal Mazarin (1643-1661)\n- Jean-Baptiste Colbert (1661-1683)\n- The Marquis of Louvois (1683-1691)\n\nBorn\n\n5 September 1638\n\nChâteau de Saint-Germain- en-Laye, Saint-Germain-en- Laye, France\n\nDied\n\n1 September 1715 (aged 76) Palace of Versailles, Versailles, France\n\nBurial\n\n9 September 1715 Basilica of Saint-Denis\n\nSpouses\n\nMaria Theresa of Spain (m. 1660; died 1683)", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's foreign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish throne would ultimately be delivered to the House of Bourbon. [32]\n\n## Personal reign and reforms\n\n## Coming of age and early reforms\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of Mazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring that he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government of my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] will assist me with your counsels when I ask for them. I request and order you to seal no orders except by my command . . . I order you not to sign anything, not even a passport . . . without my command; to render account to me personally each day and to favor no one\". [33] Capitalizing on the widespread public yearning for peace and order after decades of foreign and civil strife, the young king consolidated central political authority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of Louis\". [34]\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in 1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. Although Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\n\nRoyal Monogram\n\n\n\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the Parlement found him guilty and sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more efficient taxation. The principal taxes included the aides and douanes (both customs duties), the gabelle (salt tax), and the taille (land tax). The taille was reduced at first, and certain tax-collection contracts were auctioned instead of being sold privately to a favoured few. Financial officials were required to keep regular accounts, revising inventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income from the royal domain reached the king. Reform had to overcome vested interests: the taille was collected by officers of the Crown who had purchased their post at a high price, and punishment of abuses necessarily lowered the value of the purchase. Nevertheless, Colbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, with interest on the debt decreasing from 52 million to 24 million livres. The taille was reduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nMembers of the Académie des sciences with Louis in 1667; in the background appears the new Paris Observatory.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European territories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, his allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands. [102]\n\n## Personal life\n\n## Marriages and children\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted for them in 1660. However, only one child, the eldest, survived to adulthood: Louis, le Grand Dauphin , known as Monseigneur . Maria Theresa died in 1683, whereupon Louis remarked that she had never caused him unease on any other occasion.\n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria Theresa. He took a series of mistresses, both official and unofficial. Among the better documented are Louise de La Vallière (with whom he had five children; 1661-1667), Bonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), FrançoiseAthénaïs, Marquise de Montespan (with whom he had seven children; 1667-1680), Anne de Rohan-Chabot (1669-1675), Claude de Vin des Œillets (one child born in 1676),\n\nWedding of Louis and Maria Theresa\n\n\n\nIsabelle de Ludres (1675-1678), and Marie Angélique de Scorailles (1679-1681), who died at age 19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of whom he married to members of cadet branches of the royal family.\n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de Maintenon. He first met her through her work caring for his children by Madame de Montespan, noting the care she gave to his favourite, Louis Auguste, Duke of Maine. [103] The king was, at first, put off by her strict religious practice, but he warmed to her through her care for his children. [103]\n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise d'Aubigné became the royal governess at Saint-Germain. [103] As governess, she was one of very few people permitted to speak to him as an equal, without limits. [103] It is believed that they were married secretly at Versailles on or around 10 October 1683 [104] or January 1684. [105] This marriage, though never announced or publicly discussed, was an open secret and lasted until his death. [106]\n\n## Piety and religion\n\nLouis was a pious and devout king who saw himself as the head and protector of the Catholic Church in France. He made his devotions daily regardless of where he was, following the liturgical calendar regularly. [107] Under the influence of his very religious second wife, he became much stronger in the practice of his Catholic faith. [108] This included banning opera and comedy performances during Lent. [108]\n\nTowards the middle and the end of his reign, the centre for the King's religious observances was usually the Chapelle Royale at Versailles. Ostentation was a distinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and special ceremonies. [109] Louis established the Paris Foreign Missions Society, but his informal alliance with the Ottoman Empire was criticised for undermining Christendom. [110]\n\nLouis XIV encouraged Catholic missions through the creation of the Paris Foreign Missions Society\n\n\n\n## Patronage of the arts", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia5.pdf" - }, - { - "text": "\n\n - Conseil des dépêches (\"Council of Messages\", concerning notices and administrative reports from the provinces).\n - Conseil de Conscience (\"Council of Conscience\", concerning religious affairs and episcopal appointments).\n - Conseil royal des finances (\"Royal Council of Finances\") headed by the \"chef du conseil des finances\" (an honorary post in most cases)-this was one of the few posts in the council available to the high aristocracy. [38]\n\n## Early wars in the Low Countries\n\n## Spain\n\nThe death of Louis's maternal uncle King Philip IV of Spain in 1665 precipitated the War of Devolution. In 1660, Louis had married Philip IV's eldest daughter, Maria Theresa, as one of the provisions of the 1659 Treaty of the Pyrenees. [39] The marriage treaty specified that Maria Theresa was to renounce all claims to Spanish territory for herself and all her descendants. [39] Mazarin", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis feared the political concessions which they would demand in return. Only towards the close of his reign under the extreme exigency of war, was he able, for the first time in French history, to impose direct taxes on the aristocracy. This was a step toward equality before the law and toward sound public finance, though it was predictably diminished by concessions and exemptions won by the insistent efforts of nobles and bourgeois. [35]\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. Colbert's mercantilist administration established new industries and encouraged manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins tapestry manufactory. He invited manufacturers and artisans from all over Europe to France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He aimed to decrease imports while increasing French exports, hence reducing the net outflow of precious metals from France.\n\nEngraving of Louis XIV\n\n\n\nLouis instituted reforms in military administration through Michel le Tellier and his son François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the independent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted war at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the old military aristocracy ( noblesse d'épée , nobility of the sword) monopolizing senior military positions and the higher ranks. Louvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the soldiers' material well-being and morale, and even tried to direct campaigns.\n\n## Relations with the major colonies\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France was a patchwork of legal systems, with as many traditional legal regimes as there were provinces, and two co-existing legal systems-customary law in the north and Roman civil law in the south. [36] The Grande Ordonnance de Procédure Civile of 1667, the Code Louis , was a comprehensive legal code imposing a uniform regulation of civil procedure throughout the kingdom. Among other things, it prescribed baptismal, marriage and death records in the state's registers, not the church's, and it strictly regulated the right of the Parlements to remonstrate. [37] The Code Louis later became the basis for the Napoleonic code, which in turn inspired many modern legal codes.\n\nOne of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code). Although it sanctioned slavery, it attempted to humanise the practice by prohibiting the separation of families. Additionally, in the colonies, only Roman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\n - Conseil d'en haut (\"High Council\", concerning the most important matters of state)-composed of the king, the crown prince, the controller-general of finances, and the secretaries of state in charge of various departments. The members of that council were called ministers of state.\n\nLouis and his family portrayed as Roman gods in a 1670 painting by Jean Nocret. L to R: Louis's aunt, Henriette-Marie; his brother, Philippe, duc d'Orléans; the Duke's daughter, Marie Louise d'Orléans, and wife, Henriette-Anne Stuart; the Queen-mother, Anne of Austria; three daughters of Gaston d'Orléans; Louis XIV; the Dauphin Louis; Queen Marie-Thérèse; la Grande Mademoiselle .\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine. [129] Orléans, however, had Louis's will annulled by the Parlement of Paris after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges. [130]\n\n## Line of succession in 1715\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, Philip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish Succession, which lasted for 13 years after the death of Charles II of Spain in 1700. [131]\n\nLouis XIII (1601-1643)\n\n\n\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin of French King Louis XIII (the father of Louis XIV) in the male line.\n\n## Legacy\n\n## Reputation\n\nAccording to Philippe de Courcillon's Journal , Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for vanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the burdens of your subjects. [132]\n\nSome historians point out that it was a customary demonstration of piety in those days to exaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed declarations in assessing his accomplishments. Rather, they focus on military and diplomatic successes, such as how he placed a French prince on the Spanish throne. This, they contend, ended the threat of an aggressive Spain that historically interfered in domestic French politics. These historians also emphasise the effect of Louis's wars in expanding France's boundaries and creating more defensible frontiers that preserved France from invasion until the Revolution. [132]\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] subjects.\" For example, he patronised the arts, encouraged industry, fostered trade and commerce, and sponsored the founding of an overseas empire. Moreover, the significant reduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nTerritorial expansion of France under Louis XIV (1643-1715) is depicted in orange.\n\n\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised France and marked the birth of the modern French state. They regard the political and military victories as well as numerous cultural achievements as how Louis helped raise France to a preeminent position in Europe. [133] Europe came to admire France for its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, goods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted France. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting evidence, they cite the literature of the time, such as the social commentary in Montesquieu's Persian Letters . [134]", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What was one of Louis XIV's most ill-famed decrees?", - "target_page": 6, - "target_passage": "One of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code)", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "\n\n## Louis XIV\n\nLouis XIV (Louis-Dieudonné; 5 September 1638 - 1 September 1715), also known as Louis the Great ( Louis le Grand ) or the Sun King ( le Roi Soleil ), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself. [4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\". [5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n## Early years\n\n## Louis XIV\n\nPortrait by Hyacinthe Rigaud , 1701\n\n\n\nKing of France (more...)\n\nReign\n\n14 May 1643 - 1 September\n\n1715\n\nCoronation\n\n7 June 1654\n\nReims Cathedral\n\nPredecessor\n\nLouis XIII\n\nSuccessor\n\nLouis XV\n\nRegent\n\nAnne of Austria (1643-1651)\n\nChief ministers See list\n\n- Cardinal Mazarin (1643-1661)\n- Jean-Baptiste Colbert (1661-1683)\n- The Marquis of Louvois (1683-1691)\n\nBorn\n\n5 September 1638\n\nChâteau de Saint-Germain- en-Laye, Saint-Germain-en- Laye, France\n\nDied\n\n1 September 1715 (aged 76) Palace of Versailles, Versailles, France\n\nBurial\n\n9 September 1715 Basilica of Saint-Denis\n\nSpouses\n\nMaria Theresa of Spain (m. 1660; died 1683)", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "## See also\n\n - Charles de Lorme, personal medical doctor to Louis XIV\n - Fundamental laws of the Kingdom of France\n - House of France\n - Levée (ceremony)\n - List of French monarchs\n - Outline of France\n - Louis XIV style\n - Nicolas Fouquet\n - French forestry Ordinance of 1669\n - Potager du Roi", - "page_start": 25, - "page_end": 25, - "source_file": "wikipedia5.pdf" - }, - { - "text": "was persuaded to change his fiscal policy. Though willing enough to tax the nobles, Louis feared the political concessions which they would demand in return. Only towards the close of his reign under the extreme exigency of war, was he able, for the first time in French history, to impose direct taxes on the aristocracy. This was a step toward equality before the law and toward sound public finance, though it was predictably diminished by concessions and exemptions won by the insistent efforts of nobles and bourgeois. [35]\n\nLouis and Colbert also had wide-ranging plans to grow French commerce and trade. Colbert's mercantilist administration established new industries and encouraged manufacturers and inventors, such as the Lyon silk manufacturers and the Gobelins tapestry manufactory. He invited manufacturers and artisans from all over Europe to France, such as Murano glassmakers, Swedish ironworkers, and Dutch shipbuilders. He aimed to decrease imports while increasing French exports, hence reducing the net outflow of precious metals from France.\n\nEngraving of Louis XIV\n\n\n\nLouis instituted reforms in military administration through Michel le Tellier and his son François-Michel le Tellier, successive Marquis de Louvois. They helped to curb the independent spirit of the nobility, imposing order on them at court and in the army. Gone were the days when generals protracted war at the frontiers while bickering over precedence and ignoring orders from the capital and the larger strategic picture, with the old military aristocracy ( noblesse d'épée , nobility of the sword) monopolizing senior military positions and the higher ranks. Louvois modernized the army and reorganised it into a professional, disciplined, well-trained force. He was devoted to the soldiers' material well-being and morale, and even tried to direct campaigns.\n\n## Relations with the major colonies\n\nLouis's legal reforms were enacted in his numerous Great Ordinances. Prior to that, France was a patchwork of legal systems, with as many traditional legal regimes as there were provinces, and two co-existing legal systems-customary law in the north and Roman civil law in the south. [36] The Grande Ordonnance de Procédure Civile of 1667, the Code Louis , was a comprehensive legal code imposing a uniform regulation of civil procedure throughout the kingdom. Among other things, it prescribed baptismal, marriage and death records in the state's registers, not the church's, and it strictly regulated the right of the Parlements to remonstrate. [37] The Code Louis later became the basis for the Napoleonic code, which in turn inspired many modern legal codes.\n\nOne of Louis's more infamous decrees was the Grande Ordonnance sur les Colonies of 1685, the Code Noir (black code). Although it sanctioned slavery, it attempted to humanise the practice by prohibiting the separation of families. Additionally, in the colonies, only Roman Catholics could own slaves, and these had to be baptised.\n\nLouis ruled through a number of councils:\n\n - Conseil d'en haut (\"High Council\", concerning the most important matters of state)-composed of the king, the crown prince, the controller-general of finances, and the secretaries of state in charge of various departments. The members of that council were called ministers of state.\n\nLouis and his family portrayed as Roman gods in a 1670 painting by Jean Nocret. L to R: Louis's aunt, Henriette-Marie; his brother, Philippe, duc d'Orléans; the Duke's daughter, Marie Louise d'Orléans, and wife, Henriette-Anne Stuart; the Queen-mother, Anne of Austria; three daughters of Gaston d'Orléans; Louis XIV; the Dauphin Louis; Queen Marie-Thérèse; la Grande Mademoiselle .\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "wikipedia5.pdf" - }, - { - "text": "He did say, \"Every time I appoint someone to a vacant position, I make a hundred unhappy and one ungrateful.\" [146][147] Louis is recorded by numerous eyewitnesses as having said on his deathbed: \" Je m'en vais, mais l'État demeurera toujours. \" (\"I depart, but the State shall always remain.\") [148]\n\n## Arms\n\nCoat of arms of Louis XIV\n\n\n\n## Order of Saint Louis\n\nOn 5 April 1693, Louis also founded the Royal and Military Order of Saint Louis (French: Ordre Royal et Militaire de SaintLouis ), a military order of chivalry. [150][151] He named it after Louis IX and intended it as a reward for outstanding officers. It is notable as the first decoration that could be granted to non-nobles and is roughly the forerunner of the Légion d'honneur , with which it shares the red ribbon (though the Légion d'honneur is awarded to military personnel and civilians alike).\n\n## Family\n\n## Ancestry\n\n", - "page_start": 22, - "page_end": 22, - "source_file": "wikipedia5.pdf" - }, - { - "text": "important both for its role in ending the war between France and Spain, because many of the claims and objectives of Louis's foreign policy for the next 50 years would be based upon this marriage, and because it was through this marriage that the Spanish throne would ultimately be delivered to the House of Bourbon. [32]\n\n## Personal reign and reforms\n\n## Coming of age and early reforms\n\nLouis XIV was declared to have reached the age of majority on the 7th of September 1651. On the death of Mazarin, in March 1661, Louis personally took the reins of government and astonished his court by declaring that he would rule without a chief minister: \"Up to this moment I have been pleased to entrust the government of my affairs to the late Cardinal. It is now time that I govern them myself. You [secretaries and ministers] will assist me with your counsels when I ask for them. I request and order you to seal no orders except by my command . . . I order you not to sign anything, not even a passport . . . without my command; to render account to me personally each day and to favor no one\". [33] Capitalizing on the widespread public yearning for peace and order after decades of foreign and civil strife, the young king consolidated central political authority at the expense of the feudal aristocracy. Praising his ability to choose and encourage men of talent, the historian Chateaubriand noted: \"it is the voice of genius of all kinds which sounds from the tomb of Louis\". [34]\n\nLouis began his personal reign with administrative and fiscal reforms. In 1661, the treasury verged on bankruptcy. To rectify the situation, Louis chose Jean-Baptiste Colbert as Controller-General of Finances in 1665. However, Louis first had to neutralize Nicolas Fouquet, the powerful Superintendent of Finances. Although Fouquet's financial indiscretions were not very different from Mazarin's before him or Colbert's after him, his ambition worried Louis. He lavishly entertained the king at the opulent château of Vaux-le-\n\nRoyal Monogram\n\n\n\nVicomte, flaunting a wealth which could hardly have accumulated except through embezzlement of government funds.\n\nFouquet appeared eager to succeed Mazarin and Richelieu in power, and he indiscreetly purchased and privately fortified the remote island of Belle Île. These acts sealed his doom. Fouquet was charged with embezzlement; the Parlement found him guilty and sentenced him to exile; and finally Louis altered the sentence to life imprisonment.\n\nFouquet's downfall gave Colbert a free hand to reduce the national debt through more efficient taxation. The principal taxes included the aides and douanes (both customs duties), the gabelle (salt tax), and the taille (land tax). The taille was reduced at first, and certain tax-collection contracts were auctioned instead of being sold privately to a favoured few. Financial officials were required to keep regular accounts, revising inventories and removing unauthorized exemptions: up to 1661 only 10 per cent of income from the royal domain reached the king. Reform had to overcome vested interests: the taille was collected by officers of the Crown who had purchased their post at a high price, and punishment of abuses necessarily lowered the value of the purchase. Nevertheless, Colbert achieved excellent results, with the deficit of 1661 turning into a surplus by 1666, with interest on the debt decreasing from 52 million to 24 million livres. The taille was reduced to 42 million in 1661 and 35 million in 1665, while revenue from indirect taxation\n\nMembers of the Académie des sciences with Louis in 1667; in the background appears the new Paris Observatory.\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Alternatively, Louis's critics attribute the social upheaval culminating in the French Revolution to his failure to reform French institutions while the monarchy was still secure. Other scholars counter that there was little reason to reform institutions that largely worked well under Louis. They also maintain that events occurring almost 80 years after his death were not reasonably foreseeable to Louis and that in any case, his successors had sufficient time to initiate reforms of their own. [135]\n\nLouis has often been criticised for his vanity. The memoirist Saint-Simon, who claimed that Louis slighted him, criticised him thus:\n\nThere was nothing he liked so much as flattery, or, to put it more plainly, adulation; the coarser and clumsier it was, the more he relished it.\n\nFor his part, Voltaire saw Louis's vanity as the cause for his bellicosity:\n\nRoyal procession passing the PontNeuf under Louis XIV\n\n\n\nIt is certain that he passionately wanted glory, rather than the conquests themselves. In the acquisition of Alsace and half of Flanders, and of all of Franche-Comté, what he really liked was the name he made for himself. [136]\n\nNonetheless, Louis has also received praise. The anti-Bourbon Napoleon described him not only as \"a great king\", but also as \"the only King of France worthy of the name\". [137] Leibniz, the German Protestant philosopher, commended him as \"one of the greatest kings that ever was\". [138] And Lord Acton admired him as \"by far the ablest man who was born in modern times on the steps of a throne\". [139] The historian and philosopher Voltaire wrote: \"His name can never be pronounced without respect and without summoning the image of an eternally memorable age\". [140] Voltaire's history, The Age of Louis XIV , named Louis's reign as not only one of the four great ages in which reason and culture flourished, but the greatest ever. [141][142]\n\n## Quotes\n\nNumerous quotes have been attributed to Louis XIV by legend.\n\nThe well-known \"I am the state\" ( \"L'État, c'est moi.\" ) was reported from at least the late 18th century. [143] It was widely repeated but also denounced as apocryphal by the early 19th century. [144][b][145]", - "page_start": 21, - "page_end": 21, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Louis XIV in 1685, the year he revoked the Edict of Nantes\n\n\n\nrewarded converts to Catholicism. [68] This discrimination did not encounter much Protestant resistance, and a steady conversion of Protestants occurred, especially among the noble elites.\n\nIn 1681, Louis dramatically increased his persecution of Protestants. The principle of cuius regio, eius religio generally also meant that subjects who refused to convert could emigrate, but Louis banned emigration and effectively insisted that all Protestants must be converted. Secondly, following the proposal of René de Marillac and the Marquis of Louvois, he began quartering dragoons in Protestant homes. Although this was within his legal rights, the dragonnades inflicted severe financial strain on Protestants and atrocious abuse. Between 300,000 and 400,000 Huguenots converted, as this entailed financial rewards and exemption from the dragonnades . [69]\n\nOn 15 October 1685, Louis issued the Edict of Fontainebleau, which cited the redundancy of privileges for Protestants given their scarcity after the extensive conversions. The Edict of Fontainebleau revoked the Edict of Nantes and repealed all the privileges that arose therefrom. [4] By his edict, Louis no longer tolerated the existence of Protestant groups, pastors, or churches in France.\n\nNo further churches were to be constructed, and those already existing were to be demolished. Pastors could choose either exile or secular life. Those Protestants who had resisted conversion were now to be baptised forcibly into the established church. [70]\n\nHistorians have debated Louis's reasons for issuing the Edict of Fontainebleau. He may have been seeking to placate Pope Innocent XI, with whom relations were tense and whose aid was necessary to determine the outcome of a succession crisis in the Electorate of Cologne. He may also have acted to upstage Emperor Leopold I and regain international prestige after the latter defeated the Turks without Louis's help. Otherwise, he may simply\n\nProtestant peasants rebelled against the officially sanctioned dragonnades (conversions enforced by dragoons, labeled \"missionaries in boots\") that followed the Edict of Fontainebleau.\n\n\n\nhave desired to end the remaining divisions in French society dating to the Wars of Religion by fulfilling his coronation oath to eradicate heresy. [71][72]\n\nMany historians have condemned the Edict of Fontainebleau as gravely harmful to France. [73] In support, they cite the emigration of about 200,000 highly skilled Huguenots (roughly one quarter of the Protestant population, or 1% of the French population) who defied royal decrees and fled France for various Protestant states, weakening the French economy and enriching that of Protestant states. On the other hand, some historians view this as an exaggeration. They argue that most of France's preeminent Protestant businessmen and industrialists converted to Catholicism and remained. [74]\n\nWhat is certain is that the reaction to the Edict was mixed. Even while French Catholic leaders exulted, Pope Innocent XI still argued with Louis over Gallicanism and criticized the use of violence. Protestants across Europe were horrified at the treatment of their co-religionists, but most Catholics in France applauded the move. Nonetheless, it is indisputable that Louis's public image in most of Europe, especially in Protestant regions, was dealt a severe blow.", - "page_start": 10, - "page_end": 10, - "source_file": "wikipedia5.pdf" - }, - { - "text": "This is an incomplete list of Louis XIV's illegitimate children. He reputedly had more, but the difficulty in fully documenting all such births restricts the list only to the better-known and/or legitimised.", - "page_start": 24, - "page_end": 24, - "source_file": "wikipedia5.pdf" - }, - { - "text": "## Films\n\n - The film, The Taking of Power by Louis XIV (1966), directed by Roberto Rossellini, shows Louis's rise to power after the death of Cardinal Mazarin.\n - The film Man in the Iron Mask (1998), directed by Randall Wallace, focused on the identity of an anonymous masked prisoner who spent decades in the Bastille and other French prisons, and his true identity remains somewhat a mystery till date. The monarch was played by Leonardo DiCaprio.\n\nLouis XIV as Apollo in the Ballet Royal de la Nuit (1653)\n\n\n\nHall of Mirrors, Palace of Versailles\n\n", - "page_start": 18, - "page_end": 18, - "source_file": "wikipedia5.pdf" - }, - { - "text": "- The film, Le Roi Danse (2000; translated: The King Dances ), directed by Gérard Corbiau, reveals Louis through the eyes of Jean-Baptiste Lully, his court musician.\n - Julian Sands portrayed Louis in Roland Jaffe's Vatel (2000).\n - Alan Rickman directed, co-wrote, and stars as Louis XIV in the film, A Little Chaos , which centres on construction in the gardens of Versaille, at the time immediately before and after the death of Queen Maria Theresa.\n - The 2016 film The Death of Louis XIV , directed by Albert Serra, is set during the last two weeks of Louis XIV's life before dying of gangrene, with the monarch played by Jean-Pierre Léaud.\n\n## Television\n\n - Louis XIV is portrayed by Thierry Perkins-Lyautey in the British television film Charles II: The Power and the Passion.\n - The 15-year-old Louis XIV, as played by the Irish actor Robert Sheehan, is a major character of the short-lived historical fantasy series Young Blades from January to June 2005.\n - George Blagden portrays Louis XIV in the Canal+ series Versailles which aired for three seasons from 2015.\n\n## Musicals\n\n - Emmanuel Moire portrayed Louis XIV in the 2005-07 Kamel Ouali musical Le Roi Soleil.\n\n## Health and death\n\nLouis XIV (seated) with his son le Grand Dauphin (to the left), his grandson Louis, Duke of Burgundy (to the right), his great-grandson Louis Duke of Anjou, and Madame de Ventadour, Anjou's governess, who commissioned this painting; busts of Henry IV and Louis XIII are in the background.\n\n\n\n\n\nDespite the image of a healthy and virile king that Louis sought to project, evidence exists to suggest that his health was not very good. He had many ailments: for example, symptoms of diabetes, as confirmed in reports of suppurating periostitis in 1678, dental abscesses in 1696, along with recurring boils, fainting spells, gout, dizziness, hot flushes, and headaches.\n\nFrom 1647 to 1711, the three chief physicians to the king (Antoine Vallot, Antoine d'Aquin, and Guy-Crescent Fagon) recorded all of his health problems in the Journal de Santé du Roi ( Journal of the King's Health ), a daily report of his health. On 18 November 1686, Louis underwent a painful operation for an anal fistula that was performed by the surgeon Charles Felix de Tassy, who prepared a specially shaped curved scalpel for the occasion. The wound took more than two months to heal. [124]\n\nLouis died of gangrene at Versailles on 1 September 1715, four days before his 77th birthday, after 72 years on the throne. Enduring much pain in his last days, he finally \"yielded up his soul without any effort, like a candle going out\", while reciting the psalm Deus, in adjutorium me festina ( O Lord, make haste to help me ). [125] His body was laid to rest in Saint-Denis Basilica outside Paris. It remained there undisturbed for about 80 years until revolutionaries exhumed and destroyed all of the remains found in the Basilica. [126] In 1848, at Nuneham House, a piece of Louis's mummified heart, taken from his tomb and kept in a silver locket by Lord Harcourt, Archbishop of York, was shown to the Dean of Westminster, William Buckland, who ate a part of it. [127]\n\nCardinal Armand Gaston Maximilien de Rohan gave Last Rites (confession, viaticum, and unction) to king Louis XIV. [128]\n\n## Succession\n\nLouis outlived most of his immediate legitimate family. His last surviving legitimate son, Louis, Dauphin of France, died in 1711. Barely a year later, the Duke of Burgundy, the eldest of the Dauphin's three sons and then heir-apparent to Louis, followed his father. Burgundy's elder son, Louis, Duke of Brittany, joined them a few weeks later. Thus, on his\n\ndeathbed, Louis's heir-apparent was his five-year-old great-grandson, Louis, Duke of Anjou, Burgundy's younger son.", - "page_start": 19, - "page_end": 19, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "wikipedia5.pdf", - "query": "What did Louis XIV do to avoid the Spanish War of Succession in 1698?", - "target_page": 13, - "target_passage": "In an attempt to avoid war, Louis signed the Treaty of the Hague with William III of England in 1698. This agreement divided Spain's Italian territories between Louis's son le Grand Dauphin and Archduke Charles, with the rest of the empire awarded to Joseph Ferdinand.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "Louis XIV in 1670, engraved portrait by Robert Nanteuil\n\n\n\nand Lionne, however, made the renunciation conditional on the full payment of a Spanish dowry of 500,000 écus. [40] The dowry was never paid and would later play a part persuading his maternal first cousin Charles II of Spain to leave his empire to Philip, Duke of Anjou (later Philip V of Spain), the grandson of Louis XIV and Maria Theresa.\n\nThe War of Devolution did not focus on the payment of the dowry; rather, the lack of payment was what Louis XIV used as a pretext for nullifying Maria Theresa's renunciation of her claims, allowing the land to \"devolve\" to him. In Brabant (the location of the land in dispute), children of first marriages traditionally were not disadvantaged by their parents' remarriages and still inherited property. Louis's wife was Philip IV's daughter by\n\nhis first marriage, while the new king of Spain, Charles II, was his son by a subsequent marriage. Thus, Brabant allegedly \"devolved\" to Maria Theresa, justifying France to attack the Spanish Netherlands.\n\n## Relations with the Dutch\n\nDuring the Eighty Years' War with Spain, France supported the Dutch Republic as part of a general policy of opposing Habsburg power. Johan de Witt, Dutch Grand Pensionary from 1653 to 1672, viewed this as crucial for Dutch security and a counterweight against his domestic Orangist opponents. Louis provided support in the 1665-1667 Second Anglo-Dutch War but used the opportunity to launch the War of Devolution in 1667. This captured Franche-Comté and much of the Spanish Netherlands; French expansion in this area was a direct threat to Dutch economic interests. [41]\n\nThe Dutch opened talks with Charles II of England on a common diplomatic front against France, leading to the Triple Alliance, between England, the Dutch and Sweden. The threat of an escalation and a secret treaty to divide Spanish possessions\n\nThe Battle of Tolhuis, Louis XIV crosses the Lower Rhine at Lobith on 12 June 1672; Rijksmuseum Amsterdam\n\n\n\nwith Emperor Leopold, the other major claimant to the throne of Spain, led Louis to relinquish many of his gains in the 1668 Treaty of Aix-la-Chapelle. [42]\n\nLouis placed little reliance on his agreement with Leopold and as it was now clear French and Dutch aims were in direct conflict, he decided to first defeat the Republic, then seize the Spanish Netherlands. This required breaking up the Triple Alliance; he paid Sweden to remain neutral and signed the 1670 Secret Treaty of Dover with Charles, an Anglo-French alliance against the Dutch Republic. In May 1672, France invaded the Republic, supported by Münster and the Electorate of Cologne. [43]\n\nLouis XIV, 1670, by Claude Lefèbvre\n\n\n\nRapid French advance led to a coup that toppled De Witt and brought William III to power. Leopold viewed French expansion into the Rhineland as an increasing threat, especially after they seized the strategic Duchy of Lorraine in 1670. The prospect of Dutch defeat led Leopold to an alliance with Brandenburg-Prussia on 23 June, followed by another with the Republic on 25th. [44] Although Brandenburg was forced out of the war by the June 1673 Treaty of Vossem, in August an anti-French alliance was formed by the Dutch, Spain, Emperor Leopold and the Duke of Lorraine. [45]", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia5.pdf" - }, - { - "text": "experiences during the Fronde , when men of high birth readily took up the rebel cause against their king, who was actually the kinsman of some. This victory over the nobility may thus have ensured the end of major civil wars in France until the French Revolution about a century later.\n\n## France as the pivot of warfare\n\nUnder Louis, France was the leading European power, and most wars pivoted around its aggressiveness. No European state exceeded it in population, and no one could match its wealth, central location, and very strong professional army. It had largely avoided the devastation of the Thirty Years' War. Its weaknesses included an inefficient financial system that was hard-pressed to pay for its military adventures, and the tendency of most other powers to gang up against it.\n\nDuring Louis's reign, France fought three major wars: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. There were also two lesser conflicts: the War of Devolution and the War of the Reunions. [64] The wars were very expensive but defined Louis XIV's foreign policy, and his personality shaped his approach. Impelled \"by a mix of commerce, revenge, and pique\", Louis sensed that war was the ideal way to enhance his glory. In peacetime, he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] By 1695, France retained much of its dominance but had lost control of the seas to England and Holland, and most countries, both Protestant and Catholic, were in alliance against it. Sébastien Le Prestre de Vauban, France's leading military strategist, warned Louis in 1689 that a hostile \"Alliance\" was too powerful at sea. He recommended that France fight back by licensing French merchant ships to privateer and seize enemy merchant ships while avoiding its navies:\n\nLouis XIV\n\n\n\nFrance has its declared enemies Germany and all the states that it embraces; Spain with all its dependencies in Europe, Asia, Africa and America; the Duke of Savoy [in Italy], England, Scotland, Ireland, and all their colonies in the East and West Indies; and Holland with all its possessions in the four corners of the world where it has great establishments. France has ... undeclared enemies, indirectly hostile, hostile, and envious of its greatness, Denmark, Sweden, Poland, Portugal, Venice, Genoa, and part of the Swiss Confederation, all of which states secretly aid France's enemies by the troops that they hire to them, the money they lend them and by protecting and covering their trade. [65]\n\nVauban was pessimistic about France's so-called friends and allies:\n\nFor lukewarm, useless, or impotent friends, France has the Pope, who is indifferent; the King of England [James II] expelled from his country; the Grand Duke of Tuscany; the Dukes of Mantua, Modena, and Parma [all in Italy]; and the other faction of the Swiss. Some of these are sunk in the softness that comes of years of peace, the others are cool in their affections....The English and Dutch are the main pillars of the Alliance; they support it by making war against us in concert with the other powers, and they keep it going by means of the money that they pay every year to... Allies.... We must therefore fall back on privateering as the method of conducting war which is most feasible, simple, cheap, and safe, and which will cost least to the state, the more so since any losses will not be felt by the King, who risks virtually nothing....It will enrich the country, train many good officers for the King, and in a short time force his enemies to sue for peace. [66]\n\n## Edict of Fontainebleau", - "page_start": 9, - "page_end": 9, - "source_file": "wikipedia5.pdf" - }, - { - "text": "In July 1695, the city of Namur, occupied for three years by the French, was besieged by an allied army led by William III. Louis XIV ordered the surprise destruction of a Flemish city to divert the attention of these troops. This led to the bombardment of Brussels, in which more than 4,000 buildings were destroyed, including the entire city centre. The strategy failed, as Namur fell three weeks later, but harmed Louis XIV's reputation: a century later, Napoleon deemed the bombardment \"as barbarous as it was useless\". [85]\n\nPeace was broached by Sweden in 1690. By 1692, both sides evidently wanted peace, and secret bilateral talks began, but to no avail. [86] Louis tried to break up the alliance against him by dealing with individual opponents but did not achieve his aim until 1696 when the Savoyards agreed to the Treaty of Turin and switched sides. Thereafter, members of the League of Augsburg rushed to the peace table, and negotiations for a general peace began in earnest, culminating in the Peace of Ryswick of 1697. [87]\n\nMarshal de Luxembourg\n\n\n\n## Peace of Ryswick\n\nThe Peace of Ryswick ended the War of the League of Augsburg and disbanded the Grand Alliance. By manipulating their rivalries and suspicions, Louis divided his enemies and broke their power.\n\nThe treaty yielded many benefits for France. Louis secured permanent French sovereignty over all of Alsace, including Strasbourg, and established the Rhine as the Franco-German border (as it is to this day). Pondichéry and Acadia were returned to France, and Louis's de facto possession of Saint-Domingue was recognised as lawful. However, he returned Catalonia and most of the Reunions.\n\nFrench military superiority might have allowed him to press for more advantageous terms. Thus, his generosity to Spain with regard to Catalonia has been read as a concession to foster pro-French sentiment and may ultimately have induced King Charles II to name Louis's grandson Philip, Duke of Anjou, heir to the Spanish throne. [88] In exchange for financial compensation, France renounced its interests in the Electorate of Cologne and the Palatinate. Lorraine, which had been occupied by the French since 1670, was returned to its rightful Duke Leopold, albeit with a right of way to the French military. William and Mary were recognised as joint sovereigns of the British Isles, and Louis withdrew support for James II. The Dutch were given the right to garrison forts in the Spanish Netherlands that acted as a protective barrier against possible French aggression. Though in some respects the Treaty of Ryswick may appear a diplomatic defeat for Louis since he failed to place client rulers in control of the Palatinate or the Electorate of Cologne, he did fulfil many of the aims laid down in his 1688 ultimatum. [89] In any case, peace in 1697 was desirable to Louis, since France was exhausted from the costs of the war.\n\n## War of the Spanish Succession\n\n## Causes and build-up to the war\n\nBy the time of the Peace of Ryswick, the Spanish succession had been a source of concern to European leaders for well over forty years. King Charles II ruled a vast empire comprising Spain, Naples, Sicily, Milan, the Spanish Netherlands, and numerous Spanish colonies. He produced no children, however, and consequently had no direct heirs.", - "page_start": 12, - "page_end": 12, - "source_file": "wikipedia5.pdf" - }, - { - "text": "Philip V of Spain\n\n\n\nsucceeded to his father's throne. [90] The signatories, however, omitted to consult the ruler of these lands, and Charles II was passionately opposed to the dismemberment of his empire. In 1699, he re-confirmed his 1693 will that named Joseph Ferdinand as his sole successor. [91]\n\nSix months later, Joseph Ferdinand died. Therefore, in 1700, Louis and William III concluded a fresh partitioning agreement, the Treaty of London. This allocated Spain, the Low Countries, and the Spanish colonies to the Archduke. The Dauphin would receive all of Spain's Italian territories. [92] Charles II acknowledged that his empire could only remain undivided by bequeathing it entirely to a Frenchman or an Austrian. Under pressure from his German wife, Maria Anna of Neuburg, Charles II named Archduke Charles as his sole heir.\n\n## Acceptance of the will of Charles II and consequences\n\nOn his deathbed in 1700, Charles II of Spain unexpectedly changed his will. The clear demonstration of French military superiority for many decades before this time, the pro-French faction at the court of Spain, and even Pope\n\nInnocent XII convinced him that France was more likely to preserve his empire intact. He thus offered the entire empire to the Dauphin's second son Philip, Duke of Anjou, provided it remained undivided. Anjou was not in the direct line of French succession, thus his accession would not cause a Franco-Spanish union. [92] If Anjou refused, the throne would be offered to his younger brother Charles, Duke of Berry. If the Duke of Berry declined it, it would go to Archduke Charles, then to the distantly related House of Savoy if Charles declined it. [93]\n\nLouis was confronted with a difficult choice. He could agree to a partition of the Spanish possessions and avoid a general war, or accept Charles II's will and alienate much of Europe. He may initially have been inclined to abide by the partition treaties, but the Dauphin's insistence persuaded him otherwise. [94] Moreover, Louis's foreign minister, Jean-Baptiste Colbert, marquis de Torcy, pointed out that war with the Emperor would almost certainly ensue whether Louis accepted the partition treaties or Charles II's will. He emphasised that, should it come to war, William III was unlikely to stand by France since\n\nLouis in 1701\n\n\n\nhe \"made a treaty to avoid war and did not intend to go to war to implement the treaty\". [91] Indeed, in the event of war, it might be preferable to be already in control of the disputed lands. Eventually, therefore, Louis decided to accept Charles II's will. Philip, Duke of Anjou, thus became Philip V, King of Spain.\n\nMost European rulers accepted Philip as king, some reluctantly. Depending on one's views of the war's inevitability, Louis acted reasonably or arrogantly. [95] He confirmed that Philip V retained his French rights despite his new Spanish position. Admittedly, he may only have been hypothesising a theoretical eventuality and not attempting a Franco-Spanish union. But his actions were certainly not read as disinterested. Moreover, Louis sent troops to the Spanish Netherlands to evict Dutch garrisons and secure Dutch recognition of Philip V. In 1701, Philip transferred the asiento (the right to supply slaves to Spanish colonies) to France, as a sign of the two nations' growing connections. As tensions mounted, Louis decided to acknowledge James Stuart, the son of James II, as King of England, Scotland and Ireland on the latter's death, infuriating William III. These actions enraged Britain and the Dutch Republic. [96] With the Holy Roman Emperor and the petty German states, they formed another Grand Alliance and declared war on France in 1702. French diplomacy secured Bavaria, Portugal, and Savoy as Franco-Spanish allies. [97]\n\n## Commencement of fighting", - "page_start": 13, - "page_end": 13, - "source_file": "wikipedia5.pdf" - }, - { - "text": "\n\n## Louis XIV\n\nLouis XIV (Louis-Dieudonné; 5 September 1638 - 1 September 1715), also known as Louis the Great ( Louis le Grand ) or the Sun King ( le Roi Soleil ), was King of France from 1643 until his death in 1715. His verified reign of 72 years and 110 days is the longest of any sovereign. [1][a] An emblematic character of the Age of Absolutism in Europe, [3] Louis XIV's legacy is widely characterized by French colonial expansion, the conclusion of Eighty Years' War involving the Habsburgs, and his architectural bequest, marked by commissioned works of art and buildings. His pageantry, opulent lifestyle and ornate cultivated image earned him enduring admiration. Louis XIV raised France to be the exemplar nation-state of the early modern period, and established a cultural prestige which lasted through the subsequent centuries, and continues today.\n\nLouis began his personal rule of France in 1661, after the death of his chief minister Cardinal Mazarin, when the King famously declared that he would take over the job himself. [4] An adherent of the divine right of kings, Louis continued his predecessors' work of creating a centralised state governed from the capital. He sought to eliminate the remnants of feudalism persisting in parts of France; by compelling many members of the nobility to reside at his lavish Palace of Versailles, he succeeded in pacifying the aristocracy, many of whom had participated in the Fronde rebellions during his minority. He thus became one of the most powerful French monarchs and consolidated a system of absolute monarchy in France that endured until the French Revolution. Louis also enforced uniformity of religion under the Catholic Church. His revocation of the Edict of Nantes abolished the rights of the Huguenot Protestant minority and subjected them to a wave of dragonnades, effectively forcing Huguenots to emigrate or convert, virtually destroying the French Protestant community.\n\nDuring Louis's long reign, France emerged as the leading European power and regularly made war. A conflict with Spain marked his entire childhood, while during his personal rule, Louis fought three major continental conflicts, each against powerful foreign alliances: the Franco-Dutch War, the Nine Years' War, and the War of the Spanish Succession. In addition, France contested shorter wars such as the War of Devolution and the War of the Reunions. Warfare defined Louis's foreign policy, impelled by his personal ambition for glory and power: \"a mix of commerce, revenge, and pique\". [5] His wars strained France's resources to the utmost, while in peacetime he concentrated on preparing for the next war. He taught his diplomats that their job was to create tactical and strategic advantages for the French military. [6] Upon his death in 1715, Louis XIV left his great-grandson and successor, Louis XV, a powerful but war-weary kingdom, in major debt after the War of the Spanish Succession that had raged on since 1701.\n\nSome of his other notable achievements include the construction of the Canal du Midi, the patronage of artists, and the founding of the French Academy of Sciences.\n\n## Early years\n\n## Louis XIV\n\nPortrait by Hyacinthe Rigaud , 1701\n\n\n\nKing of France (more...)\n\nReign\n\n14 May 1643 - 1 September\n\n1715\n\nCoronation\n\n7 June 1654\n\nReims Cathedral\n\nPredecessor\n\nLouis XIII\n\nSuccessor\n\nLouis XV\n\nRegent\n\nAnne of Austria (1643-1651)\n\nChief ministers See list\n\n- Cardinal Mazarin (1643-1661)\n- Jean-Baptiste Colbert (1661-1683)\n- The Marquis of Louvois (1683-1691)\n\nBorn\n\n5 September 1638\n\nChâteau de Saint-Germain- en-Laye, Saint-Germain-en- Laye, France\n\nDied\n\n1 September 1715 (aged 76) Palace of Versailles, Versailles, France\n\nBurial\n\n9 September 1715 Basilica of Saint-Denis\n\nSpouses\n\nMaria Theresa of Spain (m. 1660; died 1683)", - "page_start": 0, - "page_end": 0, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The Nine Years' War, which lasted from 1688 to 1697, initiated a period of decline in Louis's political and diplomatic fortunes. It arose from two events in the Rhineland. First, in 1685, the Elector Palatine Charles II died. All that remained of his immediate family was Louis's sister-in-law, Elizabeth Charlotte. German law ostensibly barred her from succeeding to her brother's lands and electoral dignity, but it was unclear enough for arguments in favour of Elizabeth Charlotte to have a chance of success. Conversely, the princess was demonstrably entitled to a division of the family's personal property. Louis pressed her claims to land and chattels, hoping the latter, at least, would be given to her. [76] Then, in 1688, Maximilian Henry of Bavaria, Archbishop of Cologne, an ally of France, died. The archbishopric had traditionally been held by the Wittelsbachs of Bavaria, but the Bavarian claimant to replace Maximilian Henry, Prince Joseph Clemens of Bavaria, was at that time not more than 17 years old and not even ordained. Louis sought instead to install his own candidate, Wilhelm Egon von Fürstenberg, to ensure the key Rhenish state remained an ally. [77]\n\nIn light of his foreign and domestic policies during the early 1680s, which were perceived as aggressive, Louis's actions, fostered by the succession crises of the late 1680s, created concern and alarm in much of Europe. This led to the formation of the 1686 League of Augsburg by the Holy Roman Emperor, Spain, Sweden, Saxony, and Bavaria. Their stated intention was to return France to at least the borders agreed to in the Treaty of Nijmegen. [78] Emperor Leopold I's persistent refusal to convert the Truce of Ratisbon into a permanent treaty fed Louis's fears that the Emperor would turn on France and attack the Reunions after settling his affairs in the Balkans. [79]\n\nAnother event Louis found threatening was England's Glorious Revolution of 1688. Although King James II was Catholic, his two Anglican daughters, Mary and Anne, ensured the English people a Protestant succession. But when James II's son James Francis Edward Stuart was born, he took precedence in succession over his sisters. This seemed to herald an era of Catholic monarchs in England. Protestant lords called on the Dutch Prince\n\nBattle of Fleurus, 1690\n\n\n\nLouis in 1690\n\n\n\nWilliam III of Orange, grandson of Charles I of England, to come to their aid. He sailed for England with troops despite Louis's warning that France would regard it as a provocation. Witnessing numerous desertions and defections, even among those closest to him, James II fled England. Parliament declared the throne vacant, and offered it to James's daughter Mary II and his son-inlaw and nephew William. Vehemently anti-French, William (now William III of England) pushed his new kingdoms into war, thus transforming the League of Augsburg into the Grand Alliance. Before this happened, Louis expected William's expedition to England to absorb his energies and those of his allies, so he dispatched troops to the Rhineland after the expiry of his ultimatum to the German princes requiring confirmation of the Truce of Ratisbon and acceptance of his demands about the succession crises. This military manoeuvre was also intended to protect his eastern provinces from Imperial invasion by depriving the enemy army of sustenance, thus explaining the preemptive scorched earth policy pursued in much of southwestern Germany (the \"Devastation of the Palatinate\"). [80]\n\nLouis XIV at the siege of Namur (1692)\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "wikipedia5.pdf" - }, - { - "text": "illegitimate son Louis-Auguste de Bourbon, Duke of Maine. [129] Orléans, however, had Louis's will annulled by the Parlement of Paris after his death and made himself sole regent. He stripped Maine and his brother, Louis-Alexandre, Count of Toulouse, of the rank of Prince of the Blood, which Louis had granted them, and significantly reduced Maine's power and privileges. [130]\n\n## Line of succession in 1715\n\nLine of succession to the French throne upon the death of Louis XIV in 1715. Louis XIV's only surviving legitimate grandson, Philip V, was not included in the line of succession due to having renounced the French throne after the war of the Spanish Succession, which lasted for 13 years after the death of Charles II of Spain in 1700. [131]\n\nLouis XIII (1601-1643)\n\n\n\nFurther down the French line of succession in 1715 was the House of Condé, followed by the House of Conti (a cadet branch of the House of Condé). Both of these royal houses were descended in the male line from Henri II, Prince of Condé, a second cousin of French King Louis XIII (the father of Louis XIV) in the male line.\n\n## Legacy\n\n## Reputation\n\nAccording to Philippe de Courcillon's Journal , Louis on his deathbed advised his heir with these words:\n\nDo not follow the bad example which I have set you; I have often undertaken war too lightly and have sustained it for vanity. Do not imitate me, but be a peaceful prince, and may you apply yourself principally to the alleviation of the burdens of your subjects. [132]\n\nSome historians point out that it was a customary demonstration of piety in those days to exaggerate one's sins. Thus they do not place much emphasis on Louis's deathbed declarations in assessing his accomplishments. Rather, they focus on military and diplomatic successes, such as how he placed a French prince on the Spanish throne. This, they contend, ended the threat of an aggressive Spain that historically interfered in domestic French politics. These historians also emphasise the effect of Louis's wars in expanding France's boundaries and creating more defensible frontiers that preserved France from invasion until the Revolution. [132]\n\nArguably, Louis also applied himself indirectly to \"the alleviation of the burdens of [his] subjects.\" For example, he patronised the arts, encouraged industry, fostered trade and commerce, and sponsored the founding of an overseas empire. Moreover, the significant reduction in civil wars and aristocratic rebellions during his reign are seen by these\n\nTerritorial expansion of France under Louis XIV (1643-1715) is depicted in orange.\n\n\n\nhistorians as the result of Louis's consolidation of royal authority over feudal elites. In their analysis, his early reforms centralised France and marked the birth of the modern French state. They regard the political and military victories as well as numerous cultural achievements as how Louis helped raise France to a preeminent position in Europe. [133] Europe came to admire France for its military and cultural successes, power, and sophistication. Europeans generally began to emulate French manners, values, goods, and deportment. French became the universal language of the European elite.\n\nLouis's detractors have argued that his considerable foreign, military and domestic expenditure impoverished and bankrupted France. His supporters, however, distinguish the state, which was impoverished, from France, which was not. As supporting evidence, they cite the literature of the time, such as the social commentary in Montesquieu's Persian Letters . [134]", - "page_start": 20, - "page_end": 20, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The French alliance was deeply unpopular in England, and only more so after the disappointing battles against Michiel de Ruyter's fleet. Charles II of England made peace with the Dutch in the February 1674 Treaty of Westminster. However, French armies held significant advantages over their opponents; an undivided command, talented generals like Turenne, Condé and Luxembourg and vastly superior logistics. Reforms introduced by Louvois, the Secretary of War, helped maintain large field armies that could be mobilised much more quickly, allowing them to mount offensives in early spring before their opponents were ready. [46]\n\nThe future Philip V being introduced as King of Spain by his grandfather, Louis XIV\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "wikipedia5.pdf" - }, - { - "text": "negotiations in 1709 and 1710. France retained Île-Saint-Jean and Île Royale, and Louis acquired a few minor European territories, such as the Principality of Orange and the Ubaye Valley, which covered transalpine passes into Italy. Thanks to Louis, his allies the Electors of Bavaria and Cologne were restored to their prewar status and returned their lands. [102]\n\n## Personal life\n\n## Marriages and children\n\nLouis and his wife Maria Theresa of Spain had six children from the marriage contracted for them in 1660. However, only one child, the eldest, survived to adulthood: Louis, le Grand Dauphin , known as Monseigneur . Maria Theresa died in 1683, whereupon Louis remarked that she had never caused him unease on any other occasion.\n\nDespite evidence of affection early on in their marriage, Louis was never faithful to Maria Theresa. He took a series of mistresses, both official and unofficial. Among the better documented are Louise de La Vallière (with whom he had five children; 1661-1667), Bonne de Pons d'Heudicourt (1665), Catherine Charlotte de Gramont (1665), FrançoiseAthénaïs, Marquise de Montespan (with whom he had seven children; 1667-1680), Anne de Rohan-Chabot (1669-1675), Claude de Vin des Œillets (one child born in 1676),\n\nWedding of Louis and Maria Theresa\n\n\n\nIsabelle de Ludres (1675-1678), and Marie Angélique de Scorailles (1679-1681), who died at age 19 in childbirth. Through these liaisons, he produced numerous illegitimate children, most of whom he married to members of cadet branches of the royal family.\n\nLouis proved relatively more faithful to his second wife, Françoise d'Aubigné, Marquise de Maintenon. He first met her through her work caring for his children by Madame de Montespan, noting the care she gave to his favourite, Louis Auguste, Duke of Maine. [103] The king was, at first, put off by her strict religious practice, but he warmed to her through her care for his children. [103]\n\nWhen he legitimized his children by Madame de Montespan on 20 December 1673, Françoise d'Aubigné became the royal governess at Saint-Germain. [103] As governess, she was one of very few people permitted to speak to him as an equal, without limits. [103] It is believed that they were married secretly at Versailles on or around 10 October 1683 [104] or January 1684. [105] This marriage, though never announced or publicly discussed, was an open secret and lasted until his death. [106]\n\n## Piety and religion\n\nLouis was a pious and devout king who saw himself as the head and protector of the Catholic Church in France. He made his devotions daily regardless of where he was, following the liturgical calendar regularly. [107] Under the influence of his very religious second wife, he became much stronger in the practice of his Catholic faith. [108] This included banning opera and comedy performances during Lent. [108]\n\nTowards the middle and the end of his reign, the centre for the King's religious observances was usually the Chapelle Royale at Versailles. Ostentation was a distinguishing feature of daily Mass, annual celebrations, such as those of Holy Week, and special ceremonies. [109] Louis established the Paris Foreign Missions Society, but his informal alliance with the Ottoman Empire was criticised for undermining Christendom. [110]\n\nLouis XIV encouraged Catholic missions through the creation of the Paris Foreign Missions Society\n\n\n\n## Patronage of the arts", - "page_start": 15, - "page_end": 15, - "source_file": "wikipedia5.pdf" - }, - { - "text": "The French were nevertheless forced to retreat from most of the Dutch Republic, which deeply shocked Louis; he retreated to St Germain for a time, where no one, except a few intimates, was allowed to disturb him. [47] French military advantages allowed them however to hold their ground in Alsace and the Spanish Netherlands while retaking Franche-Comté. By 1678, mutual exhaustion led to the Treaty of Nijmegen, which was generally settled in France's favour and allowed Louis to intervene in the Scanian War. Despite the military defeat, his ally Sweden regained much of what it had lost under the 1679 treaties of SaintGermain-en-Laye, Fontainebleau and Lund imposed on Denmark-Norway and Brandenburg. [48] Yet Louis's two primary goals, the destruction of the Dutch Republic and the conquest of the Spanish Netherlands, had failed. [49]\n\nLouis was at the height of his power, but at the cost of uniting his opponents; this increased as he continued his expansion. In 1679, he dismissed his foreign minister Simon Arnauld, marquis de Pomponne, because he was seen as having compromised too much with the allies. Louis maintained the strength of his army, but in his next series of territorial claims avoided using military force alone. Rather, he combined it with legal pretexts in his efforts to augment the boundaries of his kingdom. Contemporary treaties were intentionally phrased ambiguously. Louis established the Chambers of Reunion to determine the full extent of his rights and obligations under those treaties.\n\nCities and territories, such as Luxembourg and Casale, were prized for their strategic positions on the frontier and access to important waterways. Louis also sought Strasbourg, an important strategic crossing on the left bank of the Rhine and theretofore a Free Imperial City of the Holy Roman Empire, annexing it and other territories in 1681. Although a part of Alsace, Strasbourg was not part of Habsburg-ruled Alsace and was thus not ceded to France in the Peace of Westphalia.\n\nFollowing these annexations, Spain declared war, precipitating the War of the Reunions. However, the Spanish were rapidly defeated because the Emperor (distracted by the Great Turkish War) abandoned them, and the Dutch only supported them minimally. By the Truce of Ratisbon, in 1684, Spain was forced to acquiesce in the French occupation of most of the conquered territories, for 20 years. [50]\n\nLouis's policy of the Réunions may have raised France to its greatest size and power during his reign, but it alienated much of Europe. This poor public opinion was compounded by French actions off the Barbary Coast and at Genoa. First, Louis had\n\n## Silver coin of Louis XIV, dated 1674\n\nObverse. The Latin inscription is LVDOVICVS XIIII D[EI] GRA[TIA] (\"Louis XIV, by the grace of God\").\n\n\n\nReverse. The Latin\n\ninscription is\n\nFRAN[CIÆ] ET\n\nNAVARRÆ REX 1674\n\n(\"King of France and of Navarre, 1674\").\n\nAlgiers and Tripoli, two Barbary pirate strongholds, bombarded to obtain a favourable treaty and the liberation of Christian slaves. Next, in 1684, a punitive mission was launched against Genoa in retaliation for its support for Spain in previous wars. Although the Genoese submitted, and the Doge led an official mission of apology to Versailles, France gained a reputation for brutality and arrogance. European apprehension at growing French might and the realisation of the extent of the dragonnades' effect (discussed below) led many states to abandon their alliances with France. [51] Accordingly, by the late 1680s, France became increasingly isolated in Europe.\n\n## Non-European relations and the colonies", - "page_start": 7, - "page_end": 7, - "source_file": "wikipedia5.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Does nerve transection or crushing affect small afferents within the dorsal root ganglion in the same way?", - "target_page": 5, - "target_passage": "Both SNItrans (Fig. 2C) and SNIcrush (Fig. 2D) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post–nerve injury.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "observed 7809 6 153 neurons per DRG; this was not significantly different to the number of neurons in the contralateral DRG (7917 6 349), whereas cell number approximately halved by 8 weeks postinjury to 3963 6 410 neurons per DRG ( Fig. 1C ). Separating analysis into intact vs axotomized afferents revealed that only axotomized afferents were lost, with no difference observed in numbers of intact afferents ( Fig. 1D ). Between 1 and 8 weeks after injury, we observed a 61.0 6 7.0% decrease in the number of GFP 1 neurons. This loss of injured afferents resulted in a loss of neuron-containing (ie, excluding white matter regions) DRG volume ( Fig. 1E ), but not neuron density ( Fig. 1F ). Cell loss predominantly occurred between 1 and 2 weeks postinjury and stabilized after this timepoint. Population distributions of the cross-sectional area of nucleated, tdTomato-expressing cell profiles were not significantly different at 1 vs 8 weeks postSNItrans, in contrast to GFP-expressing/injured afferents, in which a loss of a population of small afferents at 8 weeks postinjury was observed ( Fig. 1G ).\n\nSNItrans resulted in a mixed population of axotomized and intact afferents within the L4 DRG. Therefore, we developed an approach to restrict our analysis to axotomized afferents, without relying on transgenic labelling, and used this as a complementary approach to confirm our findings. We injected the neuronal tracer FB into the glabrous, tibial innervation territory of both hindpaws 1 week before common peroneal and tibial transection (SNItrans) or crush (SNIcrush) surgeries ( Figs. 2A and B ). FastBlue-uptake was complete across neurons of all sizes by 1 week (Fig. S3, http://links.lww.com/PAIN/ C84), so this approach allowed us to profile a sample of the axotomized afferents. Both SNItrans ( Fig. 2C ) and SNIcrush ( Fig. 2D ) injuries resulted in a rightward shift in population distributions of the cross-sectional area of nucleated, FB-labelled DRG neurons when compared with contralateral DRG, consistent with a loss of small afferents post-nerve injury.\n\nAs a third complementary approach, we applied semiautomated volumetric analyses of nuclei size following tissue clearing. In this study, whole DRGs were cleared 4 weeks after SNItrans for nuclei counting in 'complete' tissue ( Figs. 2E-H ). Nuclei were labelled by TDP-43, in line with the study by West et al., 67 and were quantified using Imaris software ( Fig. 2F , Video 1). We observed a slight but significant rightward shift in nuclear spot volume population distribution 4 weeks after SNItrans ( Fig. 2G ). In addition, there was a significant reduction in the number of small but not medium or large nuclear spots, in support of a loss of small-diameter neuron populations ( Fig. 2H ).\n\nTogether, our data derived from several different experimental approaches show that a population of small-diameter afferents are lost following peripheral nerve injury.\n\n## 3.2. Spared nerve crush or transection results in death of Mrgprd-expressing neurons\n\nTo date, determining cell loss among specific populations of afferent neurons has proved challenging due to the downregulation of subpopulation-specific marker genes following axonal transection. 37,44 To overcome this issue, we took advantage of transgenic strategies to label populations in a manner that persisted after injury. Owing to the bias for the loss of small neurons and the known loss of IB4-binding central terminals postinjury, 36 we initially focused on nonpeptidergic nociceptive neurons. We used MrgD ChR2-YFP mice to identify neurons belonging to the largest of the 3 classes of nonpeptidergic nociceptors, NP1. 55,59 To determine whether these neurons are lost following nerve injury, we used a stereological method to quantify L4 DRG MrgD-YFP 1 (yellow fluorescent", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the Avil FlpO ;Atf3 CreERT2 ;RC:: FLTGmouseline and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. Scale bars 5 100 m m. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG 1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F 4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; Timepoint 3 Color interaction F 4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): † P , 0.05 vs contra, ‡ P , 0.05 vs 1-week. (E) Volume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F 4,10 5 21.25, P , 0.001, n 5 3. (F) Neuronal density within the DRG following SNItrans. One-way ANOVA; F 4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by cross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov-Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , 0.001; n 5 310 to 427 neurons from 3 mice. * P , 0.05, ** P , 0.01, *** P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green fluorescent protein.\n\n\n\nprotein) neurons 28 days after sham surgery or SNItrans ( Figs. 3A and B ). SNItrans, but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP 1 neurons in L4 DRG ( Fig. 3C ).\n\nYellow fluorescent protein expression in MrgD ChR2-YFP mice is driven by the endogenous Mrgprd promotor, which has been reported to be upregulated or downregulated following axonal damage. 44,58 Such changes in promoter activity could affect the proportion of nonpeptidergic nociceptors identified by YFP expression. Therefore, to verify these findings, we used MrgD CreERT2 ;Ai32 mice and tamoxifen administration before injury, to permanently label Mrgprdexpressing afferents with ChR2-YFP ( Figs. 3D-F ). We then tested whether the proportion of cutaneous tibial afferents that were YFP 1 was altered following nerve injury. Following hindpaw FB injection, ; 15% of contralateral, FB-labelled DRG neurons expressed YFP. This was reduced to 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9%\n\n28 days after SNItrans ( Fig. 3G ). Uptake by uninjured YFP 1 neurons was equivalent 7 and 35 days after FB injection, demonstrating that this reduction was not because 7 days were insufficient for YFP 1 neurons to fully uptake FB (Fig. S3C, http:// links.lww.com/PAIN/C84). No significant difference in the percentage of FB-labelled YFP 1 DRG neurons between ipsilateral and contralateral DRG was observed at 7 days following SNItrans (Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrating that loss occurred after this timepoint. Analysis of the crosssectional soma area of FB-labelled, YFP 1 neurons in uninjured DRGrevealed an area of 361 6 138 m m 2 (mean 6 SD) (Fig. S4C, http://links.lww.com/PAIN/C84), which is a distribution profile matching those neurons presumed lost. Collectively, these data show that peripheral nerve injury results in a substantial loss of nonpeptidergic, Mrgprd -expressing neurons, with SNItrans (ie, an unrepaired axonal transection) resulting in an almost complete loss of this population.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3m mintervals through the entirety of a 30m m-thick tissue section. Scale bar 5 100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov-Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov-Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; ˇ S'ıd 'ak multiple comparisons tests: ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n\n\n## 3.3. Spared nerve injury induces a loss of Trpm8 1 and calcitonin gene-related peptide 1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 1 (coldsensitive), calcitonin gene-related peptide 1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8 FlpO ; RC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2 ; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively ( Figs. 4A-D ). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "- [47] Schmitz C, Hof PR. Design-based stereology in neuroscience. Neuroscience 2005;130:813-31.\n - [48] Schulte A, Degenbeck J, Aue A, Schindeh utte M, Schlott F, Schneider M, Monoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL. Humandorsalroot ganglia after plexus injury: either preservation or loss of the multicellular unit. bioRxiv 2023.02.06.526934.\n - [49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue A. Unbiased analysis of the dorsal root ganglion after peripheral nerve injury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN 2023;164:728-40.\n - [50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H okfelt T. Effect of peripheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\n - mouse: marked changes both in cell numbers and neuropeptide expression. Neuroscience 2001;105:249-63.\n - [51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional characterization of pulmonary neuroendocrine cells in lung development, injury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531-6.\n - [52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of GDNF in the uninjured DRG exerts analgesic effects on neuropathic pain following segmental spinal nerve ligation in mice. J Pain 2011;12: 1130-1139.\n - [53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root ganglion cells after transection of the rat sciatic nerve. J Comp Neurol 2000;422:172-80.\n - [54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons: diagnosis and prevention. J Hand Surg Eur Vol 2011;36:730-4.\n - [55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, HjerlingLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S, Ernfors P. Unbiased classification of sensory neuron types by large-scale single-cell RNA sequencing. Nat Neurosci 2015;18:145-53.\n - [56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on number and volume of dorsal root ganglion cell bodies. J Comp Neurol 1997;388:307-12.\n - [57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from a neuroma. Nature 1974;248:740-43.\n - [58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang Y, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation of MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33: 1360-73.\n - [59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons innervate most known classes of substantia gelatinosa neurons. J Neurosci 2009;29:13202-9.\n - [60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial cell line-derived neurotrophic factor normalizes neurochemical changes in injured dorsal root ganglion neurons and prevents the expression of experimental neuropathic pain. Neuroscience 2003; 121:815-24.\n - [61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan fluorescent protein (CFP) expressing cells in the retina of Thy1-CFP transgenic mice before and after optic nerve injury. Neurosci Lett 2010; 468:110-4.\n - [62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM, Adelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR. MrgprdCre lineage neurons mediate optogenetic allodynia through an emergent polysynaptic circuit. PAIN 2021;162:2120-31.\n - [63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB, Bennett DL. Using an engineered glutamate-gated chloride channel to silence sensory neurons and treat neuropathic pain at the source. Brain 2017;140:2570-85.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "## 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly\n\ndeveloped transgenic recombinase driver lines, we have shown that loss is biased across molecularly defined subpopulations. Nonpeptidergic nociceptive neurons are particularly susceptible to loss, with almost all Mrgprd 1 axotomized afferents lost following an unrepaired transection injury (SNItrans) and roughly half lost following a model which contrastingly allows for nerve regenerations (SNIcrush). Finally, we have observed that the vulnerability of Mrgprd 1 neurons extends to the in vitro setting and provide data to support the hypothesis that loss is driven by a lack of neurotrophic support following injury.\n\n## 4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic injury has been addressed by several groups over the last few decades. Despite contrasting findings on the extent, timing, and form that loss takes, most studies have observed frank loss of DRG neurons. 6,38,46,53 However, more recent studies using recombinase driver lines and novel machine-learning approaches have cast doubt on this consensus. 44,49 Our data strongly support the loss hypothesis and suggest that approximately 60% of axotomized afferents die within 2 weeks of SNI. The discrepancy between our findings and other recent studies may be partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al. 49 developed a novel machine-learning approach and found no reduction in neuron density across serial sections of rat DRG following SNI, and they inferred from this that frank loss did not occur. Our results are congruous, in that we also observed no reduction in neuron density. However, we found a substantial loss in the total neuron-containing volume of injured DRG, which underlies our contrasting conclusion of frank loss. Of note, morphological volumetric analysis and MRI have also previously demonstrated volume loss in both rodent and human DRG following nerve injury. 35,65,66 These findings occur despite a major increase of nonneuronal cells in the injured DRG 30 and support the notion that the total DRG neuron number is decreased.\n\n## 4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined subpopulations was challenging before the advent of recombinase driver lines, a consensus emerged that small-diameter neurons are more vulnerable to nerve injury-induced loss. 50,53 Our data support this consensus and extend it to reveal that while there is a generalized partial loss of C-fiber populations including CGRP- and Trpm8-expressing neurons, Mrgprd-expressing neurons are particularly sensitive to loss. This selective vulnerability has been hinted at previously by the stark reduction in the number of DRG neurons and their central terminals that bind IB4 and express canonical markers such as the P2X3 receptor following nerve injury. 5,8,29,36 Type 1a glomeruli are also reduced in lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding. 2 However, it was not clear whether these data represented phenotypic changes in nonpeptidergic nociceptors or frank loss of neurons. We describe neuron loss that is delayed (occurring . 7 days postinjury) with respect to histochemical and structural changes (occurring 15 days postinjury 2,29 ), suggesting that these changes precede and are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous with recent subpopulation bulk RNA-seq data, which found that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "\n\n\n\n## Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Cooper a , Allison M. Barry b , Paschalina Chrysostomidou a , Romane Lolignier a , Jinyi Wang a , Magdalena Redondo Canales a , Heather F. Titterton a , David L. Bennett b , Greg A. Weir a, *\n\n## Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury-induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n## 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, 57 which is a key pathological driver of neuropathic pain. 20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell 37,44 and subpopulation-specific sequencing studies. 3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury. 3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 3. Spared nerve crush or transection results in death of nonpeptidergic neurons. (A) Schematic of experimental approach for (B and C). (B) MrgD ChR2-YFP L4 DRGs4weeks after SNI, contralateral or ipsilateral to injury. Images are projections of optical sections at 3m mintervals through the entirety of 30m m-thick tissue sections. Scale bars 5 100 m m. (C) Quantification of total number of MrgD-YFP 1 cells per L4 DRG 4 weeks after SNI revealed a significant loss in ipsilateral DRG. Two-way RM ANOVA with ˇ S'ıd 'ak multiple comparisons tests; Side x Treatment interaction: F1,5 5 9.23, P 5 0.029; n 5 3 mice. (D) The experimental approach used to generate data presented in (E-G). (E and F) MrgD-YFP expression and FB labelling in the L4 DRG, 14 days after SNI or crush surgery or contralateral to injury. White boxes represent regions enlarged in (F). Scale bars 5 100 m m(E) or 20 m m(F). (G) The proportion of FB-labelled DRG neurons decreased after spared nerve crush injury, and co-labelling is almost completely absent after SNI. Two-way RM ANOVA with ˇ S'ıd 'ak multiple comparisons tests; side 3 injury interaction: F 1,4 5 7.80, P 5 0.049; n 5 3 mice. Posttests: * P , 0.05, ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; SNI, spared nerve injury; FB, FastBlue; RM, repeated measures.\n\n", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed2.pdf" - }, - { - "text": "- [64] Welin D, Novikova LN, Wiberg M, Kellerth JO, Novikov LN. Survival and regeneration of cutaneous and muscular afferent neurons after peripheral nerve injury in adult rats. Exp Brain Res 2008;186:315-23.\n - [65] West CA, Davies KA, Hart AM, Wiberg M, Williams SR, Terenghi G. Volumetric magnetic resonance imaging of dorsal root ganglia for the objective quantitative assessment of neuron death after peripheral nerve injury. Exp Neurol 2007;203:22-33.\n - [66] West CA, Ljungberg C, Wiberg M, Hart A. Sensory neuron death after upper limb nerve injury and protective effect of repair: clinical evaluation using volumetric magnetic resonance imaging of dorsal root ganglia. Neurosurgery 2013;73:632-40.\n - [67] West SJ, Bonboire D, Bennett DL. StereoMate: 3D stereological automated analysis of biological structures. bioRxiv 2020:648337.\n - [68] Wiberg R, Novikova LN, Kingham PJ. Evaluation of apoptotic pathways in dorsal root ganglion neurons following peripheral nerve injury. Neuroreport 2018;29:779-85.\n - [69] Yu X, Liu H, Hamel KA, Morvan MG, Yu S, Leff J, Guan Z, Braz JM, Basbaum AI. Dorsal root ganglion macrophages contribute to both the initiation and persistence of neuropathic pain. Nat Commun 2020;11:264.\n - [70] Zheng J, Lu Y, Perl ER. Inhibitory neurones of the spinal substantia gelatinosa mediate interaction of signals from primary afferents. J Physiol 2010;588:2065-75.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A-C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations wasnot biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 1 and CGRP 1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84). 3 Wefound that early after injury (3 days post-SNItrans), nonpeptidergic (MrgD CreERT2 -expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10a CreERT2 ), peptidergic nociceptors (CalcaCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and A d -LTMRs (A d /A b -LTMR, Ntrk2 CreERT2 ;Advillin FlpO ), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n## 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection. 5 We sought to use the DRG neurons from MrgD CreERT2 ;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury ( Figs. 5A-E ). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF ( Fig. 5F ). However, in the absence of GFs, YFP 1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP 1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media ( Figs. 5D-F ). These results contrasted with experiments using neurons derived from Calca CreERT2 ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP 1 after 28 days in culture, regardless of exogenous GF addition ( Figs. 5G-L ). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n## 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "SNI-related gene expression signatures were less evident in Mrgprd-expressing and C-LTMR neurons at later timepoints, compared with other populations in injured DRG. 3 This could be explained by a loss of axotomized neurons of these classes and therefore sampling of only uninjured neurons at this timepoint. 24,43,64 In terms of the transcriptional response to injury, nonpeptidergic nociceptors show enrichment of individual proapoptotic factors early after injury, 23,68 and we extend these results in this study, by describing a subpopulation-specific enrichment of GO terms associated with apoptosis that is evident as early as 3 days after injury. Such data and single-cell transcriptomic profiling of all DRG neurons following injury 37,44 may offer the opportunity to elucidate the cell death pathways engaged and upstream effectors that enrich this process to nonpeptidergic nociceptive neurons.\n\n## 4.3. Implications for pain pathogenesis\n\nNeuronal loss has been proposed as a key contributor to poor functional recovery following nerve injury, 54 and biased survival of different afferent types might be expected to contribute to modality-specific sensory deficits. Beyond loss of function, does DRGneuronlosscontribute to chronic pain, in either an adaptive or maladaptive manner? Intrathecal delivery of GDNF is neuroprotective and reverses the reduction in the number of IB4-binding DRG neurons and central terminals seen following transection. 5 Treatment is concurrently analgesic and abrogates pain-related behaviors. 7,60 However, the pleiotropic nature of GDNF makes it impossible to directly attribute the analgesic effects to the reversal of neuron loss. Indeed, it is possible that GDNF exerts its effect by actions on intact nonpeptidergic nociceptive afferents, 52 activation of which is known to drive aversive behaviors in the neuropathic state. 62 These data leave the contribution of nonpeptidergic nociceptor loss to behavior in the GDNF treatment paradigm ambiguous. Other pharmacological approaches have been found effective at reversing a neuronal loss in rodent models, but the impact on pain behavior was not studied. 21,22\n\nRodents develop marked mechanical and thermal hypersensitivity rapidly following nerve injury and before timepoints at which neuron loss is observed. 10 This lack of a temporal correlation may suggest a limited contribution to evoked hypersensitivities. The temporal profile of ongoing tonic pain (eg, pain aversiveness as measured by condition place preference assays 26 ) is less defined and so is its correlation to the timing of neuron loss.\n\nThere are many anatomical sites within the somatosensory nervous system where differential loss of sensory neuron populations could impact neurobiology. For example, loss of cutaneous afferents may afford more opportunity for plasticity in reinnervation patterns, such as collateral sprouting of uninjured or surviving afferents, and the types of nerve endings made by different molecular subpopulations. 17,27 It also seems likely that the death of many neurons within a DRG could contribute to the expansion and activation of immune cell types, which are known to play a major role in neuropathic pain. 30,69 Finally, under normal conditions, peripheral sensory input is integrated into the dorsal horn of the spinal cord by complex interneuron circuitry. Many spinal circuits are engaged by convergent input from different afferent types. 9,41,70 Therefore, selective loss of input from discrete afferent types could undoubtedly impact the normal processing of remaining afferent signals. 34 Experimentally abrogating neuronal loss may be a fruitful approach to assess the contribution to nervous system plasticity (adaptive or maladaptive) following injury. In this regard, our in vitro readout would be a useful experimental", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What are the EU's key nature conservation commitments for 2030?", - "target_page": 6, - "target_passage": "1. Legally protect a minimum of 30% of the EU’s land area and 30% of the EU’s sea area and integrate ecological corridors, as part of a true Trans-European Nature Network. 2. Strictly protect at least a third of the EU’s protected areas, including all remaining EU primary and old-growth forests. 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries practices and actions to protect and restore the world's forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the One Health approach 83 , which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the NaturAfrica initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between biodiversity protection and human rights , gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the Global Biodiversity Coalition of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n## 5. CONCLUSION\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes - changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15 th Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "build on the headline ambition to ensure that by 2050 all of the world's ecosystems are restored, resilient, and adequately protected. The world should commit to the net-gain principle to give nature back more than it takes. As part of this, the world should commit to no human-induced extinction of species, at minimum where avoidable.\n\nThis strategy sets out how Europe can help make this happen. As a milestone, it aims to ensure that Europe's biodiversity will be on the path to recovery by 2030 for the benefit of people, the planet, the climate and our economy, in line with the 2030 Agenda for Sustainable Development and with the objectives of the Paris Agreement on Climate Change. It addresses the five main drivers of biodiversity loss, sets out an enhanced governance framework to fill remaining gaps, ensures the full implementation of EU legislation, and pulls together all existing efforts. This strategy is enterprising and incentivising in spirit and action. It reflects the fact that protecting and restoring nature will need more than regulation alone . It will require action by citizens, businesses, social partners and the research and knowledge community, as well as strong partnerships between local, regional, national and European level. This strategy is in line with the ambitions and commitment set out in President von der Leyen's Political Guidelines and in the European Green Deal.\n\nAdopted in the heart of the COVID-19 pandemic, this strategy will also be a central element of the EU's recovery plan. It will be crucial to prevent and build resilience to future zoonosis outbreaks and to provide immediate business and investment opportunities for restoring the EU's economy.\n\nAll new initiatives and proposals will be underpinned by the Commission's better regulation tools. Based on public consultations and on the identification of the environmental, social and economic impacts, impact assessments will contribute to ensuring that all initiatives achieve their objectives in the most effective and least burdensome way and live up to a green oath to 'do no harm'.\n\n## 2. PROTECTING AND RESTORING NATURE IN THE EUROPEAN UNION\n\nThe EU has legal frameworks, strategies and action plans to protect nature and restore habitats and species. But protection has been incomplete, restoration has been smallscale, and the implementation and enforcement of legislation has been insufficient 17 .\n\nTo put biodiversity on the path to recovery by 2030, we need to step up the protection and restoration of nature. This should be done by improving and widening our network of protected areas and by developing an ambitious EU Nature Restoration Plan .\n\n## 2.1. A coherent network of protected areas\n\nBiodiversity fares better in protected areas. However, the current network of legally protected areas, including those under strict protection, is not sufficiently large to safeguard biodiversity. Evidence shows that the targets defined under the Convention on Biological Diversity are insufficient to adequately protect and restore nature 18 . Global", - "page_start": 3, - "page_end": 3, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## 2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a new EU Nature Restoration Plan , Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n## 2.2.1. Strengthening the EU legal framework for nature restoration\n\nNature restoration is already partially required from the Member States in existing EU legislation 28 . However, significant implementation and regulatory gaps hinder progress . For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives 29 . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU's resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n -  Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding EU nature restoration targets in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n -  In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure no deterioration in conservation trends and status of all protected habitats and species by 2030 30 . In addition, Member States will have to ensure that at least 30% of species and habitats not", - "page_start": 6, - "page_end": 6, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. Every Member State will have to do its fair share of the effort based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical marine and terrestrial ecosystems in the EU's outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up ecological corridors to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure 27 and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the Overseas Countries and Territories also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n## Nature protection: key commitments by 2030\n\n- 1. Legally protect a minimum of 30% of the EU's land area and 30% of the EU's sea area and integrate ecological corridors, as part of a true Trans-European Nature Network.\n- 2. Strictly protect at least a third of the EU's protected areas, including all remaining EU primary and old-growth forests.\n- 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "encouraging cooperation in education for environmental sustainability in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n## 4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA\n\nBiodiversity is a priority of the EU's external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed throughout bilateral and multilateral engagements, through the EU's 'Green Deal diplomacy', and forthcoming green alliances 76 . The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world's biodiversity.\n\n## 4.1. Raising the level of ambition and commitment worldwide\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts - working with like-minded partners in a high-ambition coalition on biodiversity - to agree an ambitious new global framework for post-2020 at the upcoming 15 th Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n -  Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of 'living in harmony with nature'. The ambition should be that, by 2050, all of the world's ecosystems are restored, resilient, and adequately protected. The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n -  Ambitious global 2030 targets in line with EU commitments in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n -  A much stronger implementation, monitoring and review process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a regular review cycle to look at progress towards the", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "efforts are needed and the EU itself needs to do more and better for nature and build a truly coherent Trans-European Nature Network .\n\nEnlarging protected areas is also an economic imperative. Studies on marine systems estimate that every euro invested in marine protected areas would generate a return of at least €3 19 . Similarly, the Nature Fitness Check 20 showed that the benefits of Natura 2000 are valued at between €200-300 billion per year. The investment needs of the network are expected to support as many as 500,000 additional jobs 21 .\n\nFor the good of our environment and our economy, and to support the EU's recovery from the COVID-19 crisis, we need to protect more nature. In this spirit, at least 30% of the land and 30% of the sea should be protected in the EU . This is a minimum of an extra 4% for land and 19% for sea areas as compared to today 22 . The target is fully in line with what is being proposed 23 as part of the post-2020 global biodiversity framework (see Section 4).\n\nWithin this, there should be specific focus on areas of very high biodiversity value or potential. These are the most vulnerable to climate change and should be granted special care in the form of strict protection 24 . Today, only 3% of land and less than 1% of marine areas are strictly protected in the EU. We need to do better to protect these areas. In this spirit, at least one third of protected areas - representing 10% of EU land and 10% of EU sea - should be strictly protected . This is also in line with the proposed global ambition.\n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and strictly protect all the EU's remaining primary and old-growth forests 25 . It will also be important to advocate for the same globally and ensure that EU actions do not result in deforestation in other regions of the world. Primary and old-growth forests are the richest forest ecosystems that remove carbon from the atmosphere, while storing significant carbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, grasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, taking into account projected shifts in vegetation zones.\n\nMember States will be responsible for designating the additional protected and strictly protected areas 26 . Designations should either help to complete the Natura 2000 network or be under national protection schemes. All protected areas will need to have clearly defined conservation objectives and measures. The Commission, working with Member", - "page_start": 4, - "page_end": 4, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "currently in favourable status are in that category or show a strong positive trend. The Commission and the European Environmental Agency will provide guidance to Member States in 2020 on how to select and prioritise species and habitats.\n\n## 2.2.2. Bringing nature back to agricultural land\n\nAs guardians of our land, farmers play a vital role in preserving biodiversity. They are among the first to feel the consequences when biodiversity is lost but also among the first to reap the benefits when it is restored. Biodiversity enables them to provide us with safe, sustainable, nutritious and affordable food and provides them with the income they need to thrive and develop. European farmers are an essential part of the EU's future and must continue to be the social and economic hub of many communities across our Union.\n\nAt the same time, certain agricultural practices are a key driver of biodiversity decline. This is why it is important to work with farmers to support and incentivise the transition to fully sustainable practices . Improving the condition and diversity of agroecosystems will increase the sector's resilience to climate change, environmental risks and socioeconomic shocks, while creating new jobs, for example in organic farming, rural tourism or recreation.\n\nTo support the long-term sustainability of both nature and farming, this strategy will work in tandem with the new Farm to Fork Strategy and the new Common Agricultural Policy (CAP) , including by promoting eco-schemes and result-based payment schemes. In implementing the Biodiversity and the Farm to Fork Strategies, the Commission will closely monitor progress and improvements in terms of food security and farmers income. The Commission will ensure that the CAP Strategic plans are assessed against robust climate and environmental criteria, and that Member States set explicit national values for the relevant targets set in this strategy, as well as in the Farm to Fork Strategy. These plans should lead to sustainable practices such as precision agriculture, organic farming, agro-ecology, agro-forestry, low-intensive permanent grassland, and stricter animal welfare standards.\n\nFarmland birds and insects, particularly pollinators, are key indicators of the health of agroecosystems and are vital for agricultural production and food security. Their alarming decline must be reversed. As set out in the Farm to Fork Strategy, the Commission will take action to reduce by 50% the overall use of - and risk from chemical pesticides by 2030 and reduce by 50% the use of more hazardous pesticides by 2030. This must be supported by the full implementation of the EU Pollinators initiative 31 . By the end of 2020, the Commission will review the initiative and propose additional measures if necessary. To provide space for wild animals, plants, pollinators and natural pest regulators, there is an urgent need to bring back at least 10% of agricultural area under high-diversity landscape features . These include, inter alia , buffer strips, rotational or non-rotational fallow land, hedges, non-productive trees, terrace walls, and ponds. These help enhance carbon sequestration, prevent soil erosion and depletion, filter air and water, and support climate adaptation. In addition, more biodiversity often helps lead to more agricultural production. Member States will need to translate the 10% EU target to a lower geographical scale to ensure connectivity among habitats, especially through the CAP instruments and CAP Strategic Plans, in line with the Farm to Fork Strategy, and through the implementation of the Habitats Directive. The", - "page_start": 7, - "page_end": 7, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "- 9. There is a 50% reduction in the number of Red List species threatened by invasive alien species.\n - 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%.\n - 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan.\n - 12. No chemical pesticides are used in sensitive areas such as EU urban green areas.\n - 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status.\n - 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n## 3. ENABLING TRANSFORMATIVE CHANGE\n\n## 3.1. A new governance framework\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework . This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a clear set of agreed indicators and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all relevant actors in meeting the EU's biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n## 3.2. Stepping up implementation and enforcement of EU environmental legislation\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind 60 . This is having dramatic consequences on biodiversity and comes with a substantial economic cost 61 . The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy , for which political support and financial and human resources will need to be prioritised.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## 3.3.2. Investments, pricing and taxation\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its biodiversity proofing framework 69 , inter alia by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, at least €20 billion a year 70 should be unlocked for spending on nature . This will require mobilising private and public funding at national and EU level 71 , including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be established to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU sustainable finance taxonomy will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation 72 to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a Renewed Sustainable Finance Strategy later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies' profitability and long-term prospects 73 .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The ' user pays' and 'polluter pays' principles have to be applied to prevent and correct environmental degradation.\n\nPublic authorities' purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further", - "page_start": 17, - "page_end": 17, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "\n\nBrussels, 20.5.2020 COM(2020) 380 final\n\n## COMMUNICATION FROM THE COMMISSION TO THE EUROPEAN PARLIAMENT, THE COUNCIL, THE EUROPEAN ECONOMIC AND SOCIAL COMMITTEE AND THE COMMITTEE OF THE REGIONS\n\nEU Biodiversity Strategy for 2030\n\nBringing nature back into our lives", - "page_start": 0, - "page_end": 0, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "Was there a biodiversity governance framework in place in the EU before the European Commission's proposal?", - "target_page": 16, - "target_passage": "In the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "- 9. There is a 50% reduction in the number of Red List species threatened by invasive alien species.\n - 10. The losses of nutrients from fertilisers are reduced by 50%, resulting in the reduction ofthe use of fertilisers by at least 20%.\n - 11. Cities with at least 20,000 inhabitants have an ambitious Urban Greening Plan.\n - 12. No chemical pesticides are used in sensitive areas such as EU urban green areas.\n - 13. The negative impacts on sensitive species and habitats, including on the seabed through fishing and extraction activities, are substantially reduced to achieve good environmental status.\n - 14. The by-catch of species is eliminated or reduced to a level that allows species recovery and conservation.\n\n## 3. ENABLING TRANSFORMATIVE CHANGE\n\n## 3.1. A new governance framework\n\nIn the EU, there is currently no comprehensive governance framework to steer the implementation of biodiversity commitments agreed at national, European or international level. To address the gap, the Commission will put in place a new European biodiversity governance framework . This will help map obligations and commitments and set out a roadmap to guide their implementation.\n\nAs part of this new framework, the Commission will put in place a monitoring and review mechanism. This will include a clear set of agreed indicators and will enable regular progress assessment and set out corrective action if necessary. This mechanism will feed the Environmental Implementation Review and contribute to the European Semester.\n\nThe new governance framework will ensure co-responsibility and co-ownership by all relevant actors in meeting the EU's biodiversity commitments. It will support administrative capacity building, transparency, stakeholder dialogue, and participatory governance at different levels.\n\nThe Commission will assess the progress and suitability of this approach in 2023, and consider whether a legally binding approach to governance is needed.\n\n## 3.2. Stepping up implementation and enforcement of EU environmental legislation\n\nAll environmental legislation relies on proper implementation and enforcement. Over the last 30 years, the EU has put in place a solid legislative framework to protect and restore its natural capital. However, recent evaluations show that although legislation is fit for purpose, implementation on the ground is lagging behind 60 . This is having dramatic consequences on biodiversity and comes with a substantial economic cost 61 . The full implementation and enforcement of EU environmental legislation is therefore at the heart of this strategy , for which political support and financial and human resources will need to be prioritised.", - "page_start": 15, - "page_end": 15, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## 3.3.2. Investments, pricing and taxation\n\nTackling biodiversity loss and restoring ecosystems will require significant public and private investments at national and European level. This will mean making the most of all relevant EU programmes and financing instruments. The Commission will strengthen its biodiversity proofing framework 69 , inter alia by using in an appropriate way the criteria established under the EU taxonomy, to ensure that EU funding supports biodiversity-friendly investments.\n\nTo meet the needs of this strategy, including investment priorities for Natura 2000 and green infrastructure, at least €20 billion a year 70 should be unlocked for spending on nature . This will require mobilising private and public funding at national and EU level 71 , including through a range of different programmes in the next long-term EU budget. Moreover, as nature restoration will make a major contribution to climate objectives, a significant proportion of the 25% of the EU budget dedicated to climate action will be invested on biodiversity and nature-based solutions.\n\nUnder Invest EU, a dedicated natural-capital and circular-economy initiative will be established to mobilise at least €10 billion over the next 10 years, based on public/private blended finance. Nature and biodiversity is also a priority for the European Green Deal Investment Plan. To help unlock the investment needed, the EU must provide long-term certainty for investors and help embed sustainability in the financial system. The EU sustainable finance taxonomy will help guide investment towards a green recovery and the deployment of nature-based solutions. In 2021, the Commission will adopt a delegated act under the Taxonomy Regulation 72 to establish a common classification of economic activities that substantially contribute to protecting and restoring biodiversity and ecosystems. This will be further supported by a Renewed Sustainable Finance Strategy later this year which will help ensure that the financial system contributes to mitigating existing and future risks to biodiversity and better reflect how biodiversity loss affects companies' profitability and long-term prospects 73 .\n\nThe Commission will further promote tax systems and pricing that reflect environmental costs, including biodiversity loss. This should encourage changes in national fiscal systems to shift the tax burden from labour to pollution, under-priced resources, and other environmental externalities. The ' user pays' and 'polluter pays' principles have to be applied to prevent and correct environmental degradation.\n\nPublic authorities' purchasing power represents 14% of EU GDP and can serve as a powerful driver of demand for the products and services of companies that invest in or contribute to nature-based solutions. To tap into this potential, when proposing further", - "page_start": 17, - "page_end": 17, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "encouraging cooperation in education for environmental sustainability in 2021. This will provide guidance for schools and teachers on how to cooperate and exchange experiences across Member States on biodiversity teaching. The Commission will also provide support materials and facilitate the exchange of good practices in EU networks of teacher-training programmes.\n\n## 4. THE EUROPEAN UNION FOR AN AMBITIOUS GLOBAL BIODIVERSITY AGENDA\n\nBiodiversity is a priority of the EU's external action and an integral part of efforts to meet the United Nations Sustainable Development Goals. It will be mainstreamed throughout bilateral and multilateral engagements, through the EU's 'Green Deal diplomacy', and forthcoming green alliances 76 . The Commission will work closely with the European Parliament and Member States to ensure a high level of EU ambition and mobilise all efforts for the good of the world's biodiversity.\n\n## 4.1. Raising the level of ambition and commitment worldwide\n\nProtecting biodiversity is a global challenge and the next decade will be decisive. Global efforts under the United Nations Convention on Biological Diversity have largely been insufficient. Nature cannot afford any half measures or lack of ambition.\n\nIn this spirit, the EU is ready to lead all efforts - working with like-minded partners in a high-ambition coalition on biodiversity - to agree an ambitious new global framework for post-2020 at the upcoming 15 th Conference of the Parties to the Convention on Biological Diversity.\n\nWith this strategy, the Commission proposes ambitious commitments for the EU to bring to the table. The EU should also support governments and stakeholders across the globe to significantly step up their ambition and their action.\n\nThe Commission proposes that the EU ensures that the post-2020 global framework includes, at a minimum, the elements outlined below:\n\n -  Overarching global goals for biodiversity for 2050, in line with the United Nations 2030 Agenda for Sustainable Development and the vision of 'living in harmony with nature'. The ambition should be that, by 2050, all of the world's ecosystems are restored, resilient, and adequately protected. The world should commit to the net-gain principle to give nature back more than it takes. The world should commit to no human-induced extinction of species, at minimum where avoidable.\n -  Ambitious global 2030 targets in line with EU commitments in this strategy. These should clearly address the drivers of biodiversity loss and be specific, measurable, actionable, relevant and time-bound.\n -  A much stronger implementation, monitoring and review process. Parties should revise their National Biodiversity Strategies and Action Plans by the end of 2021, or as a minimum, submit national commitments for the most important targets. There should be a regular review cycle to look at progress towards the", - "page_start": 19, - "page_end": 19, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "policies. In addition, by integrating policy coherence for sustainable development in all its policies, the EU will reduce the pressure on biodiversity worldwide. In all of its international cooperation, the EU should promote sustainable agricultural and fisheries practices and actions to protect and restore the world's forests. Particular attention will also be paid to sustainable water resource management, the restoration of degraded land, and the protection and restoration of biodiverse areas with high ecosystem services and climate mitigation potential. A better protection of natural ecosystems, coupled with efforts to reduce wildlife trade and consumption, will also help prevent and build up resilience to possible future diseases and pandemics. The EU will enhance its support to global efforts to apply the One Health approach 83 , which recognises the intrinsic connection between human health, animal health and healthy resilient nature.\n\nThe EU will step up support to partner countries across the world to achieve the new global targets, fight environmental crime, and tackle the drivers of biodiversity loss. In Africa, the EU will launch the NaturAfrica initiative to protect wildlife and key ecosystems while offering opportunities in green sectors for local populations. Similar projects will be developed in other regions. The EU will also support the Western Balkans and EU Neighbourhood countries in their efforts to protect biodiversity.\n\nIn all of its work, the EU will strengthen the links between biodiversity protection and human rights , gender, health, education, conflict sensitivity, the rights-based approach, land tenure and the role of indigenous peoples and local communities.\n\nAs part of its global efforts, the EU will promote biodiversity coalitions with partners and civil society around the world. For example, in March 2020, the Commission launched the Global Biodiversity Coalition of national parks, aquariums, botanic gardens, zoos, natural history and sciencemuseums to help raise awareness around the world on the need to protect and nurture biodiversity. The Commission will consider launching or joining other High Ambition Coalitions to help develop the post-2020 framework.\n\n## 5. CONCLUSION\n\nProtecting and restoring biodiversity is the only way to preserve the quality and continuity of human life on Earth. The commitments proposed in this strategy pave the way for ambitious and necessary changes - changes that will ensure the wellbeing and economic prosperity of present and future generations in a healthy environment. The implementation of these commitments will take into account the diversity of challenges across sectors, regions and Member States, recognise the need to ensure social justice, fairness and inclusiveness in line with the European Pillar of Social Rights, and will require a sense of responsibility and strong joint efforts from the EU, its Member States, stakeholders and citizens.\n\nThe Commission invites the European Parliament and the Council to endorse this strategy ahead of the 15 th Conference of the Parties to the Convention on Biological Diversity. To ensure full political ownership of this strategy, the Commission will suggest a standing progress point at the Council and at the European Parliament. It will review the strategy by 2024 to assess progress and whether further action is needed to meet its objectives.", - "page_start": 22, - "page_end": 22, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "legislation and guidance on green public procurement , the Commission will integrate criteria and monitoring to boost nature-based solutions.\n\n## 3.3.3. Measuring and integrating the value of nature\n\nBiodiversity considerations need to be better integrated into public and business decisionmaking at all levels. Building on existing work 74 , the Commission will develop in 2021 methods, criteria and standards to describe the essential features of biodiversity, its services, values, and sustainable use.\n\nThese will include measuring the environmental footprint of products and organisations on the environment , including through life-cycle approaches and natural capital accounting. In this context, the Commission will support the establishment of an international natural capital accounting initiative.\n\n## 3.3.4. Improving knowledge, education and skills\n\nThe fight against biodiversity loss must be underpinned by sound science. Investing in research, innovation and knowledge exchange will be key to gathering the best data and developing the best nature-based solutions. Research and innovation can test and develop how to prioritise 'green' over 'grey' solutions and help the Commission to support investments in nature-based solutions, such as in old-industrialised, low-income or disasterhit areas.\n\nThe new Skills Agenda will play a key role in the transition to a green economy and the fight against biodiversity loss, focusing on training and reskilling of the workforce across a wide range of sectors.\n\nThe future Horizon Europe programme will include a long-term strategic research agenda for biodiversity, including a science policy mechanism for research-based options for ratcheting up the implementation of biodiversity commitments , with increased funding. Horizon Europe's Missions 75 will significantly contribute to filling knowledge gaps and finding solutions to improve the health of ecosystems and their contribution to human health.\n\nIn parallel, the Commission will promote and facilitate partnerships, including a dedicated Biodiversity Partnership, to make the bridge between science, policy and practice and make nature-based solutions a reality on the ground. The Commission will also establish in 2020 a new Knowledge Centre for Biodiversity in close cooperation with the European Environment Agency. The Centre will: (i) track and assess progress by the EU and its partners including in relation to implementation of biodiversity related international instruments; (ii) foster cooperation and partnership, including between climate and biodiversity scientists; and (iii) underpin policy development. Moreover, the Commission will increase its support to the Intergovernmental science-policy Platform on Biodiversity and Ecosystem Services.\n\nTo help integrate biodiversity and ecosystems into school, higher education and professional training, the Commission will propose a Council Recommendation on", - "page_start": 18, - "page_end": 18, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "principle 79 and taking into account the call of the European Parliament 80 . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n## 4.2.2. Trade policy\n\nTrade policy will actively support and be part of the ecological transition . In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market 81 , and to promote forest-friendly imports and value chains. The Commission will take a number of steps to crack down on illegal wildlife trade . This trade contributes to the depletion or extinction of entire species, is the world's fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further tightening of the rules on EU ivory trade later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n## 4.2.3. International cooperation, neighbourhood policy and resource mobilisation\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to double financial flows to developing countries for biodiversity 82 . The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "States and the European Environment Agency, will put forward in 2020 criteria and guidance for identifying and designating additional areas, including a definition of strict protection, as well as for appropriate management planning. In doing so, it will indicate how other effective area-based conservation measures and greening of cities could contribute to the targets.\n\nThe targets relate to the EU as a whole and could be broken down according to the EU bio-geographical regions and sea basins or at a more local level. Every Member State will have to do its fair share of the effort based on objective ecological criteria, recognising that each country has a different quantity and quality of biodiversity. Particular focus will be placed on protecting and restoring the tropical and sub-tropical marine and terrestrial ecosystems in the EU's outermost regions given their exceptionally high biodiversity value.\n\nIn addition, in order to have a truly coherent and resilient Trans-European Nature Network, it will be important to set up ecological corridors to prevent genetic isolation, allow for species migration, and maintain and enhance healthy ecosystems. In this context, investments in green and blue infrastructure 27 and cooperation across borders among Member States should be promoted and supported, including through the European Territorial Cooperation.\n\nThe Commission will aim to agree the criteria and guidance for additional designations with Member States by the end of 2021. Member States will then have until the end of 2023 to demonstrate significant progress in legally designating new protected areas and integrating ecological corridors. On this basis, the Commission will assess by 2024 whether the EU is on track to meet its 2030 targets or whether stronger actions, including EU legislation, are needed.\n\nFinally, the Overseas Countries and Territories also host important biodiversity hotspots, not governed by EU environmental rules. The Commission encourages relevant Member States to consider promoting equal or equivalent rules in these countries and territories.\n\n## Nature protection: key commitments by 2030\n\n- 1. Legally protect a minimum of 30% of the EU's land area and 30% of the EU's sea area and integrate ecological corridors, as part of a true Trans-European Nature Network.\n- 2. Strictly protect at least a third of the EU's protected areas, including all remaining EU primary and old-growth forests.\n- 3. Effectively manage all protected areas, defining clear conservation objectives and measures, and monitoring them appropriately.", - "page_start": 5, - "page_end": 5, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "As regards the Birds and Habitats Directives, enforcement will focus on completing the Natura 2000 network , the effective management of all sites, species-protection provisions, and species and habitats that show declining trends. The Commission will also ensure that environment-related legislation with an impact on biodiversity 62 is better implemented, enforced and - where necessary - reviewed and revised.\n\nThe Commission will strive to improve compliance assurance , working closely with Member States and European networks of environmental agencies, inspectors, auditors, police, prosecutors and judges.\n\nIn addition, the Commission will support civil society's role as a compliance watchdog and will engage with Member States to improve access to justice in national courts in environmental matters for individuals and NGOs. It will also broaden standing for NGOs by proposing a revision of the Aarhus Regulation 63 .\n\n## 3.3. Building on an integrated and whole-of-society approach\n\n## 3.3.1. Business for biodiversity\n\nIn the partnership spirit of this strategy, all parts of the economy and society will have to play their role. Industry and business have an impact on nature, but they also produce the important innovations, partnerships and expertise that can help address biodiversity loss.\n\nTo ensure environmental and social interests are fully embedded into business strategies, the Commission will put forward a new initiative in 2021 on sustainable corporate governance . This initiative, which may take the form of a legislative proposal, will address human rights and environmental duty of care and due diligence across economic value chains in a proportionate way according to different sizes of entreprises 64 . This will help ensure that shareholder and stakeholder interests are fully aligned with the objectives set out in this strategy. In addition, in 2020, the Commission launched a review of the reporting obligations of businesses under the Non-Financial Reporting Directive 65 , with a view to improving the quality and scope of non-financial disclosures, including on environmental aspects such as biodiversity.\n\nThrough its existing platforms 66 , the Commission will help to build a European Business for Biodiversity movement, taking inspiration from recent initiatives 67 and making this movement an integral part of the European Climate Pact. Particular attention will be paid to measures to incentivise and eliminate barriers for the take-up of naturebased solutions, as these can lead to significant business and employment opportunities in various sectors 68 and are the key to innovation for economic or societal needs that rely on nature.", - "page_start": 16, - "page_end": 16, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## 2.2. An EU Nature Restoration Plan: restoring ecosystems across land and sea\n\nProtecting the nature we have will not be enough to bring nature back into our lives. To reverse biodiversity loss, the world needs to be more ambitious on nature restoration. With a new EU Nature Restoration Plan , Europe will lead the way.\n\nThe plan will help improve the health of existing and new protected areas, and bring diverse and resilient nature back to all landscapes and ecosystems. This means reducing pressures on habitats and species, and ensuring all use of ecosystems is sustainable. It also means supporting the recovery of nature, limiting soil sealing and urban sprawl, and tackling pollution and invasive alien species. The plan will create jobs, reconcile economic activities with nature growth and help ensure the long-term productivity and value of our natural capital.\n\n## 2.2.1. Strengthening the EU legal framework for nature restoration\n\nNature restoration is already partially required from the Member States in existing EU legislation 28 . However, significant implementation and regulatory gaps hinder progress . For instance, there is no requirement for Member States to have biodiversity restoration plans. There are not always clear or binding targets and timelines and no definition or criteria on restoration or on the sustainable use of ecosystems. There is also no requirement to comprehensively map, monitor or assess ecosystem services, health or restoration efforts. These issues are exacerbated by the gaps in implementation that prevent the existing legislation from achieving its objectives 29 . Stronger implementation support and enforcement is required. To ensure that nature restoration across land and sea picks up, increases the EU's resilience, and contributes to climate change mitigation and adaptation as a key nature-based solution, this strategy puts forward two strands of actions:\n\n -  Firstly, and subject to an impact assessment, the Commission will put forward a proposal for legally binding EU nature restoration targets in 2021 to restore degraded ecosystems, in particular those with the most potential to capture and store carbon and to prevent and reduce the impact of natural disasters. This will identify the conditions in which the targets must be met, as well as the most effective measures to reach them. The impact assessment will also look at the possibility of an EU-wide methodology to map, assess and achieve good condition of ecosystems so they can deliver benefits such as climate regulation, water regulation, soil health, pollination and disaster prevention and protection.\n -  In that context, the Commission will request and support Member States to raise the level of implementation of existing legislation within clear deadlines. It will in particular request Member States to ensure no deterioration in conservation trends and status of all protected habitats and species by 2030 30 . In addition, Member States will have to ensure that at least 30% of species and habitats not", - "page_start": 6, - "page_end": 6, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n -  An enabling framework to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n -  Fair and equitable sharing of the benefits from the use of genetic resources linked to biodiversity.\n -  A principle of equality . This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n## 4.2. Using external action to promote the EU's ambition\n\n## 4.2.1. International Ocean Governance\n\nIn line with the International Ocean Governance agenda 77 , the EU will support the conclusion of an ambitious legally binding agreement on marine biological diversity of areas beyond national jurisdiction (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast Marine Protected Areas in the Southern Ocean 78 , two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply zero tolerance towards illegal, unreported and unregulated fishing and will combat overfishing, including through WTO negotiations on a global agreement to ban harmful fisheries subsidies .\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the effects of deep-sea mining on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "legal5_eubiodiversity_cc4.pdf", - "query": "What is the EU's tolerance for unauthorised fishing?", - "target_page": 21, - "target_passage": "The EU will apply zero tolerance towards illegal, unreported and unregulated fishing", - "chunk_present": { - "presence": true, - "index": 3 - } - }, - "top_chunk": [ - { - "text": "threaten their conservation status. To support this, data collection on by-catch for all sensitive species needs to be stepped up.\n\nIn addition, fisheries-management measures must be established in all marine protected areas according to clearly defined conservation objectives and on the basis of the best available scientific advice.\n\n## 2.2.7. Restoring freshwater ecosystems\n\nThe EU's legal framework on water is ambitious but implementation is lagging behind and enforcement must be stepped up 46 . Greater efforts are needed to restore freshwater ecosystems and the natural functions of rivers in order to achieve the objectives of the Water Framework Directive. This can be done by removing or adjusting barriers that prevent the passage of migrating fish and improving the flow of water and sediments. To help make this a reality, at least 25,000 km of rivers will be restored into free-flowing rivers by 2030 47 through the removal of primarily obsolete barriers and the restoration of floodplains and wetlands. Technical guidance and support to the Member States to identify sites and help mobilise funding will be provided by the Commission in 2021, in consultation with all relevant authorities 48 . Member State authorities should review water abstraction and impoundment permits to implement ecological flows in order to achieve good status or potential of all surface waters and good status of all groundwater by 2027 at the latest, as required by the Water Framework Directive 49 . To that effect, the Commission will provide technical support to Member States on their measures by 2023.\n\nOverall, large-scale river and floodplain restoration investments 50 can provide a major economic boost for the restoration sector and for local socioeconomic activities such as tourism and recreation. At the same time, these investments can improve water regulation, flood protection, nursery habitats for fish, and the removal of nutrient pollution.\n\n## 2.2.8. Greening urban and peri-urban areas\n\nGreen urban spaces , from parks and gardens to green roofs and urban farms, provide a wide range of benefits for people. They also provide opportunities for businesses and a refuge for nature. They reduce air, water and noise pollution, provide protection from flooding, droughts and heat waves, and maintain a connection between humans and nature 51 .\n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the value of green urban spaces for our physical and mental wellbeing . While protection of some urban", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "energy 41 . It will also review in 2021 the data on biofuels with high indirect land-use change risk and establish a trajectory for their gradual phase out by 2030.\n\nThe overall objective is to ensure that EU regulatory framework on bioenergy is in line with the increased ambition set out in the European Green Deal.\n\n## 2.2.6. Restoring the good environmental status of marine ecosystems\n\nRestored and properly protected marine ecosystems bring substantial health, social and economic benefits to coastal communities and the EU as a whole. The need for stronger action is all the more acute as marine and coastal ecosystem biodiversity loss is severely exacerbated by global warming 42 .\n\nAchieving good environmental status of marine ecosystems, including through strictly protected areas, must involve the restoration of carbon-rich ecosystems as well as important fish spawning and nursery areas. Some of today's sea uses endanger food security, fishers' livelihoods, and the fishery and seafood sectors. Marine resources must be harvested sustainably and there must be zero-tolerance for illegal practices . In this regard, the full implementation of the EU's Common Fisheries Policy, the Marine Strategy Framework Directive and the Birds and Habitats Directives is essential.\n\nThe application of an ecosystem-based management approach under EU legislation 43 will reduce the adverse impacts of fishing, extraction and other human activities, especially on sensitive species and seabed habitats. To support this, national maritime spatial plans , which Member States have to deliver in 2021, should aim at covering all maritime sectors and activities, as well as area-based conservation-management measures. 44 The Commission will also propose a new action plan to conserve fisheries resources and protect marine ecosystems by 2021. Where necessary, measures will be introduced to limit the use of fishing gear most harmful to biodiversity, including on the seabed. It will also look at how to reconcile the use of bottom-contacting fishing gear with biodiversity goals, given it is now the most damaging activity to the seabed. This must be done in a fair and just way for all. The European Maritime and Fisheries Fund should also support the transition to more selective and less damaging fishing techniques.\n\nHealthy fish stocks are key to the long-term prosperity of fishermen and the health of our oceans and biodiversity. This makes it all the more important to maintain or reduce fishing mortality at or under Maximum Sustainable Yield levels . This will help achieve a healthy population age and size distribution for fish stocks.\n\nThe by-catch of species threatened with extinction must also be eliminated or reduced to a level that allows full recovery. This should also be the case for those in bad conservation status or not in good environmental status. Furthermore, the by-catch of other species 45 must be eliminated or, where this is not possible, minimised so as not to", - "page_start": 11, - "page_end": 11, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "principle 79 and taking into account the call of the European Parliament 80 . In parallel, the EU will continue to fund research on the impact of deep-sea mining activities and on environmentally-friendly technologies. The EU should also advocate for more transparency in international bodies such as the International Seabed Authority.\n\n## 4.2.2. Trade policy\n\nTrade policy will actively support and be part of the ecological transition . In this spirit, the Commission will ensure full implementation and enforcement of the biodiversity provisions in all trade agreements, including through the EU Chief Trade Enforcement Officer. The Commission will better assess the impact of trade agreements on biodiversity, with follow-up action to strengthen the biodiversity provisions of existing and new agreements if relevant. The Commission will also present in 2021 a legislative proposal and other measures to avoid or minimise the placing of products associated with deforestation or forest degradation on the EU market 81 , and to promote forest-friendly imports and value chains. The Commission will take a number of steps to crack down on illegal wildlife trade . This trade contributes to the depletion or extinction of entire species, is the world's fourth most lucrative black market and is thought to be one of the causes behind the emergence of zoonotic diseases. It is a human, economic and environmental duty to dismantle it.\n\nWith this in mind, the Commission will revise the EU Action Plan against Wildlife Trafficking in 2021 and propose a further tightening of the rules on EU ivory trade later this year. It will explore a possible revision of the Environmental Crime Directive, including by looking at expanding its scope and introducing specific provisions for types and levels of criminal sanctions. It will consider strengthening the coordinating and investigative capacities of the European Anti-Fraud Office (OLAF) to work with Member States and non-EU countries to prevent illicit trade and the entry of illicit products into the Single Market.\n\nThe Commission will continue to engage with partner countries to ensure a smooth and fair transition, mobilising in particular Aid for Trade to ensure that partners reap the benefits of biodiversity-friendly trade.\n\n## 4.2.3. International cooperation, neighbourhood policy and resource mobilisation\n\nDelivering an ambitious post-2020 global biodiversity framework will require greater cooperation with partners, increased support and financing and phasing out of subsidies harmful to biodiversity. In the last decade, the EU and its Member States collectively upheld their commitment to double financial flows to developing countries for biodiversity 82 . The EU is ready to continue working with its partners and further increase its support post-2020. This will be part of its work on biodiversity conservation, restoration, sustainable use and mainstreaming in all development and partnership", - "page_start": 21, - "page_end": 21, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "targets, with the ability to ratchet up action if needed. These reviews should be based on an independent, science-based gap-analysis and foresight process, with common headline indicators for all Parties.\n\n -  An enabling framework to bring the ambition to life, across areas such as finance, capacity, research, innovation and technology.\n -  Fair and equitable sharing of the benefits from the use of genetic resources linked to biodiversity.\n -  A principle of equality . This includes respect for the rights and the full and effective participation of indigenous peoples and local communities. There should be an inclusive approach with participation of all stakeholders, including women, youth, civil society, local authorities, the private sector, academia and scientific institutions.\n\n## 4.2. Using external action to promote the EU's ambition\n\n## 4.2.1. International Ocean Governance\n\nIn line with the International Ocean Governance agenda 77 , the EU will support the conclusion of an ambitious legally binding agreement on marine biological diversity of areas beyond national jurisdiction (BBNJ) by the end of 2020. It must set clear global procedures for identifying, designating and effectively managing ecologically representative marine protected areas in the high seas. It should be ratified and implemented as quickly as possible.\n\nThe EU should also use all of its diplomatic leverage and outreach capacities to help broker agreement on the designation of three vast Marine Protected Areas in the Southern Ocean 78 , two of which were co-proposed by the EU in East Antarctica and in the Weddell Sea. If agreed, this would constitute one of the biggest acts of nature protection in history.\n\nWork will continue with partner countries and regional organisations to put in place measures to protect and sustainably use sensitive maritime ecosystems and species, including in areas beyond national jurisdiction, with a focus on marine biodiversity hotspots. The EU should continue supporting Small Island Developing States and other relevant partner countries to participate in meetings of regional and global organisations and bodies, and to implement relevant international commitments and regulations.\n\nThe EU will apply zero tolerance towards illegal, unreported and unregulated fishing and will combat overfishing, including through WTO negotiations on a global agreement to ban harmful fisheries subsidies .\n\nIn international negotiations, the EU should advocate that marine minerals in the international seabed area cannot be exploited before the effects of deep-sea mining on the marine environment, biodiversity and human activities have been sufficiently researched, the risks are understood and the technologies and operational practices are able to demonstrate no serious harm to the environment, in line with the precautionary", - "page_start": 20, - "page_end": 20, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Obviously, most informal, and - in particular irregular and illegal types of work do not respect legal OSH obligations - and at the same time legal monitoring obligations also fail. The EU Fundamental Rights Agency (FRA) published several case studies and examples in a series called 'Severe labour exploitation reports; 359 these studies provide an insight into most irregular working conditions.\n\nUndeclared work is defined as paid and lawful (not criminal) activity but undeclared to public authorities. ('paid activities that are lawful as regards their nature but not declared to public authorities, taking into account the differences in the regulatory systems of Member States'.)\n\nIn 2018, the European Commission estimated the scale of undeclared work in the EU. According to this estimate, on average, 11.6% of total labour input in the private sector is undeclared, and undeclared work constitutes on average 16.4% of gross value added. The main sectors according to the Special Flash Eurobarometer from 2019 360 are personal services (childcare/elderly care/cleaning) followed by construction and hospitality services. 361 The 'European Platform tackling undeclared work' provides fact sheets about the type and quantity of undeclared work in all EU Member States. 362\n\nThe compliance of enterprises with OSH regulations is supervised by state institutions, mainly the Labour Inspectorates . 363 At EU level, the SLIC developed common principles for their work. These common principles aim at harmonising their work and facilitate collaboration; they include planning and monitoring, inspectors' competencies and independence, prevention, protection, and assistance and guidance for inspectors, and internal and external communication. 364\n\nPractically all labour inspections in the EU Member States worked in the past two decades on organisational and strategic measures to achieve an effective and broad impact , and also to better adapt to new and emerging risks. 365 To enhance the level of implementation in terms of coverage and quality, many labour inspections developed smart enforcement and supervision concepts . 366\n\nOn average, two million visits per year were made by labour inspectorates, in approximately 22 million businesses in the EU, in the decade 2010-2020, with a steady decline over the years. 367 . 368 Many enterprises that are regarded as low-risk establishments have never been inspected by a labour inspectorate. Often more than one inspection is done in large enterprises, for example, as a follow-up inspection; there might also be more than one annual inspection in enterprises with high risks. The labour inspection is also tasked to supervise enterprises with many separated sites or establishments, for example, construction companies and shops of supermarket chains. The visit of one headquarter or one shop cannot be regarded as a visit of a representative selection of enterprises' locations, which possibly show different levels of safety and health.\n\nIn the decade between 2000 and 2010, the development of the resources of labour inspections show a mixed picture, some countries extended the capacities of labour inspections, others cut resources . 369 For the period between 2010 and 2020, the European Trade Union Institute (ETUI) counted a decrease of labour inspectors and inspections in 20 of 27 Member States, a drop of 7% for inspectors and of 18% for inspections. 370 Again, the picture between Member States differs but, in general, budget or staff cuts dominate. ESENER findings show that there was a significant decline between 2014 and 2019 regarding the number of visits by Labour Inspectorates. 371", - "page_start": 122, - "page_end": 122, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 3. -(1) A controller must not cause or permit a vessel whose last point of departure was a country or territory listed in paragraph 5 to moor at a port in England unless mooring at a port in England-\n - (a) is reasonably necessary to secure the safety of the vessel or the health and safety of any person aboard it; or\n - (b) is otherwise required pursuant to a direction issued under Schedule 3A to the Merchant Shipping Act 1995.\n - (2) This paragraph does not apply in relation to-\n - (a) a commercially operated vessel carrying no passengers;", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## Prohibition on arrival of vessels into England", - "page_start": 84, - "page_end": 84, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "efforts are needed and the EU itself needs to do more and better for nature and build a truly coherent Trans-European Nature Network .\n\nEnlarging protected areas is also an economic imperative. Studies on marine systems estimate that every euro invested in marine protected areas would generate a return of at least €3 19 . Similarly, the Nature Fitness Check 20 showed that the benefits of Natura 2000 are valued at between €200-300 billion per year. The investment needs of the network are expected to support as many as 500,000 additional jobs 21 .\n\nFor the good of our environment and our economy, and to support the EU's recovery from the COVID-19 crisis, we need to protect more nature. In this spirit, at least 30% of the land and 30% of the sea should be protected in the EU . This is a minimum of an extra 4% for land and 19% for sea areas as compared to today 22 . The target is fully in line with what is being proposed 23 as part of the post-2020 global biodiversity framework (see Section 4).\n\nWithin this, there should be specific focus on areas of very high biodiversity value or potential. These are the most vulnerable to climate change and should be granted special care in the form of strict protection 24 . Today, only 3% of land and less than 1% of marine areas are strictly protected in the EU. We need to do better to protect these areas. In this spirit, at least one third of protected areas - representing 10% of EU land and 10% of EU sea - should be strictly protected . This is also in line with the proposed global ambition.\n\nAs part of this focus on strict protection, it will be crucial to define, map, monitor and strictly protect all the EU's remaining primary and old-growth forests 25 . It will also be important to advocate for the same globally and ensure that EU actions do not result in deforestation in other regions of the world. Primary and old-growth forests are the richest forest ecosystems that remove carbon from the atmosphere, while storing significant carbon stocks. Significant areas of other carbon-rich ecosystems, such as peatlands, grasslands, wetlands, mangroves and seagrass meadows should also be strictly protected, taking into account projected shifts in vegetation zones.\n\nMember States will be responsible for designating the additional protected and strictly protected areas 26 . Designations should either help to complete the Natura 2000 network or be under national protection schemes. All protected areas will need to have clearly defined conservation objectives and measures. The Commission, working with Member", - "page_start": 4, - "page_end": 4, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "Neither the European Agency for Safety and Health at Work nor any person acting on behalf of the agency is responsible for the use that might be made of the following information.\n\nLuxembourg: Publications Office of the European Union, 2023\n\nPrint\n\nISBN 978-92-9479-934-0\n\ndoi: 10.2802/26873\n\nPDF\n\nISBN 978-92-9479-935-7\n\ndoi: 10.2802/56459\n\n- © European Agency for Safety and Health at Work, 2023\n\nReproduction is authorised provided the source is acknowledged.\n\nFor any use or reproduction of photos or other material that is not under the copyright of the European Agency for Safety and Health at Work, permission must be sought directly from the copyright holders.\n\nThe photographs used in this publication illustrate a range of work activities. They do not necessarily show good practices or compliance with legislative requirements.\n\nFor one-click access to websites and references please consult the online version of this publication https://osha.europa.eu/en/publications/occupational-safety-and-health-europe-state-and-trends-2023", - "page_start": 1, - "page_end": 1, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "tackling undeclared work' provides fact sheets of the type and quantity of undeclared work in all EU Member States; 464 Eurofound published several reports on platform work, 465 and the FRA had a series of publications and fact sheets on severe cases of exploitation, particularly of migrant workforces. 466 Also, the creation of the European Labour Authority (ELA) 467 is partly a consequence of the often irregular working conditions of mobile, posted, contracted or seasonal workers who leave their country to work in the EU or in another European country. ELA particularly aims to mitigate such critical issues related to labour mobility and social security coordination between countries.\n\nIn this report , the quantitative data and the interpretation of the developments will cover - in an ideal case the period 2005 to 2020 . In 2004, a major extension of the EU took place, from 15 to 25 Member States. If it is not possible to cover the whole period, the analysis is limited to the maximum possible period. If comparability is high, for a very few selected data a further look back to the 1990s was taken.\n\nMoreover, there can be major comparability difficulties caused by the change of methodological approaches, geographical coverage and other context factors during the last 10 to 30 years. Major challenges for comparative assessments of EU-wide harmonised data collections from different years were:\n\n - · The EU went through several enlargement processes , expanded from EU-12 to EU-15 in 1994, expanded from EU-15 to EU-25 in 2004, to EU27 in 2007 and to EU28 in 2013, and from 2020 on - due to the departure of the United Kingdom - the EU consists of 27 Member States. In statistical publications the identifier EU27\\_2020 is often used to distinguish this period from the EU27 phase between 2008 and 2012, before Croatia joined and the EU27 became EU28.\n - · Methodologies of data collection changed , questions in surveys were abandoned or changed, and sample sizes or structures changed, for example, the given period in survey questions changed. One example is from the EWCS: the time categories for health-related absence from work changed from 'between 10 and 20 days' to absence of 'more than 15 days'.\n - · Important structural decisions were taken in the sector of economic statistics , like the change of the statistical composition and the coding of economic sectors, NACE Code 1, Revision 1 (NACE 1.1) was applied until 2007, and from 2008 NACE Code 2 is applied.\n - · The survey providers use(d) for occupation and educational attainment different categories and aggregations levels, for example, ESEG, ISCED or ISCO.\n - · Some important categories and definitions are not fully harmonised in statistics, for example, the definition of 'manual worker' or of 'migration status'. 468\n\n## 7.3 Qualitative data and research", - "page_start": 133, - "page_end": 133, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "What are the missions of the Sumitomo Mitsui Financial Group?", - "target_page": 7, - "target_passage": "• To provide optimum added value to our customers and together with them achieve growth • To create sustainable shareholder value through business growth• To create sustainable shareholder value through business growth • To provide a challenging and professionally rewarding work environment for our dedicated employees• To provide a challenging and professionally rewarding work environment for our dedicated employee", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Corporate Outline (as of September 30, 2011)\n\nCompany Name\n\nBusiness Description\n\n - Established\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\n - Sumitomo Mitsui Financial Group, Inc. ：：\n - Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of non-bank subsidiaries, as well as the performance of ancillary functions ：\n - December 2, 2002 ：\n - 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan ：\n\nMasayuki Oku ：\n\n - Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) ：\n - ¥2,337.8 billion ：\n\nTokyo Stock Exchange (First Section) ：\n\nOsaka Securities Exchange (First Section) Nagoya Stock Exchange (First Section) Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n## Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n\n\n## Our CSR reporting\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n\n\n\n\n\n\n| | Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, centered on specific examples centered on specific examples CSR report 2011 (digest version) | CSR disclosure through specific examples |\n|------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| information on CSR activities information on CSR activities CSR report 2011 statistical performance, online PDF file) | Comprehensive disclosure of CSR activities | Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed (digest version with examples of activities and |\n| | This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of CSR activities at SMFG CSR activities at SMFG CSR report (online version, Japanese only) www.smfg.co.jp/responsibility | Enriched CSR disclosure |\n\n## Editorial Policy\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group programs to solve the problem of programs to solve the problem of mine, while the Mitsui Group set up mine, while the Mitsui Group set up give the poorest in society access to give the poorest in society access to corporate social responsibility corporate social responsibility philosophies of both the Sumitomo philosophies of both the Sumitomo years of their existence, we will years of their existence, we will problems facing the international problems facing the international service service operations.operations.\n\nundertook large-scale afforestation undertook large-scale afforestation pollution around the Besshi copper pollution around the Besshi copper the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to basic medical care. Based on this basic medical care. Based on this DNA embedded in the business DNA embedded in the business and Mitsui groups over the 400 and Mitsui groups over the 400 continue to play our part in solving continue to play our part in solving community through our financial community through our financial", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Today, Tomorrow and Beyond\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\n\n\nKoichi Miyata\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them. Through our basic policy of becoming 'a globally competitive Through our basic policy of becoming 'a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders' with the highest trust of our clients, society and other stakeholders' by maximizing our core strengths of by maximizing our core strengths of 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\n## INDEX\n\n| Foreword | 1 |\n|------------------------------------------------------------------------------|-------|\n| Commitment from the Top | 3 |\n| A Conversation with Tadao Ando, | |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the | |\n| reconstruction and revitalization of Japan, and help resolve global issues? | |\n| Measures to Support Reconstruction after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Together with Our Customers Together with Our Shareholders and Markets | 13 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\nSumitomo Mitsui Financial Group CSR Report\n\nDigest version\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society.\n\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is\n\nthe essence of business itself, and our initiatives act upon this.\n\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group's CSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report 2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR activities and statistical data omitted in the CSR Report 2011 (digest version).\n\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in Japanese only). It is recommended that you read it in combination with the above two digest versions in order to understand our CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n## Scope of this Report\n\n - GLYPH<129> Sumitomo Mitsui Financial Group, Inc.\n - GLYPH<129> Sumitomo Mitsui Banking Corporation\n - GLYPH<129> SMFG Card & Credit, Inc.\n - GLYPH<129> Sumitomo Mitsui Card Company, Limited\n - GLYPH<129> Cedyna Financial Corporation\n - GLYPH<129> Sumitomo Mitsui Finance and Leasing Co., Ltd.\n - GLYPH<129> The Japan Research Institute, Limited\n - GLYPH<129> SMBC Friend Securities Co., Ltd.\n - GLYPH<129> SMBC Nikko Securities Inc.\n - GLYPH<129> THE MINATO BANK, LTD.\n - GLYPH<129> Kansai Urban Banking Corporation\n - GLYPH<129> Other Group companies\n\n## Company name abbreviations and other special terminology\n\nThroughout this report, 'Sumitomo Mitsui Financial Group' or 'SMFG' refers to the holding company alone. 'The SMFG Group' refers to the holding company and its primary domestic and international subsidiaries and affiliates.\n\n## Reference guidelines\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n\n - * Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international organization (GRI) in 1997 to encourage its adoption worldwide.\n\n## About this Report\n\nPeriod Covered\n\nPublication Date of Japanese Document\n\nContact\n\n - ： April 1, 2010 to March 31, 2011 ( 'Fiscal 2010' )\n - ： December 2011\n - ：\n\nNote: Certain items in this report refer to activities taking place after April 2011.\n\n - Group CSR Department, Sumitomo Mitsui Financial Group, Inc. 1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 TEL: +81-3-3282-8111", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "We intend to be a financial services group that contributes to the healthy development We intend to be a financial services group that contributes to the healthy development of society. For this purpose, we recognize the importance of our mission to serve as a of society. For this purpose, we recognize the importance of our mission to serve as a crucial part of the public infrastructure and also our social responsibilities. With such crucial part of the public infrastructure and also our social responsibilities. With such recognition, we undertake business operations that contribute to the steady recognition, we undertake business operations that contribute to the steady development of Japan and the rest of the world, and endeavor, as a good corporate development of Japan and the rest of the world, and endeavor, as a good corporate citizen, to make a positive contribution to society. citizen, to make a positive contribution to society.\n\nWe intend to be a financial services group for which all officers and employees work We intend to be a financial services group for which all officers and employees work with pride and commitment. For this purpose, we respect people and develop with pride and commitment. For this purpose, we respect people and develop employees with extensive professional knowledge and capabilities, thereby creating a employees with extensive professional knowledge and capabilities, thereby creating a free and active business environment. free and active business environment.\n\nWe intend to be a financial services group that always keeps in mind the importance of We intend to be a financial services group that always keeps in mind the importance of compliance. For this purpose, we reflect our awareness of Business Ethics in our business compliance. For this purpose, we reflect our awareness of Business Ethics in our business activities at all times. In addition, we respond promptly to directives from auditors and activities at all times. In addition, we respond promptly to directives from auditors and inspectors. Through these actions, we observe all laws and regulations, and uphold moral inspectors. Through these actions, we observe all laws and regulations, and uphold moral standards in our business practices. standards in our business practices.\n\n## Key points of CSR activities\n\nThe focus of the Group The focus of the Group's CSR activities is to offer the most value s CSR activities is to offer the most value for our four major stakeholder groups based on for our four major stakeholder groups based on sound management, and we shall strive to ultimately sound management, and we shall strive to ultimately contribute to the sustainable development of society as a whole. contribute to the sustainable development of society as a whole.\n\n - ● We shall endeavor to develop and prosper with our customers by offering top-quality, highly-valued products and services.\n - ● We shall engage in solid management by disclosing appropriate information and developing our internal control system in an effort to maximize our shareholders' value.\n - ● We shall contribute to society and preserve the natural environment by continuously and proactively implementing initiatives including social and environmental activities.\n - ● We shall foster a free and active business environment which respects individuals and allows each employee to realize his or her full potential.\n\n## SMFG CSR Values\n\n\n\n## Management approach for target achievement\n\nWe have established the Group CSR Committee, administered by the Group CSR Department, We have established the Group CSR Committee, administered by the Group CSR Department,\n\nto assess the CSR implementation plans of the whole Group, and manage progress. to assess the CSR implementation plans of the whole Group, and manage progress.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Social Contribution Activities\n\n\n\nSMFG as a corporate citizen: Working to create a prosperous society for all\n\n## SMFG and its Group companies participate in neighborhood cleanup programs\n\nIn fiscal 2010, 150 volunteers from the In fiscal 2010, 150 volunteers from the SMFG Group participated in beach cleanup SMFG Group participated in beach cleanup activities in Kanagawa and Hyogo prefectures activities in Kanagawa and Hyogo prefectures on 'SMFG Clean-up Day.' This initiative is on 'SMFG Clean-up Day.' This initiative is not simply a matter of picking up garbage. It not simply a matter of picking up garbage. It also involves inspections and analysis of also involves inspections and analysis of garbage to identify pointers for providing garbage to identify pointers for providing solutions for environmental issues in the solutions for environmental issues in the future. future.\n\nIn addition to beach cleanup activities in In addition to beach cleanup activities in Chiba and Hyogo prefectures by SMBC Chiba and Hyogo prefectures by SMBC Friend Securities, Group companies of Friend Securities, Group companies of Cedyna, Sumitomo Mitsui Finance & Leasing, Cedyna, Sumitomo Mitsui Finance & Leasing, the Japan Research Institute and SMBC the Japan Research Institute and SMBC Nikko Securities carry out ongoing cleanup Nikko Securities carry out ongoing cleanup and other activities in the areas around their and other activities in the areas around their offices and branches. offices and branches.\n\nThe Minato Bank and Kansai Urban Banking The Minato Bank and Kansai Urban Banking Corporation also engage in cleanup activities Corporation also engage in cleanup activities around Suma Beach and Lake Biwa, to around Suma Beach and Lake Biwa, to protect the regional environment. protect the regional environment.\n\n## Supporting education in developing countries, together with our customers and employees\n\nCardholders and employees of Sumitomo Cardholders and employees of Sumitomo Mitsui Card joined a literary social contribution Mitsui Card joined a literary social contribution initiative by participating in the Books To initiative by participating in the Books To The People 2010 project operated by BOOKOFF The People 2010 project operated by BOOKOFF CORP. This project aims to provide CORP. This project aims to provide environ environments in which children can read books in ments in which children can read books in purpose-built facilities, through donations to purpose-built facilities, through donations to Room to Read, a non-governmental organi Room to Read, a non-governmental organization that supports education in developing zation that supports education in developing countries. These NGO donations are pegged countries. These NGO donations are pegged to total numbers of used books and other to total numbers of used books and other items purchased by cardholders. Through items purchased by cardholders. Through the Sumitomo Mitsui Card-operated online the Sumitomo Mitsui Card-operated online shopping mall POINT UP Mall, cardholders shopping mall POINT UP Mall, cardholders are encouraged to buy used books through are encouraged to buy used books through BOOKOFF, and employees collect and donate BOOKOFF, and employees collect and donate used books from their homes and companies. used books from their homes and companies.\n\n\n\nCollection box for used books and other items installed in an employee canteen\n\n\n\nSupporting education in developing countries\n\nGarbage was analyzed in the Kugenuma Beach cleanup event, in which SMFG and its Group companies participated\n\n## Donations through 'The World Bank Green Fund'", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\nEurope\n\n## Donations to charity groups\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe (SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off. SMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an in-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a certain amount for certain amount for every donation made every donation made by its employees. by its employees.\n\nEmployee volunteers who participated in landscape improvement projects\n\n\n\nEurope\n\n## Donation for a Japanese-language speech contest\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI) made a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech contest. contest.\n\nMozambique\n\n## UNICEF support initiatives\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank has supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting\n\nchildren and improving children and improving the water-supply and the water-supply and sanitary environment. sanitary environment.\n\n*Please see this website for further details (in Japanese): www.smbc.co.jp/ccs/\n\nⓒ ⓒ UNICEF Mozambique/Arild Drivdal\n\n\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Social Contribution Activities\n\n## Helping build prosperity in Asia and the world\n\nThe SMFG Group is engaged in a range of activities The SMFG Group is engaged in a range of activities that contribute to development at both the regional that contribute to development at both the regional and international level. In addition to overseas units' and international level. In addition to overseas units' independent initiatives, which are geared to host independent initiatives, which are geared to host country issues and characteristics, the Group supports country issues and characteristics, the Group supports projects that have contributed to achievement of the projects that have contributed to achievement of the United Nations' global Millennium Development Goals, United Nations' global Millennium Development Goals, such as poverty eradication, health improvement and such as poverty eradication, health improvement and status improvement for education and women in status improvement for education and women in developing countries. Our support takes the form of developing countries. Our support takes the form of donations to non-profit and non-governmental donations to non-profit and non-governmental organizations, through the employee volunteer fund. organizations, through the employee volunteer fund. (The map shows areas where fund money is used, ( The map shows areas where fund money is used, marked with a marked with a ★ symbol). Please see our website for symbol). Please see our website for more details. more details.\n\nInternational cooperation begins at home\n\n## Employees put school meals on the table through their purchases in staff canteens\n\nSMBC and Sumitomo Mitsui Finance and Leasing SMBC and Sumitomo Mitsui Finance and Leasing have a program that provides donations to the non have a program that provides donations to the nonprofit organization TABLE FOR TWO International to profit organization TABLE FOR TWO International to\n\nfund school meals in developing fund school meals in developing countries, for every low-calorie countries, for every low-calorie meal ordered for lunch. SMBC meal ordered for lunch. SMBC Friend Securities has also Friend Securities has also installed vending machines i n s t a l l e d v e n d i n g m a c h i n e s selling healthy drinks, donating selling healthy drinks, donating part of their sales to TABLE FOR part of their sales to TABLE FOR TWO International. TWO International.\n\n\n\n## Donation boxes for foreign currency coins\n\nSMBC places donation boxes for foreign currency SMBC places donation boxes for foreign currency coins at the entrances of all manned branches and coins at the entrances of all manned branches and offices in Japan, and sorts such collected coins by offices in Japan, and sorts such collected coins by currency for delivery to UNICEF. currency for delivery to UNICEF.\n\n## The SMBC Foundation for International Cooperation\n\nThe SMBC Foundation for International Cooperation The SMBC Foundation for International Cooperation strives to assist in developing the human resources strives to assist in developing the human resources necessary to achieve sustainable growth in develop necessary to achieve sustainable growth in developing economies as well as to promote international ing economies as well as to promote international exchange activities. The foundation has provided exchange activities. The foundation has provided financial support for students from Asian countries financial support for students from Asian countries each year, enabling them to attend universities in each year, enabling them to attend universities in Japan. The foundation also offers subsidies to Japan. The foundation also offers subsidies to research institutes and researchers undertaking research institutes and researchers undertaking projects related to developing countries. projects related to developing countries.\n\n\n\n\n\n\n\n## South Korea", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Miyata : In the same way, other SMFG : In the same way, other SMFG Group companies have been sending out Group companies have been sending out volunteers, and providing donations not only volunteers, and providing donations not only as a company, but also through individual as a company, but also through individual employees. SMBC was at the heart of all these employees. SMBC was at the heart of all these activities, and this was a good opportunity activities, and this was a good opportunity for us to appreciate anew how our business for us to appreciate anew how our business contributes to the public good. contributes to the public good.\n\n\n\n## Koichi Miyata\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\nThe SMFG Group has 62,000 employees, The SMFG Group has 62,000 employees, 'stepping up to the plate and working hard 'stepping up to the plate and working hard to give something back to society.' I think it to give something back to society.' I think it is important to develop ways of making this is important to develop ways of making this a shared aspiration of all the employees of a shared aspiration of all the employees of\n\nthe Group. the Group.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Did Katsutoshi Konuma participate in the August 2011 expert roundtable on the role of the Sumitomo Mitsui Financial Group's new Food and Agricultural Assessment Loan? ", - "target_page": 8, - "target_passage": "Key comments of participants Together with Our Customers Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Together with Our Customers\n\nWe work as a team to improve customer satisfaction and product quality, and, while supporting the customer, contribute to the sustainable development of society as a whole.\n\n\n\n## The financial sector's role in improving the nation's diet and in strengthening the agricultural and fisheries sectors\n\nFor many years, food supply networks in For many years, food supply networks in Japan were premised on mass production and Japan were premised on mass production and mass consumption, enabling the country to mass consumption, enabling the country to meet soaring food demand at a time of rapid meet soaring food demand at a time of rapid growth in the population and economy. growth in the population and economy.\n\nBut in recent years, consumers have come to But in recent years, consumers have come to place more priority on factors other than place more priority on factors other than volume and price, such as food safety and volume and price, such as food safety and healthiness, and the cultural aspects of diet. healthiness, and the cultural aspects of diet. As discussion continues on the need for As discussion continues on the need for farmers to increase production scale and farmers to increase production scale and move into processing and marketing, major move into processing and marketing, major changes are underway in the agriculture and changes are underway in the agriculture and fisheries sector in Japan. fisheries sector in Japan.\n\nAgainst this backdrop, SMBC has developed Against this backdrop, SMBC has developed a new financial product for this sector. a new financial product for this sector.\n\n## Roundtable session: SMBC Food and Agricultural Assessment Loan\n\nA roundtable session with experts held in August 2011 considered the role of the new SMBC Food and Agricultural Assessment Loan in improving the food supply chain that links food and fishery producers with food processors and consumers. Opinions were also exchanged on what other future role the bank might assume in this regard, given the current situation and issues facing the food industry\n\nand agriculture in Japan.\n\n\n\n## Key comments of participants\n\n'We want to deliver value by creating demand and quality combined with safety, peace of mind and trust.' Katsutoshi Konuma, Section Manager, Social & Environmental Management, Asahi Breweries Ltd.\n\nYasuhiro Nakashima Associate Professor Graduate School of Agricultural and Life Sciences, The University of Tokyo\n\n'Eating should be something that generates emotion. New potential exists in the world of cuisine.' Daisuke Yamamoto, Vice Senior Consultant, Research Department,\n\nThe Japan Research Institute, Limited\n\n'As consumer tastes go through a time of great change, I think it is important to prioritize ingredients and the attitude of customers toward eating.'\n\nYoichiro Fukayama, Planning Dept., Deputy Head (with powers of representation) of the Corporate Banking Unit & Middle Market Banking Unit, SMBC\n\n'An important concept is multilateral dialogue as the number of parties involved in food production increases throughout the supply chain.'\n\nModerated by Kenji Sawami, Partner, Ernst & Young ShinNihon LLC\n\nThe SMBC Food and Agricultural Assessment The SMBC Food and Agricultural Assessment Loan comes with conditions, depending on Loan comes with conditions, depending on the results of an evaluation of food-producers' the results of an evaluation of food-producers' progress in areas such as food safety and progress in areas such as food safety and environment-friendliness, healthiness and environment-friendliness, healthiness and nutritional value, and efficiency of distribution. nutritional value, and efficiency of distribution. The Japan Research Institute researches The Japan Research Institute researches", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Corporate Outline (as of September 30, 2011)\n\nCompany Name\n\nBusiness Description\n\n - Established\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\n - Sumitomo Mitsui Financial Group, Inc. ：：\n - Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of non-bank subsidiaries, as well as the performance of ancillary functions ：\n - December 2, 2002 ：\n - 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan ：\n\nMasayuki Oku ：\n\n - Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) ：\n - ¥2,337.8 billion ：\n\nTokyo Stock Exchange (First Section) ：\n\nOsaka Securities Exchange (First Section) Nagoya Stock Exchange (First Section) Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n## Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n\n\n## Our CSR reporting\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n\n\n\n\n\n\n| | Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, centered on specific examples centered on specific examples CSR report 2011 (digest version) | CSR disclosure through specific examples |\n|------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| information on CSR activities information on CSR activities CSR report 2011 statistical performance, online PDF file) | Comprehensive disclosure of CSR activities | Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed (digest version with examples of activities and |\n| | This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of CSR activities at SMFG CSR activities at SMFG CSR report (online version, Japanese only) www.smfg.co.jp/responsibility | Enriched CSR disclosure |\n\n## Editorial Policy\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Today, Tomorrow and Beyond\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\n\n\nKoichi Miyata\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them. Through our basic policy of becoming 'a globally competitive Through our basic policy of becoming 'a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders' with the highest trust of our clients, society and other stakeholders' by maximizing our core strengths of by maximizing our core strengths of 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\n## INDEX\n\n| Foreword | 1 |\n|------------------------------------------------------------------------------|-------|\n| Commitment from the Top | 3 |\n| A Conversation with Tadao Ando, | |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the | |\n| reconstruction and revitalization of Japan, and help resolve global issues? | |\n| Measures to Support Reconstruction after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Together with Our Customers Together with Our Shareholders and Markets | 13 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\nSumitomo Mitsui Financial Group CSR Report\n\nDigest version\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Commitment from the Top\n\nA Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata\n\n## What can we do now to spur the reconstruction and revitalization of Japan, and help resolve global issues?\n\nUplifting the nation's spirits Uplifting the nation's spirits\n\nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) Japan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) after the March 11 earthquake and tsunami ('the Great East Japan Earthquake') to a shrinking and aging population, with falling birth rates after the March 11 earthquake and tsunami ('the Great East Japan Earthquake') to a shrinking and aging population, with falling birth rates and increasing numbers of the aged. and increasing numbers of the aged.\n\nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. We must now find ways for people to coexist in harmony with nature, based on a global perspective.\n\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group. and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\n\n\n## Tadao Ando\n\nArchitect. Professor Emeritus at the University of Tokyo, Representative and Vice-chairman of the Great East Japan Earthquake Reconstruction Design Council. Awarded the Order of Cultural Merit in 2010.\n\nOur measures to support reconstruction after the disastrous earthquake and tsunami Uplifting the nation's spirits\n\n̶ ̶ SMFG has the following priorities in its SMFG has the following priorities in its corporate social responsibility program: corporate social responsibility program: Reconstruction after the earthquake Reconstruction after the earthquake and tsunami, environmental measures, and tsunami, environmental measures, addressing the shrinking and aging addressing the shrinking and aging population, and global challenges. population, and global challenges. -\n\nKunibe : : Japan is facing a difficult period J a p a n i s f a c i ng a d i f f icu lt period with limited prospects for economic growth with limited prospects for economic growth due to a shrinking, aging population and due to a shrinking, aging population and a mature economy. Against this backdrop, a mature economy. Against this backdrop, the country was hit by the unprecedented the country was hit by the unprecedented catastrophe of the Great East Japan catastrophe of the Great East Japan Earthquake. We must face up to the new Earthquake. We must face up to the new challenges arising from this disaster. challenges arising from this disaster.\n\nI believe the time has come for us to I believe the time has come for us to reconsider what we can do in our capacity reconsider what we can do in our capacity as a financial institution to address a variety as a financial institution to address a variety of issues, including the four priorities. of issues, including the four priorities. Today I hope we can discuss not only the road Today I hope we can discuss not only the road to reconstruction after the disaster, but also to reconstruction after the disaster, but also\n\nways to uplift the nation's spirits. ways to uplift the nation's spirits.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Takeshi Kunibe\n\nPresident and CEO Sumitomo Mitsui Banking Corporation\n\ncompanies would do better and companies would do better and the whole country would benefit. the whole country would benefit. Returning to Mr. Ando Returning to Mr. Ando's words, s words, and his comments about a n d h i s c o m m e n t s a b o u t clinging to the status quo, more clinging to the status quo, more people now think, 'Oh, well, my people now think, 'Oh, well, my life is fairly comfortable and life is fairly comfortable and that's enough for me.' This sense that's enough for me.' This sense of stagnation, or resignation, of stagnation, or resignation,\n\nthat people feel in their lives has spread that people feel in their lives has spread throughout Japan. But when the disaster throughout Japan. But when the disaster struck, people again came together and struck, people again came together and worked together in the recovery effort. I worked together in the recovery effort. I thought, 'Not everything that happened has thought, 'Not everything that happened has been bad.' But I fear the consequences if we been bad.' But I fear the consequences if we don don't galvanize, coordinate and maximize t g a l va n i ze, coord inate and maximize efforts more effectively. efforts more effectively.\n\nKunibe : As for SMBC, I wondered if : A s f o r S M B C , I w o n d e r e d i f employees at all the branches and other employees at all the branches and other offices in the affected areas would be able to offices in the affected areas would be able to get to work and carry out their duties at such get to work and carry out their duties at such a difficult time for their own families; or if a difficult time for their own families; or if they would be able to open their offices for they would be able to open their offices for business on weekends and other holidays. business on weekends and other holidays. Despite the lack of water and gas, they really Despite the lack of water and gas, they really gave their all to provide banking services. gave their all to provide banking services. It was really uplifting to see such dedication It was really uplifting to see such dedication and sense of responsibility as an employee of and sense of responsibility as an employee of a financial institution entrusted with essential a financial institution entrusted with essential social infrastructure. I talk about 'the strength social infrastructure. I talk about 'the strength of our front-line staff,' but I was able to fully of our front-line staff,' but I was able to fully appreciate just how extraordinarily strong appreciate just how extraordinarily strong SMFG and SMBC are thanks to SMFG and SMBC are thanks to this this display display of front-line commitment. of front-line commitment.\n\nMoving forward on the reconstruction of Moving forward on the reconstruction of the Tohoku region, I believe we can also the Tohoku region, I believe we can also contribute to the rebuilding of infrastructure contribute to the rebuilding of infrastructure through project finance and other t h r o u g h p r o j e c t f i n a n c e a n d o t h e r fundamental businesses of financial f u ndamental businesses of financial institutions in which we excel. institutions in which we excel.\n\nWe are now actively engaged in promoting We are now actively engaged in promoting\n\nbusiness in the Tohoku region, including business in the Tohoku region, including business matching with parties outside business matching with parties outside the region. In addition, we have a range of the region. In addition, we have a range of support activities in partnership with the Miyagi support activities in partnership with the Miyagi prefectural government and The 77 Bank, prefectural government and The 77 Bank, Ltd., which is based in Miyagi. Ltd., which is based in Miyagi.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "This report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society.\n\nWe have aimed to present the information clearly, so that readers may understand our attitude that the fulfillment of CSR is\n\nthe essence of business itself, and our initiatives act upon this.\n\nOur CSR Report 2011 (digest version), launched last fiscal year, is intended to present more concise reports of the Group's CSR activities, with a focus on specific activities of interest. To complement this, we have also posted online our CSR Report 2011 (digest version, with examples of activities and statistical performance), with more detailed information on CSR activities and statistical data omitted in the CSR Report 2011 (digest version).\n\nWe disclose the full range of our CSR activities as a Group on our website in the official-use version of our CSR Report (in Japanese only). It is recommended that you read it in combination with the above two digest versions in order to understand our CSR and other activities in greater detail.\n\nFrom the current fiscal year, we are including third-party opinions in the website version.\n\n## Scope of this Report\n\n - GLYPH<129> Sumitomo Mitsui Financial Group, Inc.\n - GLYPH<129> Sumitomo Mitsui Banking Corporation\n - GLYPH<129> SMFG Card & Credit, Inc.\n - GLYPH<129> Sumitomo Mitsui Card Company, Limited\n - GLYPH<129> Cedyna Financial Corporation\n - GLYPH<129> Sumitomo Mitsui Finance and Leasing Co., Ltd.\n - GLYPH<129> The Japan Research Institute, Limited\n - GLYPH<129> SMBC Friend Securities Co., Ltd.\n - GLYPH<129> SMBC Nikko Securities Inc.\n - GLYPH<129> THE MINATO BANK, LTD.\n - GLYPH<129> Kansai Urban Banking Corporation\n - GLYPH<129> Other Group companies\n\n## Company name abbreviations and other special terminology\n\nThroughout this report, 'Sumitomo Mitsui Financial Group' or 'SMFG' refers to the holding company alone. 'The SMFG Group' refers to the holding company and its primary domestic and international subsidiaries and affiliates.\n\n## Reference guidelines\n\nGlobal Reporting Initiative (GRI) Sustainability Reporting Guidelines 2006 (G3)\n\n - * Global Reporting Initiative (GRI): Established as an international standard for sustainability reporting, compilers set up an international organization (GRI) in 1997 to encourage its adoption worldwide.\n\n## About this Report\n\nPeriod Covered\n\nPublication Date of Japanese Document\n\nContact\n\n - ： April 1, 2010 to March 31, 2011 ( 'Fiscal 2010' )\n - ： December 2011\n - ：\n\nNote: Certain items in this report refer to activities taking place after April 2011.\n\n - Group CSR Department, Sumitomo Mitsui Financial Group, Inc. 1-2 Marunouchi 1-chome, Chiyoda-ku, Tokyo 100-0005 TEL: +81-3-3282-8111", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "measures in the measures in the areas areas of food and o f f o o d a n d farming being taken farming being taken by the loan applicant, by the loan applicant, and drafts a simple and drafts a simple 'diagnosis' stating 'diagnosis' stating whether there is room whether there is room\n\n\n\nfor future improvement. Ernst & Young for future improvement. Ernst & Young ShinNihon LLC provides expert opinions on ShinNihon LLC provides expert opinions on ongoing improvement of this system. ongoing improvement of this system.\n\nBy backing customer companies' own By backing customer companies' own initiatives in the areas of food and agriculture initiatives in the areas of food and agriculture in this way, SMBC will be supporting measures in this way, SMBC will be supporting measures to improve the diet of the Japanese and to improve the diet of the Japanese and strengthen the agriculture and fisheries sector. strengthen the agriculture and fisheries sector.\n\n\n\n\n\n## Making banking a more pleasant experience for all customers\n\nWith the old-age dependency ratio soaring, With the old-age dependency ratio soaring, the SMFG Group aims to provide friendly, the SMFG Group aims to provide friendly, easy-to-use banking services for all its easy-to-use banking services for all its customers. customers.\n\nSome Group companies are likewise making Some Group companies are likewise making their facilities barrier-free at bank branches their facilities barrier-free at bank branches with large numbers of customers, to tailor with large numbers of customers, to tailor services to the needs of all customers. services to the needs of all customers.\n\nFor example at the Minato Bank, we have For example at the Minato Bank, we have equipped all ATMs at all our branches and equipped all ATMs at all our branches and cashpoints with voice-guidance handsets for cashpoints with voice-guidance handsets for the visually impaired. the visually impaired.\n\nIn addition, we have set up priority seating In addition, we have set up priority seating in the lobby of each of our branches for in the lobby of each of our branches for customers who are very old or who have customers who are very old or who have mobility problems. We are also steadily mobility problems. We are also steadily introducing queue-number displays using introducing queue-number displays using Color Universal Design (CUD) principles, Color Universal Design (CUD) principles, which are easier to read for customers with which are easier to read for customers with eyesight concerns. eyesight concerns.\n\nHandheld hearing support device (The Minato Bank)\n\n\n\nNew queue-number display system installed at bank counters\n\nColors and special designs are used to make queue-number displays more visible to all customers (The Minato Bank)\n\nA further measure is installation of handheld A further measure is installation of handheld hearing support devices at all branches hearing support devices at all branches (except housing loan promotion offices), to (except housing loan promotion offices), to allay the concerns of hearing-impaired allay the concerns of hearing-impaired customers who find it difficult to converse customers who find it difficult to converse and follow spoken instructions. By using the and follow spoken instructions. By using the devices as communication tools, bank devices as communication tools, bank employees can respect customer privacy employees can respect customer privacy and do not have to talk loudly. and do not have to talk loudly.", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Item 11. EXECUTIVE COMPENSATION\n\nInformation for the year ended October 25, 2003, commencing with \"Summary Compensation Table\" on page 12 through page 15 and \"Compensation of Directors\" on page 5 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS\n\nInformation for the year ended October 25, 2003, under \"Principal Stockholders\" and \"Security Ownership of Management\" on pages 7 through 9 and information under \"Equity Compensation Plan Information\" on page 15 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS\n\nInformation under \"Other Information Relating to Directors, Nominees, and Executive Officers\" for the year ended October 25, 2003, as set forth on page 17 of the definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## Item 14. PRINCIPAL ACCOUNTING FEES AND SERVICES\n\nThe information under the \"Audit Committee Report and Ratification of Appointment of Auditors-Audit Fees\" through \"-Audit Committee Preapproval Policies and Procedures\" on page 7 of the Company's definitive proxy statement for the Annual Meeting of Stockholders to be held January 27, 2004, is incorporated herein by reference.\n\n## PART IV\n\n## Item 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES AND REPORTS ON FORM 8-K\n\n - (a) (1) and (2) The response to this portion of Item 15 is submitted as a separate section of this report.\n - (3) List of Exhibits-The response to this portion of Item 15 is submitted as a separate section of this report.\n - (b) The following reports on Form 8-K were filed during the fourth quarter:\n - Form 8-K was filed on August 1, 2003, announcing a January 24, 2004 retirement of Eric Brown, Group Vice President of Prepared Foods and member of the Board of Directors.\n\nForm 8-K was furnished on August 21, 2003, disclosing the issuance of the Company's earnings release for the third quarter ended July 26, 2003.\n\n - Form 8-K was filed on October 7, 2003, announcing union workers from five of the Company's production facilities voted to ratify a new four-year labor contract.\n\nForm 8-K was filed on October 23, 2003, announcing the Company entered into an unsecured 3-year revolving credit facility in the amount of $150,000,000, which replaced an existing $150,000,000 credit facility entered into on October 25, 2001.\n\n - (c) The response to this portion of Item 15 is submitted as a separate section of this report.\n - (d) The response to this portion of Item 15 is submitted as a separate section of this report.\n\n## SIGNATURES\n\nPursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.\n\n## HORMEL FOODS CORPORATION\n\nBy: /s/ JOEL W. JOHNSON\n\nJOEL W. JOHNSON Chairman of the Board,\n\nPresident and Chief Executive Officer\n\nDate: January 23, 2004", - "page_start": 9, - "page_end": 9, - "source_file": "NYSE_HRL_2004.pdf" - }, - { - "text": "Miyata : : When I think about what the W hen I think about what the SMFG Group can do, through its core SMFG Group can do, through its core financial operations, to help a society that financial operations, to help a society that is living longer with a falling birthrate, is living longer with a falling birthrate, I think we can help people plan for the I think we can help people plan for the future, help them put a certain amount f uture, help them put a certain amount aside for later. If this kind of service works aside for later. If this kind of service works well in Japan, I think we might be able to well in Japan, I think we might be able to help China and Thailand too, where the help China and Thailand too, where the same problem - a shrinking, aging same problem - a shrinking, aging population - is population - is brewing. brewing.\n\nFinancial services: A strong helping hand for environmental businesses leads to sustainable development based on Japanese technologies\n\n## - What are the key issues with regard to - What are the key issues with regard to environment protection, and living in environment protection, and living in harmony with nature? harmony with nature? -\n\nAndo : Environmental issues are also : Environmental issues are also important. This is a global issue. People important. This is a global issue. People living around the world should link hands living around the world should link hands and find new ways of safeguarding the and find new ways of safeguarding the environment. We need to secure stable environment. We need to secure stable supplies of energy while protecting the supplies of energy while protecting the environment. With resources, energy and environment. With resources, energy and food supplies dwindling around the world, food supplies dwindling around the world, Japan could fill quite a lot of the gaps Japan could fill quite a lot of the gaps through its world-class energy-saving t h rough its world-class energy-saving technologies, from air-conditioning to technologies, from air-conditioning to refrigeration. I think people are going to refrigeration. I think people are going to be looking to Japan for such technologies. be looking to Japan for such technologies. Kunibe : I believe that energy is the most : I believe that energy is the most important thing governing a country i mportant thing governing a country's s competitiveness and industrial strength. competitiveness and industrial strength. Certainly, the tim Certainly, the timeframe is an issue. We f ra me is an issue. We must not engage in short-termism, nor be must not engage in short-termism, nor be self-serving, but should devise energy self-serving, but should devise energy strategies for the future needs of society strategies for the future needs of society\n\n## Commitment from the Top\n\nA Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata\n\n## as a whole. as a whole.\n\nAndo : I agree. We need industry, : I a g r e e . W e n e e d i n d u s t r y , government and academia to really talk government and academia to really talk to each other and take this seriously. If to each other and take this seriously. If they t hey just butt heads, that won j u s t b u t t h e a d s , t h a t w o n' t get us t g e t u s anywhere. anywhere.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "What is the trend of flood risk in Canada in 2024?", - "target_page": 1, - "target_passage": "(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nMENU\n\n\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n## Three ways Canadian communities are reducing flood risks\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com\n\nWord Count: 281\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## EDITOR'S PICKS\n\nHave your say! Complete our 2025 Media Survey\n\n\n\nRetrain your way to a new job\n\n\n\nThe top AI-powered tech trends in 2025\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "-\n\nareas are projected to see an increase in flood event lengths of 4 days or more, particularly India and Bangladesh, for which such increases are projected in all ensemble members to some extent. Increases of 2-4 days are also projected in parts of Brazil by all ensemble members, although the magnitude and location within the country varied between members. Similar increases are projected in the region of the Horn of Africa and southern Arabian Peninsula in several members.\n\nThe HCVI calculated for 2°C global warming showed very large geographical variability (figure 7) which relates largely to differences in socio-economic factors [22]. Differences in the climate change simulated in different ensemble members leads to some variation in the HCVI at\n\nHadGEM2-ES\n\n\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed11.pdf" - }, - { - "text": "\n\n\n\nMENU\n\n\n\n\n\nRADIO\n\n\n\n\n\n## EDITOR'S PICKS\n\n\n\nHave your say! Complete our 2025 Media Survey\n\n\n\n\n\nRetrain your way to a new job\n\n\n\nThe top AI-powered tech trends in 2025\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\n\n\n\n\n\n\n\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "Figure 1. Hunger and Climate Vulnerability Index for 1981-2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n\n\nTable 2. Proxies for /flood and drought events used in the HCVI.\n\n| extreme weather event | description of proxy |\n|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| average length of /flood events | number of days in which the cumulative daily rainfall excess is positive, compared with the 95th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n| average length of drought events | number of days in which the cumulative daily rainfall de/ficit is positive, compared with the 20th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "Figure 13. Global mean percentage changes relative to 1981-2010 in ( a ) precipitation over land, ( b )meanrun-o/ff/flows,( c )low run-o/ff lows (10th percentile), at 2 ° Cand1.5 ° C global warming.\n\n\n\nthis comparison of the number of 'unprecedented' HCVI values at 1.5°C and 2°C should be treated with caution. Nevertheless, the finding that some countries see HCVI values higher at either or both 1.5°C and 2°C compared to the baseline may indicate that climate change has the potential to lead to unprecedented levels of vulnerability to food insecurity in some countries. More robustly, it can be concluded that by this metric, overall worldwide vulnerability to food insecurity generally increases with global warming, and for approximately three-quarters of countries assessed, this increase is larger at 2°C than 1.5°C.\n\nIn the ensemble mean, changes in mean, low and high flows are generally larger at 2°C global warming compared to 1.5°C (figure 20). This is often the case for both increases and decreases in flows-increasing the level of global warming magnifies the pattern of river flow changes, although not in all cases.\n\nThe range of projected mean run-off changes is larger for 2°C than 1.5°C in many basins, but this was not always the case, with many basins showing similar or smaller ranges at 2°C compared with 1.5°. Moreover, the ranges overlap substantially, so in terms of the set of", - "page_start": 18, - "page_end": 18, - "source_file": "pubmed11.pdf" - }, - { - "text": "IPSL-CM5A-LR\n\n\n\nGFDL-ESM2M\n\n\n\nIPSL-CM5A-MR\n\n\n\nMIROC-ESM-CHEM\n\nACCESS1-0\n\n\n\n\n\nFigure 5. Simulated changes in the annual maximum rainfall over 5 days relative to 1981-2010, at 2 ° C global warming, for individual HadGEM3 simulations driven by SSTs and SICs from di/fferent members of the CMIP5 ensemble, and the ensemble mean. The labels above each panel identify the driving CMIP5 model (or ensemble mean).\n\n\n\n2°C, although the geographical variation is still dominated by the non-climatic factors (figure 7). Therefore, the ensemble-mean change is a reasonable guide to the results.\n\nThe ensemble mean is higher in nearly all assessed countries relative to the baseline (figure 8). The greatest increase was in Oman, followed by India, Bangladesh and Saudi Arabia, then Brazil and a number of its neighbouring countries. Smaller increases in HCVI were seen across Africa. Southeastern Africa showed larger increases than Central Africa. The HCVI decreased in three countries: Mali, Burkino Faso and Sudan.\n\nThe ensemble members showed broadly consistent changes in HCVI at 2°C global warming, with increases in most assessed countries and generally similar sets of countries experiencing the largest and smallest changes. Southeastern Africa consistently showed larger increases in HCVI than Central Africa, due to increased length of drought events projected in all ensemble members (not shown). The length of flood events was not projected to increase in this region. The Sahel region consistently showed one or more countries with a small decrease in the HCVI, although the precise country or countries varied between ensemble members. The decrease in HCVI here was due to projected decreases in length of drought, with length of flood events projected to change little.\n\nIndia is projected to see increased HCVI by all ensemble members, due to a consistent increase in length of flood events projected in all members, outweighing the beneficial impact of decreased length of drought which is again projected in all members.\n\nBrazil is projected to see increased HCVI, but for reasons which vary between ensemble members. Although the location of projected longer flood events varies across the country in different members, the aggregation of the HCVI to the country level renders this geographical variability irrelevant for such a large country because only the median value across the country is used in the HCVI. Some ensemble members project longer drought for Brazil, which again contributed to increased HCVI.\n\n\n\nHadGEM2-ES\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed11.pdf" - }, - { - "text": "rsta.royalsocietypublishing.org\n\n## Research\n\n\n\n\n\nCite this article: Betts RA et al . 2018 Changes in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° Cand2 ° C global warming with a higher-resolution global climate model. Phil. Trans. R. Soc. A 376 : 20160452.\n\nhttp://dx.doi.org/10.1098/rsta.2016.0452\n\nAccepted:13February2018\n\nOne contribution of 20 to a theme issue 'The Paris Agreement: understanding the physical and social challenges for a warming world of 1.5 ° C above pre-industrial levels'.\n\n## Subject Areas:\n\nclimatology, hydrology\n\n## Keywords:\n\n1.5 ° C, Paris Agreement, 2 ° C, global climate impacts, water resources, terrestrial ecosystems\n\n## Author for correspondence:\n\nRichard A. Betts\n\ne-mail: richard.betts@meto/ffice.gov.uk\n\n\n\nChanges in climate extremes, fresh water availability and vulnerability to food insecurity projected at 1.5 ° C and 2 ° C global warming with a higher-resolution global climate model\n\nRichard A. Betts 1,2 , Lorenzo Al/fieri 3 , Catherine Bradshaw 2 ,JohnCaesar 2 ,LucFeyen 3 ,Pierre Friedlingstein 4 , Laila Gohar 2 , Aristeidis Koutroulis 5 , Kirsty Lewis 2 , Catherine Morfopoulos 1 , Lamprini Papadimitriou 5,6 ,KatyJ.Richardson 2 , Ioannis Tsanis 5 and Klaus Wyser 7\n\n7 Rossby Centre, SMHI, 601 76 Norrköping, Sweden\n\n\n\n- RAB, 0000-0002-4929-0307\n\nWe projected changes in weather extremes, hydrological impacts and vulnerability to food insecurity at global warming of 1.5°C and 2°C relative to pre-industrial, using a new global atmospheric general circulation model HadGEM3A-GA3.0 driven by patterns of sea-surface temperatures and sea ice from selected members of the 5th Coupled\n\n2018 The Authors. Published by the Royal Society under the terms of the Creative Commons Attribution License http://creativecommons.org/licenses/ by/4.0/, which permits unrestricted use, provided the original author and source are credited.", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed11.pdf" - }, - { - "text": "## For the years ended December 31,\n\n| | 2013 | 2012 | $ change | % change |\n|--------------------------|---------|---------|------------|------------|\n| Halifax | $30,093 | $30,052 | $41 | 0.1% |\n| moncton | 6,652 | 6,724 | (72) | (1.1)% |\n| Fredericton | 6,978 | 7,163 | (185) | (2.6)% |\n| saint John | 3,997 | 4,654 | (657) | (14.1)% |\n| ontario | 4,470 | 4,278 | 192 | 4.5% |\n| st. John's | 4,705 | 4,502 | 203 | 4.5% |\n| Charlottetown | 3,722 | 3,979 | (257) | (6.5)% |\n| Other Atlantic locations | 2,359 | 2,264 | 95 | 4.2% |\n| | $62,976 | $63,616 | $(640) | (1.0)% |\n\nHalifax's NOI was generally flat in 2013 as higher rental revenue was offset by increased utility expenses. The highest same store NOI growth for the year was achieved at properties located in the St. John's and Ontario markets, posting gains of 4.5% in each region. These markets were not impacted by higher natural gas costs and have experienced strong revenue growth year-over-year.\n\nSaint John was Killam's softest market with higher vacancy rates driving the 14.1% decline in NOI in 2013 compared to 2012. The decline in overall 2013 occupancy in Charlottetown compared to 2012 resulted in decreased NOI of 6.5%.\n\nFredericton and Moncton both recorded negative NOI growth, 1.1% and 2.6%, respectively, for the year due to higher vacancy in 2013 compared to 2012, partially offset by positive rental rate growth in each region.\n\nOther Atlantic locations include seven properties in other cities in Atlantic Canada. These properties realized NOI growth in 2013 due to rental rate increases, lower vacancy and minimal operating expense growth as they are not heated with natural gas.", - "page_start": 38, - "page_end": 38, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## INDUSTRY TRENDS\n\nThe telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\n\n## CHANGING TECHNOLOGIES AND CONSUMER DEMANDS\n\nConsumer demand for mobile devices, digital media and on-demand content across platforms is pushing providers to build networks that can provide more data faster, cheaper and more easily. Increased adoption of smartphones and double digit growth in our data revenue continued this year, reflecting expanded use of applications, mobile video, messaging and other wireless data.\n\n## COMPETITION\n\nCompetition in wireless from national and regional operators as well as smaller new entrants changes how we compete for wireless services. This puts downward pressure on pricing affecting profit margins and impacts customer churn.\n\nTraditional wireline telephone and television services are now offered over the Internet, opening the door to more non-traditional competitors, and changing how traditional providers compete. This is changing the mix of packages and pricing that service providers offer, affecting profit margins and customer churn.\n\n## WIRELE SS TREND S\n\nMore sophisticated wireless networks, devices and applications are making it easier and faster to receive data, driving growth in wireless data services.\n\nWireless providers are investing in the next generation of broadband wireless data networks, such as LTE, to support the growing data demand.\n\nWireless market penetration in Canada is approximately 80 % of the population, and is expected to grow at an estimated 2 % annually.\n\nThe new CRTC code of conduct has limited wireless term contracts to two years from three years. Although the code of conduct has only been in place for a month, we believe this is currently reducing churn and slowing growth in the wireless marketplace.\n\n## CABLE TREND S\n\nYounger generations are increasingly using the Internet and social media as a substitute for traditional wireline telephone services, and televised content is increasingly available online, both on wireline and on wireless devices.\n\nWe face new competition from companies like Skype and Vonage, who market Voice over Internet Protocol (VoIP) telephony services, and Netflix and Apple TV, who provide televised content over the Internet.\n\nNorth American cable companies are improving their cable networks and expanding their service offerings to include Internet, digital cable and VoIP telephony services, while competition from telco IPTV deployments and non-facilities based service providers continues to cause pricing pressures which negatively impacts revenue growth.\n\nIn the media industry, there continues to be a shift towards on-line media consumption by consumers which in turn drives advertisers to spend more on-line versus traditional media. In addition, there are more media competitors as additional on-line media companies enter the market, including large global companies.\n\n## REGULATION\n\nMost areas of our business are highly regulated, which affects who we compete with, the programming we can offer, where and how we use our networks, how we build our businesses and the spectrum we purchase. The telecommunications industry is being affected by more regulation and more reviews of the current regulations.\n\n## ECONOMIC CONDITIONS\n\nOur businesses are affected by general economic conditions and consumer confidence and spending, especially in our Media segment, where advertising revenue is directly affected by the economy.\n\n## BU S INE SS S OLUTION S TREND S\n\nCompanies are using fibre-based access and cloud computing to capture and share information in more volume and detail. This, combined with the rise of multimedia and Internet-based applications, is driving exponential growth in data demand.", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Figure 11. Distributions of changes in run-o/ff for low /flows (/flows for lowest 10% of time) simulated by the JULES ecosystemhydrology model under the ensemble of six climate projections at 1.5 ° C(blue)and2 ° C (orange) global warming. Boxes show the 25th and 75th percentile changes, whiskers show the range, circles show the four projections that do not de/fine the ends of the range, and crosses show the ensemble means. Numbers in square brackets show the ensemble-mean /flow in the baseline, in millimetres of rain equivalent.\n\n\n\nTable 6. Global mean changes at 1.5 ° C global warming compared to present day for individual ensemble members, for the ClimPACT indices, the /flood and drought proxies used as input to the HCVI calculations, and percentage change in mean precipitation (Pmean), mean run-o/ff (Rmean) and low run-o/ff (Rlow).", - "page_start": 16, - "page_end": 16, - "source_file": "pubmed11.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How flooding was prevented in Vancouver? ", - "target_page": 1, - "target_passage": "In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown’s east side, an area historically prone to flooding. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nMENU\n\n\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n## Three ways Canadian communities are reducing flood risks\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com\n\nWord Count: 281\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## EDITOR'S PICKS\n\nHave your say! Complete our 2025 Media Survey\n\n\n\nRetrain your way to a new job\n\n\n\nThe top AI-powered tech trends in 2025\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nbreakwater will be an over capping type, which interrupts the waves progress, but does not totally protect from wave penetration. These events are manageable and estimated as a once in 50 years possibility.\n\nThe breakwater core will be used as a construction causeway allowing land based equipment to perform the work. The greater part of the breakwater work involves winning the material as opposed to actual construction.\n\n## E. CYCLONE MOORINGS.\n\nThe extent of the cyclone problem in Australia's north and north west was emphasised when Cyclone Tracey struck Darwin in 1974. The most powerful cyclone to cross the Australian coast was Cyclone Vance in 1999, which passed near Dampier, destroying large parts of the towns of Onslow and Exmouth further to the south.\n\nThe problem is acute, particularly in the area between Exmouth and Port Hedland, which suffers cyclones of an intensity and frequency as high as anywhere in the world. The Mermaid Base is typically on cyclone alert three times per season. The season is November to April.\n\nTo date there have been three options available to vessel owners when a cyclone approaches:.\n\n - · Run to sea\n - · Take refuge with crew onboard, on a mooring in the most sheltered location available such as the Dampier Archipelago or the Monte Bello Islands.\n - · Construct a cyclone shelter.\n\nThere are serious personal safety and environmental considerations related to Options 1 and 2 and it is obvious that best practice universally adopted by large responsible Companies can be satisfied in this way.\n\nOnly Woodside at Dampier and BHP at Port Hedand have taken the step of building shelters which provides protection to 12 of the region's 60 vessels and this at very considerable cost.\n\nMermaid has undertaken significant engineering work on the placing of vessels on partially sheltered spread moorings, allowing the vessels to be secured near to shore and the crews demobilized to take care of their families and attend to household cyclone preparation.\n\nMermaid is taking a leadership role with a technical solution which will lead to wider adoption as vessel owners and the insurance industry fully value the arrangements. Mermaid will provide\n\n", - "page_start": 15, - "page_end": 15, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## NAVWEPS CID-8OT-80 STABILITY AND CONTROL\n\n## EFFECT OF DlilEDRAL\n\n\n\n## EFFECT OF SWEEPBACK\n\n\n\n## CONTRIBUTION OF VERTICAL TAIL\n\nFigure 4.28. Contribution of Components to Lateral Stability\n\n", - "page_start": 314, - "page_end": 314, - "source_file": "00-80T-80.pdf" - }, - { - "text": "threaten their conservation status. To support this, data collection on by-catch for all sensitive species needs to be stepped up.\n\nIn addition, fisheries-management measures must be established in all marine protected areas according to clearly defined conservation objectives and on the basis of the best available scientific advice.\n\n## 2.2.7. Restoring freshwater ecosystems\n\nThe EU's legal framework on water is ambitious but implementation is lagging behind and enforcement must be stepped up 46 . Greater efforts are needed to restore freshwater ecosystems and the natural functions of rivers in order to achieve the objectives of the Water Framework Directive. This can be done by removing or adjusting barriers that prevent the passage of migrating fish and improving the flow of water and sediments. To help make this a reality, at least 25,000 km of rivers will be restored into free-flowing rivers by 2030 47 through the removal of primarily obsolete barriers and the restoration of floodplains and wetlands. Technical guidance and support to the Member States to identify sites and help mobilise funding will be provided by the Commission in 2021, in consultation with all relevant authorities 48 . Member State authorities should review water abstraction and impoundment permits to implement ecological flows in order to achieve good status or potential of all surface waters and good status of all groundwater by 2027 at the latest, as required by the Water Framework Directive 49 . To that effect, the Commission will provide technical support to Member States on their measures by 2023.\n\nOverall, large-scale river and floodplain restoration investments 50 can provide a major economic boost for the restoration sector and for local socioeconomic activities such as tourism and recreation. At the same time, these investments can improve water regulation, flood protection, nursery habitats for fish, and the removal of nutrient pollution.\n\n## 2.2.8. Greening urban and peri-urban areas\n\nGreen urban spaces , from parks and gardens to green roofs and urban farms, provide a wide range of benefits for people. They also provide opportunities for businesses and a refuge for nature. They reduce air, water and noise pollution, provide protection from flooding, droughts and heat waves, and maintain a connection between humans and nature 51 .\n\nThe recent lockdowns due to the COVID-19 pandemic have shown us the value of green urban spaces for our physical and mental wellbeing . While protection of some urban", - "page_start": 12, - "page_end": 12, - "source_file": "legal5_eubiodiversity_cc4.pdf" - }, - { - "text": "## OPERATIONS REVIEW\n\nThe foreshore of King Bay will be redeveloped as part of the Mermaid Marine Dampier Base Expansion works.\n\n\n\nleased facilities to seven third party vessels and protection for three of our own vessels using this technique by the cyclone season in 2001.\n\nAs more vessels seek protection, additional breakwaters can be constructed and sea room dredged. Each mooring involves a pattern of pin piles drilled into the granite sea floor with four vessel specific mooring lines secured to special attachment points on the vessel.\n\nMany smaller vessels including Mermaid's will be lifted from the water and tied down on purpose built cradles for cyclones.\n\n## F. ONSHORE LAND RECLAMATION.\n\nLike our neighbours, much of the Mermaid site is below the prescribed storm surge level, or needs some degree of earthworks to maximize its value. Currently 8 of the 17 ha of the area is suitable for development in its present state.\n\nThe spoil produced from dredging will allow Mermaid to achieve full utilization of the site at a fraction of the cost of importing fill from elsewhere.\n\nConsiderable effort has gone into anticipating the future direction of the Base. Planning services such as traffic flows, land allocation and security, as well as fulfilling the many and complex regulatory requirements related to health, safety, quarantine, environmental management, dust, dangerous goods and hazchem materials have been the subject of considerable study prior to this implementation stage.\n\n13\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "·\n\n·\n\n·\n\n## OPERATIONS REVIEW\n\nA slipway initially capable of receiving vessels up to 2,700 tonnes capacity will handle most of the 60 vessels currently working in the region, a considerable number, but one which will rise over coming years. First class engineering facilities have been planned and highly experienced management recruited. Alternative slipways offering comparable capacity are only to be found in Darwin or Fremantle, a sea journey of approximately 1000 miles from this operational region. Australia has emerged as a centre of excellence with respect to vessel repair work, the Dampier facility will both benefit from and protect that valuable reputation.\n\nRehabilitated land for buildings and storage will finally extend over 17 hectares. The major oilfield services company Halliburton, have been attracted to the base as a tenant and a $1.1m purpose built building is being constructed for their use. Negotiations are also proceeding with other groups who recognise the unique advantages of operating from this strategically positioned Base. Rental income and associated revenues such as plant and labour hire will contribute significantly to the overall economics of the facility.\n\nProtected moorings for cyclone shelter will be established inside the breakwater for long term lease to local tug operators. The demand arises from serious vessel and crew safety considerations. The Dampier Port Authority are reluctant to see the continued use of cyclone moorings in the Harbour, not only for safety reasons, but for environmental concerns as well. Oil spills are not acceptable under any circumstances and will be avoided whatever the cost. Tug owners share similar concerns, but in addition they need to remain in a position of readiness for crews and equipment to resume their important functions immediately following a cyclonic event. The number of specific purpose spread moorings, detailed on the adjacent plan will total 10 in the first phase of construction, a limit which will be assisted by an ability to remove vessels up to 100 tonnes from the water by wharf crane for tie down on cradles.\n\n\n\nConstruction of the Dampier Base commenced on the 9th October this year, with an expectation that all major elements of the project will be largely completed within 12 months.\n\nThe 'Clough Challenge' Barge Shallow Water Construction Support Barge in the East Spar Field\n\n", - "page_start": 12, - "page_end": 12, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## NAVWEPS 00-BOT-BO STABILITY AND CONTROL\n\n\n\n\n\nFigure 4.9. Contribution of Tail and Downwash Effects\n\n", - "page_start": 275, - "page_end": 275, - "source_file": "00-80T-80.pdf" - }, - { - "text": "- (a) 'flood' and 'coastal erosion' have the meanings given in section 1 of the Flood and Water Management Act 2010( h );\n - (b) 'lead local flood authority' has the meaning given in section 6(7) of that Act;\n - (c) 'risk management' has the meaning given in section 3 of that Act( i ).\n - 23. -(1) Workers engaged in essential or emergency works-\n - (a) related to-\n - (i) a generating station,\n - (ii) an electricity interconnector,\n - (iii) a district heat network as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014( j ),\n - (iv) communal heating as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014,\n - (v) automated ballast cleaning and track re-laying systems on a network, or\n - (vi) the commissioning, maintenance and repair of industrial machinery for use on a network; or\n - ( g ) Section 17A was inserted by section 1 of the Water Act 2014.", - "page_start": 39, - "page_end": 39, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "## NAVWEPS 00-801-80 STABILITY AND CONTROL\n\nEFFECT\n\nOF DOWNSPRING\n\nFigure 4.77. Tailoring Control Forces\n\n", - "page_start": 289, - "page_end": 289, - "source_file": "00-80T-80.pdf" - }, - { - "text": "Publisher's note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional a/ff.shortiliations.\n\nOpen Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons. org/licenses/by/4.0/.\n\n© The Author(s) 2024", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed4.pdf" - } - ] - }, - { - "references": { - "source_file": "news2.pdf", - "query": "How can citizens in Fredericton easily access flood risk data?", - "target_page": 1, - "target_passage": "New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nMENU\n\n\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nHome - Safety Community Affairs Finance - Insurance Editor's Picks\n\n## FRANÇAIS\n\nTrois façons dont des collectivités au Canada réduisent leurs risques d'inondation\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n## Three ways Canadian communities are reducing flood risks\n\n(NC) Communities in Canada are facing increased flood risks, with 1.5 million homes highly exposed. There are large-scale programs available across the country providing flood protection measures for communities at risk, such as Intact's Municipal Climate Resiliency Grants. This program is helping build the resilience of communities and homes through a variety of preventative actions.\n\nWetlands can reduce flood risk by absorbing large quantities of water, but they are not typically found in cities. In Vancouver, B.C., Environmental Youth Alliance and Strathcona Community Gardens created a wetland on downtown's east side, an area historically prone to flooding. Made up of natural elements like ponds and marshes, the wetland reduces the community's flood risk by catching and absorbing rainfall and runoff from surrounding surfaces.\n\nKnowing the risks is the first step to protecting homes and communities. In New Brunswick, the City of Fredericton launched a Neighbourhood Flood Risk Tool to provide easy access to online flood prevention guidance. Residents can input their addresses to see if they are at risk and learn tips to reduce the risk of flooding around their properties. The portal launched in the summer of 2023 and was viewed 27,000 times in its first year.\n\nRebate programs are a powerful motivation for homeowners to make upgrades that might otherwise be put off. In PEI, the City of Charlottetown offered rebates covering 75 per cent of eligible material and labour costs, up to a maximum of $1,000. More than 90 properties completed upgrades, including installing sump pumps, backup batteries, backwater valves, and water monitors and alarms, to better prepare them for extreme weather events.\n\nCommunities can learn more about the grant program and how to apply at intactfc.com/mcrg.\n\nwww.newscanada.com\n\nWord Count: 281\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## EDITOR'S PICKS\n\nHave your say! Complete our 2025 Media Survey\n\n\n\nRetrain your way to a new job\n\n\n\nThe top AI-powered tech trends in 2025\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "news2.pdf" - }, - { - "text": "- * Data also available for whole UK, administrative regions, devolved administrations and river basin regions. †Additional information on variability and observations available at Class A tide gauges (see http://www.ntslf.org/ data/uk-network-real-time ).\n - ‡An ensemble of regional climate model results over Europe (see http://www.euro-cordex.net ).\n - +Now included due to user request and Peer Review Panel advice.\n - ++This is not an exhaustive list and further user-requested variables will be made available subject to evaluation of models.\n\n## How can I get the information and when?\n\nAccess to the raw data, pre-prepared data and maps, headline messages and user guidance will be available through a dedicated website.\n\nA dedicated user interface will provide users with a means to download the data and produce customised visualisations. The exact nature of these outputs is still the subject of consultation with users.\n\nDetailed descriptions of the scientific basis of the projections will be available as the project progresses. For the latest information visit:\n\nhttp://ukclimateprojections.metoffice.gov.uk/24125\n\nUKCP Project Team\n\nJuly 2017", - "page_start": 3, - "page_end": 3, - "source_file": "legal1_opengouvernementlicense.pdf" - }, - { - "text": "with a project called \"Tales of Things\" to allow people to leave messages for each other (or just for the world) at the bus stops. Scanning the QR code now allows people to see not just the bus timetable, but also the notes other travelers have left on that stop, including \"what's nearby, who's waiting for whom, what number can you call for a good time. It's a cross between bus stop Facebook and digital graffiti\" , that happened thanks to the openness of the original bus stop data.\n\nThe Social Life of Data Project will study instead how particular datasets have been used, who used them, how those people are connected and what conversations happen around Open Data.\n\n## 3.3. Legal issues remain crucial\n\nProper licensing of Public data is essential. The more Open Data activities continue, the clearer this rule becomes. What distinguishes Open Data from \"mere\" transparency is reuse. Paraphrasing Eaves, until a government get the licensing issue right, Open Data cannot bring all the possible benefits in that country. If there are no guarantees that public data can be used without restriction, very little happens in practice, and when it happens it may be something against the public interest.\n\nCanadian Company Public Engines Inc, that is paid by local police departments to collect, process and analyze official crime data, also publishes online, with a proprietary license, anonymized summaries of those data. When in 2010 another company, Report See Inc, scraped those data from their website to reuse them, Public Engines sued.\n\nReporting this, D. Eaves rightly points out that both companies are right: one is trying to protect its investment, the other is simply trying to reuse what IS public data, by getting it from the ONLY place where it's available. This is what happens when public officials leave the ownership of public data to the third parties hired to collect them. Please note that, in practice, it makes very little difference whether those third parties are private, for-profit corporations or even other Public Administrations. Unless, of course, there are national laws already in place that define in advance what is the license of all present and future Public Data, no matter how they were generated and by whom , those data can be lost in any moment for society. In all other cases, the legal status of data will be either officially closed and locked, or uncertain enough to prevent most or all reuses. In February 2011, the news came that, even if they weren't the original copyright holders, Public Engines had been able to put together enough legal claims to convince Report See to give up.\n\nDisputes like this should not happen and would not happen if all contracts regarding collection and management of PSI clearly specified that all the resulting data either go directly into the public domain (after being anonymized if necessary, of course) or remain exclusive property of the", - "page_start": 12, - "page_end": 12, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "website that tracks which councils have published public toilet open data, and which have not. A map like this solves one specific, concrete problem in the ordinary, daily life of many people: \"Many older people have continence concerns and only go to places where they know there is a toilet. \"\n\nIt is also possible and useful to pass the message that, when it comes to participation, activism and transparency in politics, Open Data are a concrete and pacific weapon that is both very effective and very easy to use for everybody. Dino Amenduni explained the first point well at the end of 2010 with words and arguments that, while tightly bound to the current situation in Italy, apply, in spirit, also to other countries:\n\nin order to have your voice heard, it is necessary to threaten the private interests of politicians. The ways to achieve this goal are, in my opinion... Communication guerrilla: physical violence doesn't generate change anymore. Power is in the hands of those who have data. But those data must be communicated, made usable, fun to use, shareable, in order to give the feeling that knowledge brings a concrete (economic or intangible) personal advantage\n\nProofs that participation to generation and usage of Open Data is easy would include, instead, examples like electionleaflets. All citizens who can use a computer scanner and have Internet access can upload on that website the leaflets distributed by the candidates during a campaign, making much easier (after other, more skilled volunteers have inserted the content of the leaflets in searchable databases) comparisons between the candidates positions or making public some disrespectful material (racist, insulting…).\n\n## 4.7. Involve NGOs, charities and business associations\n\nAs a final note and recommendation of this report, we'll note that, in comparison with hackers and public officers, there are other parties that could and should play a role in Open Data adoption much bigger than what they have had so far.\n\nNGOs and charities, as well as professionals or business associations, all have lots to gain from Open Data but don't seem, in many cases, to have realized this yet. Members of the first category should routinely ask for support directly to Open Data civic hackers to gather (either from government or citizens) more up to date information that is specifically relevant for their campaigns.\n\nThe other associations, instead, should be much more active both in publishing Open Data about their activities, to gain better access to customers and guarantee fair market competition, and in", - "page_start": 31, - "page_end": 31, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "since 1996. Such growth might be manageable if the costs of handling each requests was dropping rapidly, but it has more than quadrupled.\n\nUnfortunately, alternatives like charging for access to data or cutting the budget for providing them to citizens remain very common in spite of their negative effects. According to Eaves, the first practice has already caused a reduction in the number of freedom of information requests filed by citizens, while budget cuts invariably and greatly delay processing times.\n\n## 3.2. Creative, unforeseen uses of local Open Data increase\n\nProofs that, as cited in the Open Data, Open Society report, \"Data is like soil\", that is valuable not in itself, but because of what grows on it, often in ways that the landowner couldn't imagine, continue to arrive. Here is an example from Day Two: Follow the Data, Iterating and the $1200 problem:\n\nEd Reiskin noticed a problem with street cleaning. Some trucks would go out, coming back with little or no trash depending on the day and route they took. After getting the tonnage logs, his team quickly realized that changing certain routes and reducing service on others would save money (less gas, parts, labor) and the environment (less pollution, gas consumption, water). A year later, the department realized a little over a million dollars in savings. The point? Follow the data .\n\nThe value embedded in data isn't only economical or political, but also social. Here are a few examples.\n\nAt the Amsterdam fire brigade, once a fire alarm starts, all sorts of data is collected, to maximize the probabilities to save lives and property, about the location and the route to the emergency: constructions on the way, latest updates from OpenStreetMap, the type of house and if possible more data such as construction dates, materials, people living there and so on.\n\nUsing the geographical coordinates embedded in online photo databases like Flickr, digital cartographer Eric Fischer creates maps that highlight people behavior. For example, he documented how, in Berlin, most locals tend to stay in the same neighborhoods and don't go to West Berlin or to the outskirts of the city. This information has economic value, journalist Kayser-Bril noted: \"You can then sell this for instance to businessmen who want to open a shop in Berlin for tourists, and telling them where to go and where not to go.\"\n\nNorwegian transport company Kolumbus has embedded 1,200 bus stops with barcodes in the square QR format, that can encode text or URLs. Scanning those codes with a free software application for smartphones loads a website that lists upcoming bus departure times. Later, Kolumbus partnered", - "page_start": 11, - "page_end": 11, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "decisions. Ideally, this training should be provided at a local level with local programs, in a way that makes it possible to use it on local issues, for the reasons and in the ways discussed in the next paragraph. For example, visualization techniques like those used by ABC News to show the effects of the March 2011 Japan Earthquake, in which all the user has to do to compare scenes from before and after the earthquake is to move a slider, should be routinely used to explain proposals about urban planning, zoning and related topics.\n\n## 4.6. Focus on local, specific issues to raise interest for Open Data\n\nConsidering the continuous evidence and concerns about scarce interest and preparation of citizens to use Open Data in their political, economic and professional decisions, one of the final recommendations of the Open Data, Open Society report confirms its importance and needs to be repeated: it is very effective, if not simply necessary if the goal is to generate a critical mass of citizens that demand and use Open Data in the shortest possible time, to practice all the recommendations of this report at the local level ,\n\nMost people encounter their local governments much more often then their national ones. When working within a single city or region it is much easier to inform citizens, raise their interest and involve them, because they would be searching local solutions to improve local services and/or save local money. There may also be much more opportunities to do so, especially in this period of financial crisis that will see substantial decreases both in credit by financial institutions and in subsidies from central governments. Concreteness and, as they say in marketing, \"customer focus\" must be the keys for local activists and public employees working on local Open Data:\n\n - · work on specific issues and with precise objectives\n - · focus on immediate usefulness\n - · work on demand, on the services that people want. Required services define what data must be open, not the contrary\n\nThis is the most effective, if not the only strategy, to solve one of the biggest debates in open data: \"how do we get people to use the data that we publish?\" . The right question, instead, is \"what data do people want?\". Even if citizens don't realize yet that what they actually want is more Open Data, or that what they need can be done more quickly and cheaply by releasing some information in that way.\n\nA great example of what all this means is the Great British Public Toilet Map: a public participation", - "page_start": 30, - "page_end": 30, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "- (a) 'flood' and 'coastal erosion' have the meanings given in section 1 of the Flood and Water Management Act 2010( h );\n - (b) 'lead local flood authority' has the meaning given in section 6(7) of that Act;\n - (c) 'risk management' has the meaning given in section 3 of that Act( i ).\n - 23. -(1) Workers engaged in essential or emergency works-\n - (a) related to-\n - (i) a generating station,\n - (ii) an electricity interconnector,\n - (iii) a district heat network as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014( j ),\n - (iv) communal heating as defined in regulation 2 of the Heat Network (Metering and Billing) Regulations 2014,\n - (v) automated ballast cleaning and track re-laying systems on a network, or\n - (vi) the commissioning, maintenance and repair of industrial machinery for use on a network; or\n - ( g ) Section 17A was inserted by section 1 of the Water Act 2014.", - "page_start": 39, - "page_end": 39, - "source_file": "uksi_20210582_en.pdf" - }, - { - "text": "Figure 1. Hunger and Climate Vulnerability Index for 1981-2010 climate (ensemble mean across the bias-corrected HadGEM3 ensemble).\n\n\n\nTable 2. Proxies for /flood and drought events used in the HCVI.\n\n| extreme weather event | description of proxy |\n|----------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| average length of /flood events | number of days in which the cumulative daily rainfall excess is positive, compared with the 95th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n| average length of drought events | number of days in which the cumulative daily rainfall de/ficit is positive, compared with the 20th percentile in the 1981-2010 average .......................................................................................................................................................................................................... |\n\nUN Food and Agriculture Organization, UN Development Programme and UN Population Fund [22]. The exposure component comprised proxies for the average length of flood and drought events calculated with daily precipitation data [23] (table 2). These proxies were chosen above other possible metrics as they were required to replace self-reported instances of flood and drought events used in the original HCVI, which correlate with undernutrition data at the country-level [23]. The proxies were therefore masked to only include data where a significant proportion of people live and grow crops before aggregating to country level and combining to comprise a measure of exposure [23]; nevertheless, it is recognized that precipitation data alone may not always be adequate for representing flood and drought events, so the current method is regarded as preliminary.\n\nThe impacts of projected climate change, therefore, act through changes in these quantities. In the current version of the HCVI, climate-change impacts on other quantities such as crop yield are not considered. Socio-economic factors affecting sensitivity and adaptive capacity are fixed at present-day conditions.\n\nThe ensemble-mean baseline HCVI calculated with the high-resolution bias-corrected HadGEM3 ensemble is shown in figure 1. The spatial pattern is compatible with HCVI values calculated using reanalysis data at the CMIP5 grid-scale resolution [23]; the most vulnerable regions are sub-Saharan Africa and South Asia. This higher-resolution climate data enables inclusion of additional countries which were not resolved in the lower-resolution CMIP5 data.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed11.pdf" - }, - { - "text": "officially lobbying Public Administrations to get the PSI they could use for the same purposes. As other suggestions made here, these are activities that should start at the city and regional level, first with custom-made education initiatives, then with specific data-based services. Engaging all these actors in the adoption of (local) Open Data will be one of the big challenges of the next years.\n\n## 5. Bibliography\n\nBesides those explicitly linked from the text, this report has drawn inspiration by many other resources. The most important ones are listed here, but the complete list should be much longer. We wish to thank first the authors of the works listed below and, immediately after, to all the activists, inside and outside governments worldwide, who are working on this topic.\n\n - 1. Are you prepared for the pitfalls of Gov 2.0?\n - 2. Can we use Mobile Tribes to pay for the costs of Open Data?\n - 3. Canada launches data.gc.ca - what works and what is broken\n - 4. Creative Commons and data bases: huge in 2011, what you can do\n - 5. Defining Gov 2.0 and Open Government\n - 6. How Government Data Can Improve Lives\n - 7. If you like solar, tell your utility to publish this map\n - 8. Indian corruption backlash builds after \"year of the treasure hunters\"\n - 9. Información Cívica / Just What is Civic Information?\n - 10.Is open government just about information?\n - 11.LSDI : In un click la mappa del crimine\n - 12.La casta è online: dategli la caccia!\n - 13.Linee guida UK sull'opendata\n - 14.MSc dissertation on Open Government Data in the UK\n - 15.Open Data (2): Effective Data Use .\n - 16.Open Data: quali prospettive per la pianificazione?\n - 17.Open Knowledge Foundation Blog \" Blog Archive \" Keeping Open Government Data\n - Open?\n - 18.Open data, democracy and public sector reform\n - 19.Pubblicato Camere Aperte 2011 - blog - OpenParlamento\n - 20.Reasons for not releasing data in government\n - 21.The impact of open data: first evidence", - "page_start": 32, - "page_end": 32, - "source_file": "Open_Data_Report.pdf" - }, - { - "text": "more concrete over time is damage control. In a world that produces digital data without interruption, uncontrolled and unpredictable data releases are facts of life that are very hard to predict, practically impossible to avoid and increasingly common. Opening public government data, that is providing plenty of officially verified information, becomes therefore also a damage control solution, to prevent or at least minimize damages from such uncontrolled releases. Without official Open Public Data, individual citizens, political parties or other organizations will start to process and compare (if they already aren't...) data from unofficial sources anyway, maybe from different countries. In such cases, it will be unavoidable not reach sometimes, even in good faith, wrong conclusions. This is not some theoretical possibility far in the future, as this real world example (from a comment to an Open Data discussion in an italian blog) proves:\n\n\" on the [non italian] Geonames website you can download geo-referenced data about... 47000 Italian municipalities. That worries me, because there are only 8094 of them. Besides, I grabbed a few random data about population, and I can guarantee you that not one was right. What should be done in such cases?\n\nFrom an Open Data perspective, all these recent stories have (at least) one thing in common: they suggest that, considering its current needs and problems, current societies want and need more Open Data than they already have.\n\n## 2.1. Wikileaks and the Open Data movement\n\nDuring the 2010/2011 winter the discussions around the Cablegate and other documents published by Wikileaks have, in some occasion, included hostility towards Open Data. This is a consequence of a more or less conscious mixing of the two themes, because in a very general sense, both Open Data and Wikileaks are about transparency, accountability and democracy.\n\nAs far as this study is concerned, two conclusions can be drawn from the Cablegate/Wikileaks scandal.\n\nThe first is that, in practice, it is necessary to find and equilibrium between secrecy and transparency whenever government activities are concerned. Citizens must be able to know what the state is actually doing but sometimes, be it for careful evaluation of all the alternatives or because of security, it must be possible to work behind closed doors, at least temporarily. We'll come back to this point later in this report.\n\nThe second conclusion is that, while certainly both Open Data and Wikileaks are about openness and transparency in politics, not only there are deep differences between the two ideas but, in our", - "page_start": 4, - "page_end": 4, - "source_file": "Open_Data_Report.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "In these mice, which lumbar levels were the dorsal root ganglion removed from?", - "target_page": 3, - "target_passage": "L3 to L5 DRGs were removed and postfixed for another 2 hours", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "- [47] Schmitz C, Hof PR. Design-based stereology in neuroscience. Neuroscience 2005;130:813-31.\n - [48] Schulte A, Degenbeck J, Aue A, Schindeh utte M, Schlott F, Schneider M, Monoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL. Humandorsalroot ganglia after plexus injury: either preservation or loss of the multicellular unit. bioRxiv 2023.02.06.526934.\n - [49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue A. Unbiased analysis of the dorsal root ganglion after peripheral nerve injury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN 2023;164:728-40.\n - [50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H okfelt T. Effect of peripheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\n - mouse: marked changes both in cell numbers and neuropeptide expression. Neuroscience 2001;105:249-63.\n - [51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional characterization of pulmonary neuroendocrine cells in lung development, injury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531-6.\n - [52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of GDNF in the uninjured DRG exerts analgesic effects on neuropathic pain following segmental spinal nerve ligation in mice. J Pain 2011;12: 1130-1139.\n - [53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root ganglion cells after transection of the rat sciatic nerve. J Comp Neurol 2000;422:172-80.\n - [54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons: diagnosis and prevention. J Hand Surg Eur Vol 2011;36:730-4.\n - [55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, HjerlingLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S, Ernfors P. Unbiased classification of sensory neuron types by large-scale single-cell RNA sequencing. Nat Neurosci 2015;18:145-53.\n - [56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on number and volume of dorsal root ganglion cell bodies. J Comp Neurol 1997;388:307-12.\n - [57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from a neuroma. Nature 1974;248:740-43.\n - [58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang Y, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation of MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33: 1360-73.\n - [59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons innervate most known classes of substantia gelatinosa neurons. J Neurosci 2009;29:13202-9.\n - [60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial cell line-derived neurotrophic factor normalizes neurochemical changes in injured dorsal root ganglion neurons and prevents the expression of experimental neuropathic pain. Neuroscience 2003; 121:815-24.\n - [61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan fluorescent protein (CFP) expressing cells in the retina of Thy1-CFP transgenic mice before and after optic nerve injury. Neurosci Lett 2010; 468:110-4.\n - [62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM, Adelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR. MrgprdCre lineage neurons mediate optogenetic allodynia through an emergent polysynaptic circuit. PAIN 2021;162:2120-31.\n - [63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB, Bennett DL. Using an engineered glutamate-gated chloride channel to silence sensory neurons and treat neuropathic pain at the source. Brain 2017;140:2570-85.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "## 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks postSNItrans for whole DRG analyses. In this study, tissue was extracted\n\nfrom a combination of MrgD CreERT2 ;Ai14, Th CreERT2 ;Ai14, and Calca CreERT2 ;Ai14 lines (mixed sex). 3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 2 80˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described. 67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2 ). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies ( Table 2 ) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2m m z-steps. The tissue was stored at 4˚C for ; 16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the 'spots' feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgD CreERT2 ;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small ( , 5 m m 3 ) and very large ( . 2000 m m 3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the 'small' DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD 1 nuclei (258 m m 3 ). The boundary between 'medium' and 'large' bins (400 m m 3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 m m 3 was also examined, and the results mirrored those of 'medium' and 'large' bins.\n\n## 2.7. Gene Ontology", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "\n\n\n\n## Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Cooper a , Allison M. Barry b , Paschalina Chrysostomidou a , Romane Lolignier a , Jinyi Wang a , Magdalena Redondo Canales a , Heather F. Titterton a , David L. Bennett b , Greg A. Weir a, *\n\n## Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury-induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n## 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, 57 which is a key pathological driver of neuropathic pain. 20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell 37,44 and subpopulation-specific sequencing studies. 3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury. 3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "platform to help delineate the precise cell death pathways and signaling cascades engaged (which could then be experimentally manipulated). Such studies should consider that plasticity may evolve over time. The loss of IB4 1 central terminals is transient following crush and has even been observed to reverse at longer timepoints following SNItrans. 36 These observations, in conjunction with ours of loss of neurons, raise the intriguing question of the source of such central reinnervation.\n\n## 4.4. Study limitations\n\nOur efforts focused on traumatic nerve injury paradigms owing to previous contrasting results using these robust and reproducible experimental models. We did not extend our studies to systemic neuropathy models, such as chemotherapy or diabetic neuropathy. A recent postmortem analysis reported a neuronal loss in the DRG from patients with painful diabetic peripheral neuropathy. 19 Transcriptional responses vary substantially across different nerve insults, 44 so it would be of interest to test whether neuronal loss and the subpopulation vulnerability reported in this study are common features across different types of insults.\n\nUsing multiple approaches, we assess the na¨ıve mouse L4 DRG to contain approximately 8000 neurons, consistent with a previous estimate, 67 and observed a frank loss of smalldiameter neurons following injury. However, the extent of loss observed using our semiautomated approach was less than that observed using manual techniques. 67 Two major limitations in this study may explain this discrepancy: First, owing to technical issues, the cleared DRG dataset is unpaired ipsilateral-contralateral which adds larger variability. Second, the analysis method is prone to undercounting deep nuclei. The signal-to-noise is better for superficial nuclei and smaller tissue volumes. Given the reduction in DRG volume after SNItrans, nuclei in larger contralateral DRG may be undercounted.\n\nWhile we made efforts to profile the loss of several molecularly discrete sensory neuron populations, we acknowledge that not all subtypes were profiled. Furthermore, recent single-cell RNA sequencing has given us a more granular appreciation of the heterogeneity of sensory neurons. 42 Future studies could leverage our experimental approach and new transgenic lines to characterize the loss of neurons in more detail. Such experiments may be pertinent before embarking on molecular or functional profiling of populations post-nerve injury.\n\n## 4.5. Conclusions\n\nIn sum, we have provided data from multiple complementary experimental approaches to support the hypothesis that DRG neurons are lost following nerve injury in mice. We describe a substantial loss, which is biased towards specific subpopulations and particularly present in small-diameter nonpeptidergic nociceptive neurons.\n\n## Conflict of interest statement\n\nD.L.B. has acted as a consultant in the last 2 years for AditumBio, Biogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon therapeutics, Neuvati, Olipass, Orion, Replay, SC Health Managers, Theranexus, Third Rock Ventures, and Vida Ventures on behalf of Oxford University Innovation. D.L.B. has received research funding from Lilly and Astra Zeneca, and G.A.W. has received research funding from Ono Pharmaceutical. D.L.B. has received", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A-C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations wasnot biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 1 and CGRP 1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84). 3 Wefound that early after injury (3 days post-SNItrans), nonpeptidergic (MrgD CreERT2 -expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10a CreERT2 ), peptidergic nociceptors (CalcaCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and A d -LTMRs (A d /A b -LTMR, Ntrk2 CreERT2 ;Advillin FlpO ), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n## 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection. 5 We sought to use the DRG neurons from MrgD CreERT2 ;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury ( Figs. 5A-E ). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF ( Fig. 5F ). However, in the absence of GFs, YFP 1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP 1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media ( Figs. 5D-F ). These results contrasted with experiments using neurons derived from Calca CreERT2 ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP 1 after 28 days in culture, regardless of exogenous GF addition ( Figs. 5G-L ). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n## 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\nFigure 4. Spared nerve injury induces a loss of Trpm8 1 and CGRP 1 but not myelinated DRG neurons. (A) Schematic of experimental approach. (B-D) FastBlue labelling and Trpm8-tdTom (B), Calca-YFP (C), or Thy1-CFP expression (D) 28 days after SNItrans in the L4 DRG, contralateral (top) or ipsilateral (bottom) to injury. Images are projections of optical sections at 3m mintervals through the entirety of 30m m-thick tissue sections. Scale bars 5 100 m m. (E-G) Quantification of the proportion of FB-labelled neurons also expressing Trpm8-tdTom (E), Calca-YFP (F), or Thy1-CFP (G) in L4 DRG contralateral or ipsilateral to SNItrans. Paired t tests; Trpm8-tdTom: t2 5 5.31, P 5 0.034, n 5 3mice; Calca-YFP: t3 5 4.12, P 5 0.026, n 5 4 mice; Thy1-CFP: t3 5 4.42, P 5 0.022, n 5 4 mice. * P , 0.05. CFP, cyan fluorescent protein; CGRP, calcitonin gene-related peptide; DRG, dorsal root ganglion; FB, FastBlue.\n\n\n\nby a population of small-diameter, putative cold-sensitive neurons ( Fig. 4B ), accounting for 8.3 6 0.27% of FB-labelled neurons in contralateral DRG. This decreased to 4.2 6 0.96% ipsilateral to SNItrans injury ( Fig. 4E ), indicating a partial loss of Trpm8 1 afferents. When examining peptidergic afferents, we found that 48.1 6 2.42% of FB-labelled neurons in contralateral DRG were Calca-YFP 1 , compared with 34.3 6 2.54% 4 weeks after SNItrans injury ( Figs. 4C and F ), consistent with a partial loss of CGRP 1 afferents. We used a Thy1-CFP line that demonstrates consistent expression postinjury 61 and labels a sample of medium/large diameter myelinated afferents. CFP was largely restricted to NF200 1 neurons, labelling 56% of this population.\n\nExpression was present in a heterogenous population of nociceptive (TrkA 1 ) and nonnociceptive (TrkA-) myelinated neurons (Fig. S5, http://links.lww.com/PAIN/C84). Contralateral to injury, 15.6 6 1.8% of FB-labelled neurons expressed Thy1CFP ( Figs. 4D and G ). In contrast to unmyelinated subpopulations, this proportion was higher in ipsilateral DRG following SNItrans (23.3 6 3.2%), consistent with no (or minimal) loss of Thy1-CFP-expressing afferents, accompanied by a loss of Thy1CFP-negative neurons. We did not observe significant alterations in the population distributions of the cross-sectional area of surviving, damaged Trpm8-tdTom 1 , Calca-YFP 1 , or Thy1CFP 1 DRG neurons when compared with DRG contralateral to\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed2.pdf" - }, - { - "text": "an industrial partnership grant from the BBSRC and AstraZeneca. The remaining authors have no conflicts of interest to declare.\n\nData are available on request to lead contact G.A.W.-gregory.weir@glasgow.ac.uk. Further information and requests for reagents and/or reagents used in this study should also be directed to G.A.W., and we will endeavour to fulfil these.\n\n## Acknowledgments\n\nThe authors thank Dr Mark Hoon for providing the Trpm8-Flp transgenic mouse line and Prof Andrew Todd and Dr David Hughes for their critical feedback on the manuscript. Neuron and ganglion illustrations in Figure 1 and S1 (http://links.lww.com/ PAIN/C84) were adapted from images provided by Servier Medical Art, licensed under CC BY 4.0. The research was funded by an MRC Fellowship grant awarded to GAW. (MR/T01072X/1) and a Tenovus Scotland Pilot Grant awarded to AHC and GAW (S22-17). This work was also funded by the Wellcome Trust (DPhil scholarship to AMB, 215145/Z/18/Z) and a Wellcome Investigator Grant to D.L.B. (223149/Z/21/Z), as well as the MRC (MR/ T020113/1), and with funding from the MRC and Versus Arthritis to the PAINSTORM consortium as part of the Advanced Pain Discovery Platform (MR/W002388/1). AMB further received a GTC MSDTC Scholarship.\n\n## Supplemental digital content\n\nSupplemental digital content associated with this article can be found online at http://links.lww.com/PAIN/C84.\n\n## Supplemental video content\n\nVideo content associated with this article can be found on the PAIN Web site.\n\n## Article history:\n\nReceived 14 November 2023\n\nReceived in revised form 11 April 2024\n\nAccepted 25 May 2024\n\nAvailable online 15 August 2024\n\n## References", - "page_start": 12, - "page_end": 12, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3m mintervals through the entirety of a 30m m-thick tissue section. Scale bar 5 100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov-Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov-Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; ˇ S'ıd 'ak multiple comparisons tests: ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n\n\n## 3.3. Spared nerve injury induces a loss of Trpm8 1 and calcitonin gene-related peptide 1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 1 (coldsensitive), calcitonin gene-related peptide 1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8 FlpO ; RC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2 ; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively ( Figs. 4A-D ). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were examined. Filtered count data of expressed and nondifferentially expressed genes were used as a background.\n\n## 2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgD CreERT2 ;Ai32 and Calca CreERT2 ;Ai32 mice . 1 week after dosing with tamoxifen and enzymatically digested at 37˚˚C for 80 minutes in dispase type II (4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously. 63 Mechanically dissociated cells were plated onto laminin/poly-D-lysine (R&D Systems, Minneapolis, MN) treated coverslips in complete Neurobasal Plus medium (Neurobasal Plus media supplemented with 2% (vol/vol) B27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic-antimycotic [ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth factor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, Cranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor (GDNF, PeproTech) were added to the media under some conditions. Cytosine b -D-arabinofuranoside (4 m M) was added to the media for 24 hours the day after plating to reduce the proliferation of nonneuronal cells. Media was refreshed 3 times per week thereafter. Cultures were fixed for 10 minutes at room temperature with 4% paraformaldehyde and subsequently processed by immunocytochemistry (described earlier).\n\n## 2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified, and P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7. 15 A quantitative Venn diagram was created using BioVenn. 25 All other statistical analyses were performed in Prism 10 (GraphPad Software, Inc, Boston, MA) or R using paired t tests or 1- or 2-way RM ANOVAs (repeated measures analysis of variance), where appropriate. Normality was assessed by the Shapiro-Wilk test. If the main analysis of variance effect was significant, ˇ S'ıd 'ak or Tukey multiple comparisons tests were performed. To compare population distributions of soma cross-sectional area or volume, Kolmogorov-Smirnov tests were performed.\n\n## 3. Results\n\n## 3.1. Peripheral nerve injury induces a loss of small neurons from the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve injury, we generated the Avil FlpO ;Atf3 CreERT2 ;RC::FLTG mouse line in which na¨ıve and axotomized sensory neurons were differentially labelled. In this mouse line, all neurons express tdTomato (Flp-dependent) in the na¨ıve state and switch to expressing green fluorescent protein (GFP) upon axonal damage and concurrent tamoxifen treatment (Flp- and Cre-dependent) ( Figs. 1A and B ). Following pilot experiments to optimize tamoxifen dosing regimen, this approach was both highly efficient and specific (with the caveat that it was necessary to wait for several days after nerve injury for Cre-induced GFP expression): 14 days after SNItrans surgery, GFP was expressed by 99.1 6 0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we observed GFP in only 4.6 6 0.7% of contralateral DRG neurons (Figs. S2A-D, http://links.lww.com/PAIN/C84). We then used a stereological approach to quantify the total number of neurons in L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as well as contralateral to injury. One week after SNItrans, we", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 1. SNItrans induces death of small primary afferent neurons, accompanied by a reduction in volume, not cell density, of the dorsal root ganglion. (A) Approach to differentially labelled intact afferents with tdTomato and damaged afferents with GFP after peripheral nerve injury using the Avil FlpO ;Atf3 CreERT2 ;RC:: FLTGmouseline and schematic of experimental timeline. (B) Representative image of GFP, tdTomato, and NeuN expression in an L4 DRG, 2 weeks after SNItrans. Scale bars 5 100 m m. (C and D) Stereological quantification of the total number of DRG neurons (C) or number of axotomized and intact neurons (D) in the L4 DRG 1, 2, 4, and 8 weeks after SNItrans or contralateral (contra) to injury. (C) One-way ANOVA with Tukey posttests; F 4,10 5 37.98, P , 0.001. (D) Two-way RM ANOVA; Timepoint 3 Color interaction F 4,10 5 39.04, P , 0.001, n 5 3 mice; Tukey posttests (between injured groups): † P , 0.05 vs contra, ‡ P , 0.05 vs 1-week. (E) Volume of DRG-containing cells (ie, excluding white matter tracts) following SNItrans. One-way ANOVA with Tukey posttests; F 4,10 5 21.25, P , 0.001, n 5 3. (F) Neuronal density within the DRG following SNItrans. One-way ANOVA; F 4,10 5 2.77, P 5 0.09, n 5 3. (G) Population distribution of uninjured and injured afferents by cross-sectional area, 1 and 8 weeks post-SNItrans. Kolmogorov-Smirnov tests of cumulative distributions; Uninjured: D 5 0.08, P 5 0.18; Injured: D 5 0.32, P , 0.001; n 5 310 to 427 neurons from 3 mice. * P , 0.05, ** P , 0.01, *** P , 0.001 vs contra. ANOVA, analysis of variance; DRG, dorsal root ganglion; GFP, green fluorescent protein.\n\n\n\nprotein) neurons 28 days after sham surgery or SNItrans ( Figs. 3A and B ). SNItrans, but not sham, resulted in a significant decrease (54.0 6 6.6%) in the total number of MrgD-YFP 1 neurons in L4 DRG ( Fig. 3C ).\n\nYellow fluorescent protein expression in MrgD ChR2-YFP mice is driven by the endogenous Mrgprd promotor, which has been reported to be upregulated or downregulated following axonal damage. 44,58 Such changes in promoter activity could affect the proportion of nonpeptidergic nociceptors identified by YFP expression. Therefore, to verify these findings, we used MrgD CreERT2 ;Ai32 mice and tamoxifen administration before injury, to permanently label Mrgprdexpressing afferents with ChR2-YFP ( Figs. 3D-F ). We then tested whether the proportion of cutaneous tibial afferents that were YFP 1 was altered following nerve injury. Following hindpaw FB injection, ; 15% of contralateral, FB-labelled DRG neurons expressed YFP. This was reduced to 6.0 6 1.2% 28 days after SNIcrush injury and to only 1.7 6 0.9%\n\n28 days after SNItrans ( Fig. 3G ). Uptake by uninjured YFP 1 neurons was equivalent 7 and 35 days after FB injection, demonstrating that this reduction was not because 7 days were insufficient for YFP 1 neurons to fully uptake FB (Fig. S3C, http:// links.lww.com/PAIN/C84). No significant difference in the percentage of FB-labelled YFP 1 DRG neurons between ipsilateral and contralateral DRG was observed at 7 days following SNItrans (Figs. S4A and B, http://links.lww.com/PAIN/C84), demonstrating that loss occurred after this timepoint. Analysis of the crosssectional soma area of FB-labelled, YFP 1 neurons in uninjured DRGrevealed an area of 361 6 138 m m 2 (mean 6 SD) (Fig. S4C, http://links.lww.com/PAIN/C84), which is a distribution profile matching those neurons presumed lost. Collectively, these data show that peripheral nerve injury results in a substantial loss of nonpeptidergic, Mrgprd -expressing neurons, with SNItrans (ie, an unrepaired axonal transection) resulting in an almost complete loss of this population.", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed2.pdf", - "query": "Did the researcher responsible for quantifying the cells in the dorsal root ganglion know which group each mouse belonged to?", - "target_page": 4, - "target_passage": "During all image quantification, the experimenter was blind to the experimental groups.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "platform to help delineate the precise cell death pathways and signaling cascades engaged (which could then be experimentally manipulated). Such studies should consider that plasticity may evolve over time. The loss of IB4 1 central terminals is transient following crush and has even been observed to reverse at longer timepoints following SNItrans. 36 These observations, in conjunction with ours of loss of neurons, raise the intriguing question of the source of such central reinnervation.\n\n## 4.4. Study limitations\n\nOur efforts focused on traumatic nerve injury paradigms owing to previous contrasting results using these robust and reproducible experimental models. We did not extend our studies to systemic neuropathy models, such as chemotherapy or diabetic neuropathy. A recent postmortem analysis reported a neuronal loss in the DRG from patients with painful diabetic peripheral neuropathy. 19 Transcriptional responses vary substantially across different nerve insults, 44 so it would be of interest to test whether neuronal loss and the subpopulation vulnerability reported in this study are common features across different types of insults.\n\nUsing multiple approaches, we assess the na¨ıve mouse L4 DRG to contain approximately 8000 neurons, consistent with a previous estimate, 67 and observed a frank loss of smalldiameter neurons following injury. However, the extent of loss observed using our semiautomated approach was less than that observed using manual techniques. 67 Two major limitations in this study may explain this discrepancy: First, owing to technical issues, the cleared DRG dataset is unpaired ipsilateral-contralateral which adds larger variability. Second, the analysis method is prone to undercounting deep nuclei. The signal-to-noise is better for superficial nuclei and smaller tissue volumes. Given the reduction in DRG volume after SNItrans, nuclei in larger contralateral DRG may be undercounted.\n\nWhile we made efforts to profile the loss of several molecularly discrete sensory neuron populations, we acknowledge that not all subtypes were profiled. Furthermore, recent single-cell RNA sequencing has given us a more granular appreciation of the heterogeneity of sensory neurons. 42 Future studies could leverage our experimental approach and new transgenic lines to characterize the loss of neurons in more detail. Such experiments may be pertinent before embarking on molecular or functional profiling of populations post-nerve injury.\n\n## 4.5. Conclusions\n\nIn sum, we have provided data from multiple complementary experimental approaches to support the hypothesis that DRG neurons are lost following nerve injury in mice. We describe a substantial loss, which is biased towards specific subpopulations and particularly present in small-diameter nonpeptidergic nociceptive neurons.\n\n## Conflict of interest statement\n\nD.L.B. has acted as a consultant in the last 2 years for AditumBio, Biogen, Biointervene, Combigene, LatigoBio, GSK, Ionis, Lexicon therapeutics, Neuvati, Olipass, Orion, Replay, SC Health Managers, Theranexus, Third Rock Ventures, and Vida Ventures on behalf of Oxford University Innovation. D.L.B. has received research funding from Lilly and Astra Zeneca, and G.A.W. has received research funding from Ono Pharmaceutical. D.L.B. has received", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed2.pdf" - }, - { - "text": "\n\n\n\n## Peripheral nerve injury results in a biased loss of sensory neuron subpopulations\n\nAndrew H. Cooper a , Allison M. Barry b , Paschalina Chrysostomidou a , Romane Lolignier a , Jinyi Wang a , Magdalena Redondo Canales a , Heather F. Titterton a , David L. Bennett b , Greg A. Weir a, *\n\n## Abstract\n\nThere is a rich literature describing the loss of dorsal root ganglion (DRG) neurons following peripheral axotomy, but the vulnerability of discrete subpopulations has not yet been characterised. Furthermore, the extent or even presence of neuron loss following injury has recently been challenged. In this study, we have used a range of transgenic recombinase driver mouse lines to genetically label molecularly defined subpopulations of DRG neurons and track their survival following traumatic nerve injury. We find that spared nerve injury leads to a marked loss of cells containing DRG volume and a concomitant loss of small-diameter DRG neurons. Neuron loss occurs unequally across subpopulations and is particularly prevalent in nonpeptidergic nociceptors, marked by expression of Mrgprd. We show that this subpopulation is almost entirely lost following spared nerve injury and severely depleted (by roughly 50%) following sciatic nerve crush. Finally, we used an in vitro model of DRG neuron survival to demonstrate that nonpeptidergic nociceptor loss is likely dependent on the absence of neurotrophic support. Together, these results profile the extent to which DRG neuron subpopulations can survive axotomy, with implications for our understanding of nerve injury-induced plasticity and pain.\n\nKeywords: Sensory neuron, Neuron death, Transgenic reporter line, Neuropathic pain, Nerve injury\n\n## 1. Introduction\n\nDorsal root ganglion (DRG) neurons represent a molecularly and functionally heterogeneous population. Under normal conditions, this diversity contributes to the ability of the somatosensory nervous system to detect a myriad of sensory stimuli that result in the perceptions of touch, temperature, itch, and pain. Following nerve injury, physiological changes in DRG neurons lead to hyperexcitability, 57 which is a key pathological driver of neuropathic pain. 20,63 Concomitant molecular changes in discrete subpopulations also occur, and these have recently been comprehensively described in single-cell 37,44 and subpopulation-specific sequencing studies. 3 These studies describe a transient and generalized reduction in the expression of subpopulation-specific genes following nerve injury. 3,37,44\n\nIn addition to molecular changes, there is a rich literature describing the frank loss of DRG neurons following traumatic\n\nSupplemental digital content is available for this article. Direct URL citations appear in the printed text and are provided in the HTML and PDF versions of this article on the journal's Web site (www.painjournalonline.com).\n\nCopyright © 2024 The Author(s). Published by Wolters Kluwer Health, Inc. on behalf of the International Association for the Study of Pain. This is an open access article distributed under the Creative Commons Attribution License 4.0 (CCBY), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.\n\nhttp://dx.doi.org/10.1097/j.pain.0000000000003321", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "- [47] Schmitz C, Hof PR. Design-based stereology in neuroscience. Neuroscience 2005;130:813-31.\n - [48] Schulte A, Degenbeck J, Aue A, Schindeh utte M, Schlott F, Schneider M, Monoranu CM, Bohnert M, Pham M, Antoniadis G, Blum R, Rittner HL. Humandorsalroot ganglia after plexus injury: either preservation or loss of the multicellular unit. bioRxiv 2023.02.06.526934.\n - [49] Schulte A, Lohner H, Degenbeck J, Segebarth D, Rittner HL, Blum R, Aue A. Unbiased analysis of the dorsal root ganglion after peripheral nerve injury: no neuronal loss, no gliosis, but satellite glial cell plasticity. PAIN 2023;164:728-40.\n - [50] Shi TJS, Tandrup T, Bergman E, Xu ZQD, Ulfhake B, H okfelt T. Effect of peripheral nerve injury on dorsal root ganglion neurons in the C57 BL/6J\n - mouse: marked changes both in cell numbers and neuropeptide expression. Neuroscience 2001;105:249-63.\n - [51] Song H, Yao E, Lin C, Gacayan R, Chen MH, Chuang PT. Functional characterization of pulmonary neuroendocrine cells in lung development, injury, and tumorigenesis. Proc Natl Acad Sci 2012;109:17531-6.\n - [52] Takasu K, Sakai A, Hanawa H, Shimada T, Suzuki H. Overexpression of GDNF in the uninjured DRG exerts analgesic effects on neuropathic pain following segmental spinal nerve ligation in mice. J Pain 2011;12: 1130-1139.\n - [53] Tandrup T, Woolf CJ, Coggeshall RE. Delayed loss of small dorsal root ganglion cells after transection of the rat sciatic nerve. J Comp Neurol 2000;422:172-80.\n - [54] Terenghi G, Hart A, Wiberg M. The nerve injury and the dying neurons: diagnosis and prevention. J Hand Surg Eur Vol 2011;36:730-4.\n - [55] Usoskin D, Furlan A, Islam S, Abdo H, Lonnerberg P, Lou D, HjerlingLeffler J, Haeggstrom J, Kharchenko O, Kharchenko PV, Linnarsson S, Ernfors P. Unbiased classification of sensory neuron types by large-scale single-cell RNA sequencing. Nat Neurosci 2015;18:145-53.\n - [56] Vestergaard S, Tandrup T, Jakobsen J. Effect of permanent axotomy on number and volume of dorsal root ganglion cell bodies. J Comp Neurol 1997;388:307-12.\n - [57] Wall PD, Gutnick M. Properties of afferent nerve impulses originating from a neuroma. Nature 1974;248:740-43.\n - [58] Wang C, Gu L, Ruan Y, Geng X, Xu M, Yang N, Yu L, Jiang Y, Zhu C, Yang Y, Zhou Y, Guan X, Luo W, Liu Q, Dong X, Yu G, Lan L, Tang Z. Facilitation of MrgprD by TRP-A1 promotes neuropathic pain. FASEB J 2019;33: 1360-73.\n - [59] Wang H, Zylka MJ. Mrgprd-expressing polymodal nociceptive neurons innervate most known classes of substantia gelatinosa neurons. J Neurosci 2009;29:13202-9.\n - [60] Wang R, Guo W, Ossipov MH, Vanderah TW, Porreca F, Lai J. Glial cell line-derived neurotrophic factor normalizes neurochemical changes in injured dorsal root ganglion neurons and prevents the expression of experimental neuropathic pain. Neuroscience 2003; 121:815-24.\n - [61] Wang X, Archibald ML, Stevens K, Baldridge WH, Chauhan BC. Cyan fluorescent protein (CFP) expressing cells in the retina of Thy1-CFP transgenic mice before and after optic nerve injury. Neurosci Lett 2010; 468:110-4.\n - [62] Warwick C, Cassidy C, Hachisuka J, Wright MC, Baumbauer KM, Adelman PC, Lee KH, Smith KM, Sheahan TD, Ross SE, Koerber HR. MrgprdCre lineage neurons mediate optogenetic allodynia through an emergent polysynaptic circuit. PAIN 2021;162:2120-31.\n - [63] Weir GA, Middleton SJ, Clark AJ, Daniel T, Khovanov N, McMahon SB, Bennett DL. Using an engineered glutamate-gated chloride channel to silence sensory neurons and treat neuropathic pain at the source. Brain 2017;140:2570-85.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - }, - { - "text": "injury (Fig. S6A-C, http://links.lww.com/PAIN/C84), indicating that any loss of neurons within specific neuronal subpopulations wasnot biased towards soma size. Collectively, these data show that unrepaired axonal damage to peripheral sensory neurons induces a partial loss of Trpm8 1 and CGRP 1 subpopulations, but no major loss of myelinated afferents.\n\nBased on our findings of preferential loss of nonpeptidergic nociceptors, we re-analyzed a previous population-specific transcriptomic dataset of mouse DRG neurons following nerve injury for potential upregulation of cell death pathways (Fig. S7, http://links.lww.com/PAIN/C84). 3 Wefound that early after injury (3 days post-SNItrans), nonpeptidergic (MrgD CreERT2 -expressing) neurons showed enhanced enrichment of GO terms associated with apoptosis, in contrast to a broad population of nociceptors (labelled with Scn10a CreERT2 ), peptidergic nociceptors (CalcaCreERT2 ), C-LTMRs (Th CreERT2 ), and A b -RA (rapidly adapting) and A d -LTMRs (A d /A b -LTMR, Ntrk2 CreERT2 ;Advillin FlpO ), in which there was less or no enrichment of cell death pathways. By 4 weeks, only C-LTMR and A d /A b -LTMR subtypes show any overrepresentation of cell death pathways (in the populations studied). Both injury-specific and apoptotic signatures in nonpeptidergic neurons were no longer significantly enriched, consistent with a loss of axotomized nonpeptidergic afferents by this late timepoint postinjury. These data suggest that apoptotic pathways are upregulated acutely after injury in a celltype-specific manner.\n\n## 3.4. Mrgprd dorsal root ganglion neurons are sensitive to loss in vitro\n\nEarlier studies postulated that a lack of neurotrophic support underlies neuronal loss, which is supported by the observation that exogenous GDNF treatment at the time of injury, or shortly after, rescues the loss of IB4-binding central terminals posttransection. 5 We sought to use the DRG neurons from MrgD CreERT2 ;Ai32 mice to test this postulate and establish an in vitro platform capable of probing the molecular basis of loss, with axonal transection during isolation providing a correlate for in vivo nerve injury ( Figs. 5A-E ). Twenty-four hours after plating, YFP was expressed by 16.3 6 1.3% of DRG neurons, which was reduced to 11.8 6 1.7% after 28 days of culture in the presence of exogenous GFs, NGF and GDNF ( Fig. 5F ). However, in the absence of GFs, YFP 1 neurons only accounted for 1.7 6 0.6% of neurons after 28 days, accompanied by an apparent reduction in the overall number of neurons within the culture, despite all conditions being seeded at the same initial density ( Figs. 5C and F ). YFP 1 cell loss was partially rescued by the presence of GDNF, but not NGF alone, in the culture media ( Figs. 5D-F ). These results contrasted with experiments using neurons derived from Calca CreERT2 ;Ai32 mice, in which we observed no change in the proportion of neurons that were Calca-YFP 1 after 28 days in culture, regardless of exogenous GF addition ( Figs. 5G-L ). Collectively, these data support the use of DRG cultures to probe the mechanisms underlying selective loss of sensory neurons following nerve injury and suggest a role for trophic support, particularly by GDNF signaling, in preventing the loss of nonpeptidergic nociceptors.\n\n## 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "## 4. Discussion\n\nWe present data herein to support the hypothesis that traumatic nerve injury in rodents leads to a profound loss of small-diameter DRG neurons. Taking advantage of newly\n\ndeveloped transgenic recombinase driver lines, we have shown that loss is biased across molecularly defined subpopulations. Nonpeptidergic nociceptive neurons are particularly susceptible to loss, with almost all Mrgprd 1 axotomized afferents lost following an unrepaired transection injury (SNItrans) and roughly half lost following a model which contrastingly allows for nerve regenerations (SNIcrush). Finally, we have observed that the vulnerability of Mrgprd 1 neurons extends to the in vitro setting and provide data to support the hypothesis that loss is driven by a lack of neurotrophic support following injury.\n\n## 4.1. Neuronal loss\n\nThe question of whether DRG neurons die following traumatic injury has been addressed by several groups over the last few decades. Despite contrasting findings on the extent, timing, and form that loss takes, most studies have observed frank loss of DRG neurons. 6,38,46,53 However, more recent studies using recombinase driver lines and novel machine-learning approaches have cast doubt on this consensus. 44,49 Our data strongly support the loss hypothesis and suggest that approximately 60% of axotomized afferents die within 2 weeks of SNI. The discrepancy between our findings and other recent studies may be partly explained by the sampling method used to estimate neuronal numbers. For example, Schulte et al. 49 developed a novel machine-learning approach and found no reduction in neuron density across serial sections of rat DRG following SNI, and they inferred from this that frank loss did not occur. Our results are congruous, in that we also observed no reduction in neuron density. However, we found a substantial loss in the total neuron-containing volume of injured DRG, which underlies our contrasting conclusion of frank loss. Of note, morphological volumetric analysis and MRI have also previously demonstrated volume loss in both rodent and human DRG following nerve injury. 35,65,66 These findings occur despite a major increase of nonneuronal cells in the injured DRG 30 and support the notion that the total DRG neuron number is decreased.\n\n## 4.2. Selectivity of neuron loss\n\nWhile definitively characterizing loss of molecularly defined subpopulations was challenging before the advent of recombinase driver lines, a consensus emerged that small-diameter neurons are more vulnerable to nerve injury-induced loss. 50,53 Our data support this consensus and extend it to reveal that while there is a generalized partial loss of C-fiber populations including CGRP- and Trpm8-expressing neurons, Mrgprd-expressing neurons are particularly sensitive to loss. This selective vulnerability has been hinted at previously by the stark reduction in the number of DRG neurons and their central terminals that bind IB4 and express canonical markers such as the P2X3 receptor following nerve injury. 5,8,29,36 Type 1a glomeruli are also reduced in lamina II, suggesting a structural loss of central terminals and not simply a loss of IB4-binding. 2 However, it was not clear whether these data represented phenotypic changes in nonpeptidergic nociceptors or frank loss of neurons. We describe neuron loss that is delayed (occurring . 7 days postinjury) with respect to histochemical and structural changes (occurring 15 days postinjury 2,29 ), suggesting that these changes precede and are not in themselves indicative of neuron loss.\n\nThe vulnerability of Mrgprd-expressing neurons is congruous with recent subpopulation bulk RNA-seq data, which found that", - "page_start": 9, - "page_end": 9, - "source_file": "pubmed2.pdf" - }, - { - "text": "http://dx.doi.org/10.1097/j.pain.0000000000003321\n\nnerve injury in experimental rodent models. 24,50,53,56 Some studies have suggested that neuron loss occurs in certain patient cohorts, 48,66 but this is yet to be definitively demonstrated in humans. In rodents, most studies support a preferential loss of small cells that give rise to unmyelinated fibers 53 but some contrasting studies describe the preferential loss of large cells 6 or loss of cells of all sizes. 46 Variation is evident across studies in terms of experimental species, age, type of injury, and quantification methods. 56 Shi et al. 50 used stereological counting methods to identify a 54% loss of DRG neuron number 4 weeks after 'mid-thigh' sciatic nerve transection in C57BL/6 mice. Estimates for the degree of loss following commonly used nerve injury paradigms (eg, spared nerve injury [SNI] and sciatic nerve crush) are not available and because of the neurochemical changes following injury and the loss of subpopulation marker gene expression, 5,44,50 the vulnerability of molecularly defined subpopulations has not been characterized. Moreover, more recent studies have cast doubt on the extent or even presence of DRG neuron death following nerve injury. One study which developed a deep learning approach to assess rat DRG cellular plasticity found no loss of neurons up to 2 weeks post-SNI, 49 while another observed no loss of genetically labelled damaged DRG neurons 2 months after sciatic nerve crush. 44\n\nThe issue of whether neuron loss occurs, and if so, in what subpopulations, is important. It will likely have implications for our understanding of reinnervation and functional recovery in patients. Furthermore, better insight will provide critical context for those investigating the plasticity that occurs following nerve injury and may inform therapeutic targeting of sensory neuron populations.\n\nAn expanding repertoire of transgenic recombinase driver lines now makes it possible to permanently label DRG neuron subpopulations and study their fate in rodent nerve injury paradigms. The aim of this study was to use this technology to characterize", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed2.pdf" - }, - { - "text": "Figure 2. Spared nerve crush and transection lead to a loss of small DRG neurons. (A) Approach to restrict analysis to damaged afferents: a subcutaneous injection of the tracer FB into both hindpaws labelled tibial afferents, before unilateral SNItrans or SNIcrush surgery. (B) Representative image of FB labelling and NeuN immunostaining in the L4 DRG. The image is a projection of optical sections at 3m mintervals through the entirety of a 30m m-thick tissue section. Scale bar 5 100 m m. (C and D) Quantification of the cross-sectional area of FastBlue labelled DRG neurons ipsilateral and contralateral to SNItrans (C) or SNIcrush injury (D) reveals a loss of small afferents and subsequent shift in population distribution. Kolmogorov-Smirnov tests of cumulative distributions; SNItrans: D 5 0.25, P , 0.001; n 5 183 or 191 neurons from 3 mice; SNIcrush: D 5 0.22, P , 0.001, n 5 319 or 325 neurons from 3 mice. (E) Experimental approach for whole DRG volumetric analyses after SNItrans. (F) Representative 3D rendering of TDP-43 profiles and corresponding nuclear spot profiles following Imaris-based spot detection feature. Scale bar 5 100 m m. (G) Quantification of DRG nuclear spot volume ipsilateral and contralateral to SNItrans. Kolmogorov-Smirnov tests of cumulative distribution: D 5 0.06, P , 0.001, n 5 30,206 (contra) or 32,544 (ipsi) nuclei from 4 (contra) or 5 (ipsi) mice. (H) Total number of nuclear spots, by size, per DRG. Two-way RM ANOVA; size bin 3 injury interaction: F 2,14 5 8.26, P 5 0.004; n 5 4 to 5 mice; ˇ S'ıd 'ak multiple comparisons tests: ** P , 0.01. ANOVA, analysis of variance; DRG, dorsal root ganglion; FB, FastBlue; RM, repeated measures.\n\n\n\n## 3.3. Spared nerve injury induces a loss of Trpm8 1 and calcitonin gene-related peptide 1 but not myelinated dorsal root ganglion neurons\n\nLoss restricted to nonpeptidergic nociceptors would not fully account for the degree of total neuron loss that we observed. Therefore, we studied a range of other subpopulations, both small and large in diameter, for their vulnerability to injury-\n\ninduced loss. To investigate potential loss of Trpm8 1 (coldsensitive), calcitonin gene-related peptide 1 (CGRP) (peptidergic), and myelinated subpopulations of DRG neurons following nerve injury, we applied our FB-labelling approach in Trpm8 FlpO ; RC::FLTG (FlpO-dependent tdTom expression), Calca CreERT2 ; Ai32 (Cre-dependent ChR2-YFP expression) and Thy1-CFP mice, respectively ( Figs. 4A-D ). Trpm8-tdTom was expressed", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed2.pdf" - }, - { - "text": "## 2.6. Tissue clearing and 3D volumetric analyses\n\nDorsal root ganglia were extracted from animals 4 weeks postSNItrans for whole DRG analyses. In this study, tissue was extracted\n\nfrom a combination of MrgD CreERT2 ;Ai14, Th CreERT2 ;Ai14, and Calca CreERT2 ;Ai14 lines (mixed sex). 3 One month after SNItrans, animals were transcardially perfused with sterile saline followed by a fixative containing 4% formaldehyde. Ipsilateral and contralateral L4 DRG were removed and postfixed for 24 hours on a shaker at room temperature before being washed in PBS and stored at 2 80˚C in CI-VM1 (35% dimethyl sulfoxide, 35% ethylene glycol in PBS) until clearing. Tissue clearing was then performed as previously described. 67 In brief, the tissue was exposed to a gradient of 1-propanol containing 0.3% triethylamine (30, 50, 75, 90, 95, 100, 100%) and washed in this solution at 37˚C for 24 hours. The tissue was then rehydrated in PBS and labelled with primary antibodies for 1 week at 37˚C (mouse anti-TDP43 and 2x anti-RFP, Table 2 ). The tissue was washed for 24 hours and incubated with appropriate secondary antibodies ( Table 2 ) for another week at 37˚C. The tissue was subsequently washed for 24 hours, dehydrated again in increasing concentrations of 1propanol containing 0.3% triethylamine, and mounted in benzyl alcohol with benzyl benzoate (1:2 ratio) containing 0.3% triethylamine on glass slides with silicone spacers. Imaging was performed on an Olympus spinning disk confocal microscope at 20x, with 2m m z-steps. The tissue was stored at 4˚C for ; 16 months before imaging, so only the tissue that remained transparent at this time was used for downstream analyses. Volumetric analyses were performed using Imaris using the 'spots' feature with region growth (to allow for different-sized spots), background subtraction, and point spread function elongation (standard 2 3 XY). Initial spot diameters were set based on MrgD CreERT2 ;Ai14 nuclear size (as labelled by red fluorescent protein (RFP)). Spot classification was then performed blind by adjusting the quality threshold to balance detection in superficial and deep tissue. This step was necessary due to differences in tissue quality after long-term storage. Any labelled spots in the adjacent nerve were then deleted (eg, labelled Schwann cells or debris). Count and volumetric data were then exported for analysis in R. Data were filtered for very small ( , 5 m m 3 ) and very large ( . 2000 m m 3 ) spots to further remove any debris, labelled satellite glia or doublets within the ganglia. In both cases, these filters were approximate and did not exclude the possibility that some spots correspond to either class in the final dataset. The upper limit of the 'small' DRG nuclei size category was defined as the upper bound of 32 easily identifiable MrgD 1 nuclei (258 m m 3 ). The boundary between 'medium' and 'large' bins (400 m m 3 ) was less clearly defined in the samples and was therefore set as the approximate midpoint of the volume distribution. A combined size category for all nuclei greater than 258 m m 3 was also examined, and the results mirrored those of 'medium' and 'large' bins.\n\n## 2.7. Gene Ontology", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed2.pdf" - }, - { - "text": "cell death and apoptosis with more than 10 genes were examined. Filtered count data of expressed and nondifferentially expressed genes were used as a background.\n\n## 2.8. Dorsal root ganglion culture\n\nDorsal root ganglia were dissected from MrgD CreERT2 ;Ai32 and Calca CreERT2 ;Ai32 mice . 1 week after dosing with tamoxifen and enzymatically digested at 37˚˚C for 80 minutes in dispase type II (4.7 mg/mL) plus collagenase type II (4 mg/mL) (Worthington Biochemical), as described previously. 63 Mechanically dissociated cells were plated onto laminin/poly-D-lysine (R&D Systems, Minneapolis, MN) treated coverslips in complete Neurobasal Plus medium (Neurobasal Plus media supplemented with 2% (vol/vol) B27 Plus, 1% N2, 1% Glutamax, and 1% antibiotic-antimycotic [ThermoFisher Scientific, Waltham, MA]). Mouse nerve growth factor (GF) (50 ng/mL; nerve growth factor (NGF), PeproTech, Cranbury, NJ) and 10 ng/mL glial-derived neurotrophic factor (GDNF, PeproTech) were added to the media under some conditions. Cytosine b -D-arabinofuranoside (4 m M) was added to the media for 24 hours the day after plating to reduce the proliferation of nonneuronal cells. Media was refreshed 3 times per week thereafter. Cultures were fixed for 10 minutes at room temperature with 4% paraformaldehyde and subsequently processed by immunocytochemistry (described earlier).\n\n## 2.9. Statistical analysis\n\nData are expressed as mean 6 SEM unless otherwise specified, and P values of less than 0.05 were considered significant. Power calculations were performed using G*Power 3.1.9.7. 15 A quantitative Venn diagram was created using BioVenn. 25 All other statistical analyses were performed in Prism 10 (GraphPad Software, Inc, Boston, MA) or R using paired t tests or 1- or 2-way RM ANOVAs (repeated measures analysis of variance), where appropriate. Normality was assessed by the Shapiro-Wilk test. If the main analysis of variance effect was significant, ˇ S'ıd 'ak or Tukey multiple comparisons tests were performed. To compare population distributions of soma cross-sectional area or volume, Kolmogorov-Smirnov tests were performed.\n\n## 3. Results\n\n## 3.1. Peripheral nerve injury induces a loss of small neurons from the dorsal root ganglion\n\nTo assess the gross loss of neurons from DRG following nerve injury, we generated the Avil FlpO ;Atf3 CreERT2 ;RC::FLTG mouse line in which na¨ıve and axotomized sensory neurons were differentially labelled. In this mouse line, all neurons express tdTomato (Flp-dependent) in the na¨ıve state and switch to expressing green fluorescent protein (GFP) upon axonal damage and concurrent tamoxifen treatment (Flp- and Cre-dependent) ( Figs. 1A and B ). Following pilot experiments to optimize tamoxifen dosing regimen, this approach was both highly efficient and specific (with the caveat that it was necessary to wait for several days after nerve injury for Cre-induced GFP expression): 14 days after SNItrans surgery, GFP was expressed by 99.1 6 0.6% of Atf3-expressing ipsilateral L4 DRG neurons, while we observed GFP in only 4.6 6 0.7% of contralateral DRG neurons (Figs. S2A-D, http://links.lww.com/PAIN/C84). We then used a stereological approach to quantify the total number of neurons in L4 DRG ipsilateral to injury 1, 2, 4, and 8 weeks after SNItrans, as well as contralateral to injury. One week after SNItrans, we", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed2.pdf" - }, - { - "text": "- [30] Liang Z, Hore Z, Harley P, Uchenna Stanley F, Michrowska A, Dahiya M, La Russa F, Jager SE, Villa-Hernandez S, Denk F. A transcriptional toolbox for exploring peripheral neuroimmune interactions. PAIN 2020; 161:2089-106.\n - [31] Love MI, Huber W, Anders S. Moderated estimation of fold change and dispersion for RNA-seq data with DESeq2. Genome Biol 2014;15:550.\n - [32] Madisen L, Mao T, Koch H, Zhuo J, Berenyi A, Fujisawa S, Hsu YWA, Garcia AJ, Gu X, Zanella S, Kidney J, Gu H, Mao Y, Hooks BM, Boyden ES, Buzs 'aki G, Ramirez JM, Jones AR, Svoboda K, Han X, Turner EE, Zeng H. A toolbox of Cre-dependent optogenetic transgenic mice for light-induced activation and silencing. Nat Neurosci 2012;15:793-802.\n - [33] Madisen L, Zwingman TA, Sunkin SM, Oh SW, Zariwala HA, Gu H, Ng LL, Palmiter RD, Hawrylycz MJ, Jones AR, Lein ES, Zeng H. A robust and high-throughput Cre reporting and characterization system for the whole mouse brain. Nat Neurosci 2010;13:133-40.\n - [34] McCoy ES, Taylor-Blake B, Street SE, Pribisko AL, Zheng J, Zylka MJ. Peptidergic CGRP a primary sensory neurons encode heat and itch and tonically suppress sensitivity to cold. Neuron 2013;78:138-51.\n - [35] McKay Hart A, Brannstrom T, Wiberg M, Terenghi G. Primary sensory neurons and satellite cells after peripheral axotomy in the adult rat: timecourse of cell death and elimination. Exp Brain Res 2002;142:308-18.\n - [36] Molander C, Wang H, Rivero-Meli 'an C, Grant G. Early decline and late restoration of spinal cord binding and transganglionic transport of isolectin B4 from Griffonia simplicifolia I after peripheral nerve transection or crush. Restor Neurol Neurosci 1996;10:123-33.\n - [37] Nguyen MQ, Le Pichon CE, Ryba N. Stereotyped transcriptomic transformation of somatosensory neurons in response to injury. Elife 2019;8:e49679.\n - [38] Oliveira ALR. Apoptosis of sensory neurons and satellite cells after sciatic nerve transection in C57BL/6J mice. Braz J Med Biol Res 2001;34: 375-80.\n - [39] Olson W, Abdus-Saboor I, Cui L, Burdge J, Raabe T, Ma M, Luo W. Sparse genetic tracing reveals regionally specific functional organization of mammalian nociceptors. Elife 2017;6:e29507.\n - [40] Plummer NW, Evsyukova IY, Robertson SD, de Marchena J, Tucker CJ, Jensen P. Expanding the power of recombinase-based labeling to uncover cellular diversity. Development 2015;142:4385-93.\n - [41] Prescott SA, Ratt 'e S. Pain processing by spinal microcircuits: afferent combinatorics. Curr Opin Neurobiol 2012;22:631-9.\n - [42] Qi L, Iskols M, Shi D, Reddy P, Walker C, Lezgiyeva K, Voisin T, Pawlak M, Kuchroo VK, Chiu I, Ginty DD, Sharma N. A DRG genetic toolkit reveals molecular, morphological, and functional diversity of somatosensory neuron subtypes. bioRxiv 2023.2023.04.22.537932.\n - [43] Reid AJ, Mantovani C, Shawcross SG, Terenghi G, Wiberg M. Phenotype of distinct primary sensory afferent subpopulations and caspase-3 expression following axotomy. Histochem Cell Biol 2011;136:71-8.\n - [44] Renthal W, Tochitsky I, Yang L, Cheng YC, Li E, Kawaguchi R, Geschwind DH, Woolf CJ. Transcriptional reprogramming of distinct peripheral sensory neuron subtypes after axonal injury. Neuron 2020; 108:128-44.e9.\n - [45] Schindelin J, Arganda-Carreras I, Frise E, Kaynig V, Longair M, Pietzsch T, Preibisch S, Rueden C, Saalfeld S, Schmid B, Tinevez J-Y, White DJ, Hartenstein V, Eliceiri K, Tomancak P, Cardona A. Fiji: an open-source platform for biological-image analysis. Nat Methods 2012;9:676-82.\n - [46] Schmalbruch H. Loss of sensory neurons after sciatic nerve section in the rat. Anat Rec 1987;219:323-9.\n - [47] Schmitz C, Hof PR. Design-based stereology in neuroscience. Neuroscience 2005;130:813-31.", - "page_start": 13, - "page_end": 13, - "source_file": "pubmed2.pdf" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "Does the Oxbridge Academy have a guide on how to apply to college?", - "target_page": 21, - "target_passage": "To make the college registration process easier for you, we’ve compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/).", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## TIPS FOR FILLING IN YOUR COLLEGE REGISTRATION FORM\n\nApplying for college (www.oxbridgeacademy.co.za/enrol-now/) can be a daunting experience. Not only do you need to choose a course, but you also need to make sure that you:\n\n - · meet the entry requirements\n - · meet the deadlines\n - · fill in the forms correctly\n - · send the forms to the right address\n - · include all the necessary attachments\n\nTo make the college registration process easier for you, we've compiled a comprehensive guide on how to register at Oxbridge Academy (www.oxbridgeacademy.co.za/enrol-now/). The guide also includes general tips that will be relevant to the application and registration processes at other colleges.\n\n## There are 4 steps you need to follow when you want to register as a student at Oxbridge Academy:\n\n - 1. Select Your Course\n - 2. Fill in Your Student Details\n - 3. Select Your Delivery Option\n - 4. Pay Your Registration Fee and Send in Your Form\n\n", - "page_start": 20, - "page_end": 20, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa twitter.com/oxbridgeEdu www.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offer -ing skills courses, national qualifications, and internationally recognised courses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our students' needs by recruiting industry-expert tutors to provide academic assistance via telephone and e-mail, as well as by designing our study material in such a way that it is clear, simple, and easy for our students to understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\n## CONTACT NUMBERS:\n\nTel: 021 1100 200 Tel:+2721 883 2454 (international) Fax: 086 111 2121\n\nFax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585 Email: info@oxbridgeacademy.co.za\n\nPostal Address:\n\nPO Box 12723, Die Boord, Stellenbosch, 7613\n\n\n\n\n\n\n\n\n\n\n\n\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section 31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 4 - PAY YOUR REGISTRATION FEE AND SEND IN YOUR FORM\n\nDifferent courses have different registration fees. Please check the course fees list (www.oxbridgeacademy.co.za/Documents/ Price-list-2015.pdf) to find out how much you need to pay to register for your chosen course, and pay this amount using the banking details provided at the bottom of the registration form. Remember to attach your proof of payment.\n\nIf you are under the age of 18, your parent or guardian will need to sign this section of the form to state that they are aware of your registration with Oxbridge Academy, and that they do not have any objections. If you are unemployed, you will need a guarantor to sign this section of the form. Your parent or guarantor will be held responsible if you miss any of your payments in relation to your course fees.\n\n", - "page_start": 25, - "page_end": 25, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 1 - SELECT YOUR COURSE\n\nOxbridge Academy Short Course: Marketing Management\n\nADV101\n\nBefore you start filling in the registration form, you need to choose your course. Once you've identified the course that you would like to study, remember to check that you meet the entry requirements.\n\nYou can find the course name and course code for your chosen course on the relevant detailed course information page on our website. Have a look at the example in the screenshot below (the course name and course code are circled in red):\n\n\n\nPlease make sure to check the accreditation status of your chosen course. Some of our courses are non-credit bearing skills development courses, which are neither accredited by external bodies nor registered on the NQF. Please go to our website: oxbridgeacademy.co.za for more information about our skills development courses.", - "page_start": 21, - "page_end": 21, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "3\n\n4\n\n\n\nSend your registration form to the registrations office at Oxbridge Academy via one of the following channels:\n\nFax:\n\n086 262 5550\n\nPost: PO Box 12723, Die Boord, 7613 E-mail: registrar@oxbridgeacademy.co.za\n\n6", - "page_start": 26, - "page_end": 26, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "\n\n## CHAPTER 8:\n\n## TIPS FOR COMPLETING YOUR WRITTEN ASSIGNMENTS\n\n\n\nDepending on which course you study, you will either be assessed by means of written assignments, or through a combination of written assignments and exams. Assignments not only help to deepen your understanding of the work, but they often also count toward your final mark.\n\nIt is therefore important that you put effort into your assignments, and that you complete them to the best of your ability.\n\nWe realise that, like many other students, you might be unsure of how to go about completing your assignments, or that you might be afraid of failure.\n\nIf you are an Oxbridge Academy student, we'd like you to know that we are here to help you every step of the way, and that we will give you the opportunity to resubmit your assignments if you don't achieve a pass mark the first time around.", - "page_start": 36, - "page_end": 36, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## HERE ARE 10 TIPS FOR HOW YOU CAN ACHIEVE HIGHER MARKS FOR YOUR WRITTEN ASSIGNMENTS:\n\n## 1. Read (and follow) the instructions carefully.\n\nIf you are an Oxbridge Academy student, the general assignment guidelines will be provided in your 'Success' Study Guide. Specific instructions will also be included at the beginning of each of your assignments.\n\n## 2. Read the questions carefully.\n\nMake sure you understand what is being asked of you, so that you focus on answering the right questions, instead of providing irrelevant information.\n\n## 3. Remember that presentation is important.\n\nNeatness, spelling, and the structure of your assignment will all count toward the mark that you receive for your assignment.\n\n## 4. Use your course material and other external sources to find answers to the assignment questions.\n\nBut make sure to use your own words - don't just copy. You need to show the person marking your assignment that you have developed a sound understanding of the subject.\n\n## 5. When you use external resources, remember to reference them properly, and to include them in a bibliography.\n\nIf you don't, you may be guilty of plagiarism (www.oxforddictionaries. com/definition/english/plagiarism), which is a serious offence.\n\n - 6. Always hand in your own work, and make sure that you use your own words when you formulate your answers.\n\n## 7. When it comes to essay questions:\n\n - · Plan/outline your answer before doing the final draft.\n - · Remember that essays have titles, introductions, bodies, and conclusions.\n - · Use headings and paragraphs to structure your answer.", - "page_start": 37, - "page_end": 37, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage or retrieval system, without prior permission in writing from the publisher. Subject to any applicable licensing terms and conditions in the case of electronically supplied publications, a person may engage in fair dealing with a copy of this publication for his or her personal or private use, or his or her research or private study. See Section 12(1)(a) of the Copyright Act 98 of 1978.\n\nThe authors and the publisher have made every effort to obtain permission for and to acknowledge the use of copyright material. Should any infringement of copyright have occurred, please contact the publisher, and every effort will be made to rectify omissions or errors in the event of a reprint or new edition.\n\nDeveloped for Oxbridge Academy - 2015", - "page_start": 1, - "page_end": 1, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "\n\n## CHAPTER 7:\n\n## HOW TO ASK FOR HELP FROM YOUR TUTOR\n\n\n\nAs a student, you are going to experience times when you need help with your studies. You might be unsure about an assignment question, you might be confused by a particular concept, or you might be stressed about the upcoming exams.\n\nAnd if you are studying via distance learning (www.oxbridgeacademy.co. za/distance-learning/), where you don't have any face-to-face interaction with lecturers, you will need to rely on your tutors for the necessary academic support.", - "page_start": 32, - "page_end": 32, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## STEP 2 - FILL IN YOUR STUDENT DETAILS\n\n\n\nTo complete this section, you need to provide us with your personal details:\n\n## E-mail address\n\nPlease provide a valid e-mail address that you check on a regular basis, as we'll be using this address to communicate with you throughout your studies.\n\n## Occupation\n\nRefers to your current job (if you are employed). If you are unemployed, you can simply write 'unemployed' or 'not applicable'.\n\n## Delivery address\n\nRefers to the address at which you want your study material to be delivered. The reason why we prefer you to select your work address is so that there will always be someone available to receive your study material, even if you are not there when the courier arrives.", - "page_start": 22, - "page_end": 22, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "basic-english-language-skills.PDF", - "query": "I have trouble writing effective summaries in English, do you have any tips?", - "target_page": 29, - "target_passage": "To make a good summary, you need to: • Keep it brief. • Make sure to use main headings and keywords. • Focus on the main ideas. • Classify and organise the information in a logical manner. • Use your own words where possible. • Include examples. • Remember that your summaries are there to help you", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## SUMMARIES\n\n## General Tips for Making Summaries\n\n - · Underline or highlight key points as you work through your study material, and make notes.\n - · When you come across a word or concept you don't understand, look it up in a dictionary, or do some research on the concept, and add your own definition to your summary.\n\n", - "page_start": 31, - "page_end": 31, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## SO WHAT EXACTLY IS A SUMMARY?\n\nA summary is more than just a condensed or shortened version of your work. A summary requires you to analyse your study material, to identify the key concepts, and to explain it in your own words.\n\n## To make a good summary, you need to:\n\n - · Keep it brief.\n - · Make sure to use main headings and keywords.\n - · Focus on the main ideas.\n - · Classify and organise the information in a logical manner.\n - · Use your own words where possible.\n - · Include examples.\n - · Remember that your summaries are there to help you.\n\n## YOU CAN MAKE YOUR SUMMARIES IN DIFFERENT FORMATS. HERE ARE SOME EXAMPLES:\n\n## Mind Maps (Spider Diagrams)\n\nA mind map is a visual expression of thoughts, ideas and concepts. It usually takes the form of a diagram, with the main concept in the centre, and the related concepts branching out from there. Here is an example:\n\n", - "page_start": 28, - "page_end": 28, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- 19. You cannot use a dictionary when summarising your study material.\n - 20. Plagiarism is not a serious offence.\n - 21. When writing an exam, you should always answer the questions in numerical order.\n - 22. E-mail etiquette is important in the workplace.\n - 23. Mind maps help you to understand the relationships between con -cepts.\n - 24. When you answer an essay question, you should try to include as much information as possible.\n\n## Do the following:\n\n - 25. Create a mind map to summarise Chapter 7 (How to Ask for Help from Your Tutor). (5)\n - 26. List 3 things you need to do if you want to earn good marks for your written assignments. (3)\n - 27. List 5 important things to keep in mind when writing a cover letter.\n\n(5)\n\n - 28. List 5 of the things that you should include in a resignation letter.\n\n(5)\n\n - 29. List 3 methods you can use to summarise your study material. (3)\n - 30. Give 2 examples of how good language skills can benefit your ca -reer. (2)\n - 31. Complete the following sentence:\n\nSummarising your study material gives you the opportunity to", - "page_start": 57, - "page_end": 57, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## CHAPTER 6:\n\n## LEARN HOW TO SUMMARISE YOUR STUDY MATERIAL\n\n\n\nTo be successful in your studies, you need to learn how to create meaningful summaries of your course material. This is especially important if you are a distance learning student (www.oxbridgeacademy. co.za/distance-learning/), as you won't have a teacher or lecturer to point out key concepts, or to give you tips about the types of questions you can expect in the exams.\n\n## SUMMARISING YOUR WORK GIVES YOU AN OPPORTUNITY TO:\n\n - · Organise your study material into a structure that makes sense to you.\n - · Arrange your study material into a format that suits your learning style.\n - · Create memory aids for yourself.\n - · Identify key ideas and concepts.\n - · Focus on what's important.\n - · Prepare for exams more easily.", - "page_start": 27, - "page_end": 27, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## IN THIS E-BOOK, WE'LL BE HELPING YOU TO:\n\n - · Develop your basic English language skills.\n - · Improve your English grammar.\n\nApply your language and communication skills in a business contexT. ( www.oxbridgeacademy.co.za/find-a- course/business-administrationcourses/)\n\n'Grammar is a litmus test. If job hopefuls can't distinguish between 'to' and too', their applications go into the bin'\n\nKyle Wiens, CEO of iFixit\n\n\n\n'Grammar often seems to be a low priority in education. Are school undervaluing grammar, given that employers may rule out applications with sloppy writing?'\n\nThe New York Times", - "page_start": 5, - "page_end": 5, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## To start off with, here are a few tips for improving your general language and communication skills:\n\n - 1. Read as much as possible. Reading improves your vocabulary, and helps you to become familiar with sentence structure, word order, and the correct use of punctuation.\n - 2. Invest in a good dictionary. When you are unsure of the meaning of a word, or when you come across an unfamiliar word, make sure to look it up in your dictionary.\n - 3. Keep a journal. This will give you an opportunity to practice your writing skills on a regular basis.\n\n", - "page_start": 6, - "page_end": 6, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "- 36 . Tang L, Sun Z, Idnay B, et al. Evaluating large language models on medical evidence summarization. NPJ Digit Med . 2023;6(1):158. doi:10.1038/s41746-023-00896-7\n - 37 . Goswami J, Prajapati KK, Saha A, Saha AK. Parameter-efficient fine-tuning large language model approach for hospital discharge paper summarization. Appl Soft Comput . 2024;157:111531. doi:10.1016/j.asoc.2024.111531\n - 38 . Huang KT, Mehta NH, Gupta S, See AP, Arnaout O. Evaluation of the safety, accuracy, and helpfulness of the GPT-4.0 large language model in neurosurgery. J Clin Neurosci . 2024;123:151-156. doi:10.1016/j.jocn.2024.03.021\n - 39 . Giuffrè M, Kresevic S, You K, et al. Systematic review: the use of large language models as medical chatbots in digestive diseases. Aliment Pharmacol Ther . 2024;60(2):144-166. doi:10.1111/apt.18058\n - 40 . Tailor PD, Dalvin LA, Chen JJ, et al. A comparative study of responses to retina questions from either experts, expert-edited large language models or large language models alone. Ophthalmol Sci . 2024;4(4):100485. doi:10. 1016/j.xops.2024.100485\n - 41 . Zaretsky J, Kim JM, Baskharoun S, et al. Generative artificial intelligence to transform inpatient discharge summaries to patient-friendly language and format. JAMANetwOpen . 2024;7(3):e240357. doi:10.1001/ jamanetworkopen.2024.0357\n - 42 . Zhou C, Liu P, Xu P, et al. Lima: less is more for alignment. arXiv . Preprint posted online May 18, 2023. doi:10. 48550/arXiv.2305.11206", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed8.pdf" - }, - { - "text": "- · Each paragraph should contain one main thought or idea, and there should be a logical link between each paragraph and the next.\n - · Make sure that you focus on answering the question - only include relevant information, and remember to present logical arguments in support of your answer.\n - 8. Proofread your assignment before handing it in. Tip: read your answers out loud to make sure that they sound logical.\n\n## 9. Always keep a copy or electronic backup of your assignment.\n\nThis way, you won't have to start over if your computer crashes, or\n\nredo the whole assignment if the original goes missing.\n\n - 10. When you get your assignment back from your tutor: Read through the feedback, and learn from your mistakes. This will help you to prepare for your exams (if you have to write them), as well as to help you achieve better marks in future assignments.\n\n## TYPES OF QUESTIONS THAT YOU WILL FREQUENTLY COME ACROSS IN ASSIGNMENTS\n\nIn your assignments, you will often be asked to write short paragraphs or longer essays in which you have to 'explain' a particular concept, 'identify' certain features, or 'prove' a certain point.\n\nIt's sometimes difficult to figure out exactly what these questions mean -- which is why we are providing you with the following explanations:\n\n\n\n", - "page_start": 38, - "page_end": 38, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## 8. Choose the correct word:\n\nHe asked his manager for advice/advise regarding a problem at work.\n\n## 9. Choose the correct word:\n\nThere/They're/Their going to watch a movie this weekend.\n\nChoose the most correct answer for each of the following questions:\n\n## 10. What is an adjective used for?\n\n - A -To describe a noun\n - B -To describe a verb\n - C -To replace a pronoun\n - D -None of the above\n\n## 11. When should you use a comma?\n\n - A -When you want to separate items in a list.\n - B -When you want to separate a quotation from the rest of a sentence.\n\nC\n\n - -When you are addressing someone or something directly.\n - D -All of the above.\n\n## 12. Your tutor is there to:\n\n - A -Give you the right answers when you are doing your assignments.\n - B -Help you when you get stuck with your course work.\n - C -Assist you in completing your assignments.\n - D -B and C", - "page_start": 55, - "page_end": 55, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "## 9. Use correct grammar and spelling.\n\nThis will contribute to the clarity of your answers, and will prevent the person marking your paper from having to guess what you mean.\n\n## 10. For longer questions and essay-style questions: plan your answers before you start writing.\n\nThis will help you to formulate logical arguments, as well as to structure your answers clearly. In essay questions, you will get marks for using the correct format, which includes making sure that you have an introduction, sub-headings and paragraphs, and a conclusion.\n\n## 11. Where relevant, give examples.\n\nThis will help to demonstrate that you understand the topic.\n\n## 12. If you are writing an open-book exam, keep in mind that you won't have enough time to look up all the answers.\n\nMake sure that you know your work, and that you know where to look for key information. These types of exams are more focused on testing your understanding than on testing your knowledge, which means that you need to have a thorough grasp of the work.\n\n - 13. If you have to answer multiple-choice questions, make sure that you read the questions very carefully.\n\nTry to think of the correct answer before you read through the options, as you are less likely to become confused. When in doubt, go with your first instinct. If there is more than one correct answer, go with the an -swer that appears to be most correct.\n\n - 14. If you start running out of time towards the end of the exam, write short notes as answers to each of the remaining questions, instead of trying to answer each question perfectly.\n\nThis way, you should still earn some marks for writing down the most important points.\n\n - 15. If you have time left at the end of the exam, go back and read through your answers to make sure that you are happy with them.", - "page_start": 43, - "page_end": 43, - "source_file": "basic-english-language-skills.PDF" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Is exposure to risk factors that may affect mental wellbeing at work comparable across European countries?", - "target_page": 25, - "target_passage": "The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nIn 2007, 2013 and 2020, Eurostat asked employed persons in its ad hoc surveys to the Labour Force Survey (LFS) whether they had '… exposure to risk factors that can adversely affect mental wellbeing' . 10 In 2007 and 2013, the questions covered four items (time pressure and overload of work, violence or threat of violence, harassment and bullying, other factors). In the 2020 survey, 11 'Mental well-being' was operationalised by an additional four response options, resulting in a total of eight options: 12\n\n - 1. Severe time pressure or overload of work;\n - 2. Violence or threat of violence;\n - 3. Harassment or bullying;\n - 4. Poor communication or cooperation within the organisation;\n - 5. Having to deal with difficult customers, patients, pupils etc.;\n - 6. Job insecurity;\n - 7. Lack of autonomy, or lack of influence over the work pace or work processes; and\n - 8. Another significant risk factor for mental well-being.\n\nForty-five per cent of the employed persons reported being exposed to risk factors that can adversely affect mental wellbeing. The country data vary significantly. Sweden, Greece and Luxembourg report over two-thirds such exposures, and Germany, Lithuania and Czechia one-third or less. 13", - "page_start": 24, - "page_end": 24, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 12 Eurostat: Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and factor, data here and explanatory metadata here\n - 13 It has to be noted that in 2007 and 2013 the interviews were done face-to-face. In 2020 the interviews were conducted either face-to-face or by phone, depending on the public health measures in each country. The responses were influenced by work under conditions of the pandemic.\n - 14 Eurostat: Persons reporting exposure to risk factors that can adversely affect mental well-being by sex, age and educational attainment level\n - 15 Rigó et al., 2021: Work stress on rise? Comparative analysis of trends in work stressors using the European working conditions survey\n - 16 WHO/ILO, 2021: WHO/ILO joint estimates of the work-related burden of disease and injury, 2000-2016: Global monitoring report (p. 35ff).\n - 17 Eurostat provide data for the periods before and after the NACE revision in 2008. Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2), here Filter: Full-time, 15-64 years, all NACE sectors. Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), here\n - 18 Eurostat, 2018: How many hours do Europeans work per week? Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2) - hours[lfsa\\_ewhun2], here\n - 19 Mean duration of commuting time one-way between work and home by sex and age (source: Eurofound), Here\n - 20 Eurostat definition: The atypical work distinguishes between 'evening or night work', 'Saturday or Sunday working', and 'shift work'. Data for 2020 are available but indicate a strong reduction of atypical working times, the reason is probably that sectors with a high rate of atypical working times like tourism, transport, entertainment, hotels and restaurants could not work as in previous years, and also production lines in industry, often shift work, were stopped.", - "page_start": 140, - "page_end": 140, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Figure 3: 'Exposure to risk factors adversely affecting mental wellbeing' - LFS Ad hoc survey 2020 14\n\n\n\nESENER 2019 reveals that several psychosocial risk factors are reported to be present in a significant share of establishments in the EU27, namely having to deal with difficult customers, patients and pupils (59%) and time pressure (45%).\n\nThe aspects 'Difficult clients', 'Poor communication' and 'Long working hours' are major psychosocial risks. The increase of workforce in communicative and client-oriented occupations - social work, education, tourism and entertainment, health and care - during the last 30 years adds to the conventional work with clients in service, sales and health occupations.\n\nThe next table shows the top seven EU Member states with the highest share of these risks for all sectors and for the sector 'Human health and social work activities' (HHSW).\n\nTable 1: Psychosocial risks, Top countries 'All Sectors' and 'Human health and social work' - ESENER 2019\n\nDifficult customers, patients and pupils ('clients') seem to be the most widespread psychosocial burden, with workers in Portugal, Malta and Cyprus are most exposed. In the sector HHSW, eastern European countries are much more present, Slovenia at the top, followed by Portugal, Estonia, Poland and Bulgaria.", - "page_start": 25, - "page_end": 25, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Concerning the complaints about poor communication and cooperation within the organisation, all three Nordic EU Member States are represented in the seven countries with the highest burden, together with several central European countries. This is valid for both selected groupings, 'All sectors' and 'HHSW'.\n\nRegarding long or irregular working hours , we see a mix of countries from all regions. The order of countries in the sector HHSW - a mixture of countries from the East, South and North - is probably due to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed by Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%.\n\nMany analyses of psychosocial risks include other relevant factors like decision latitude (or decision authority) and skill discretion (level of skill and creativity required on the job). In a long-term analysis of the responses to the EWCS between 1995 and 2015, the authors conclude: 15\n\n'Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was mostly driven by psychological demands. People working in lower-skilled occupations had generally higher levels of job strain and effort-reward imbalance, as well as they tend to have a steeper increase in job strain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.'\n\nAccording to this study, the differences between the skills groups are significant, below illustrated for the development of 'Psychological demands' and 'Job strain' ; for these two indicators high-skilled and low-skilled manual workers are at the top of the scale.\n\nFigure 4: Psychosocial risk factors - Differences between skill groups (Job strain)\n\n", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Some of these groups are directly addressed by European and national legislation , for example, workers with disabilities, young workers or pregnant women. For other groups of workers, for example, for women or migrant workers, the legislative protection is formulated as a general 'equal treatment' prescription, like to provide preventive measures for all groups in an enterprise (Framework Directive, Article 15 'Risk groups'), or to provide solutions that fit to the individual (Framework Directive, Art. 6.2.d.). There are some prescriptions that refer to specific preventive activities, for example, to provide written instructions in different languages for safe work with chemicals.\n\n## 3.6 Conclusions\n\nThe exposure to psychosocial risks is increasing, with mental health prevalence still emerging. Major work-related exposures have grown in the past 15 to 25 years that is, time pressure, difficult clients, longer working hours and poor communication. There is also some evidence that countries with overaverage employment in sectors like health and care or other human and client-oriented services (education, social work, tourism, entertainment) suffer from longer working hours and more mental burden. The northern countries are at the top of the countries with highest mental burden. The southern countries have a high share of specific psychosocial risks related to work in tourism and entertainment, characterised by atypical working times and issues with difficult clients.\n\n## EU-OSHA found in its ESENER 2014 data analysis: 112\n\n'Concerning the sectors, national context appears to be related to differences in psychosocial risk management in all types of organisations, although in some sectors this relationship is weak. In the agriculture, forestry and fishing sector and the sectors of mining, construction, electricity, trade, transport, and accommodation and food, the low level of psychosocial risk management is observed also in a favourable national context. An explanation for this finding might relate to the large proportion of small organisations in these sectors, which, as concluded earlier, have poorer psychosocial risk management independently of the national context.'\n\nThere is a stable block of 'conventional' physical health risks - ergonomics and risk from the work environment - and ergonomic risks that did not significantly change since 1990. It varies between 15% for exposure to smoke, fumes and dusts to over 60% for repetitive hand/arm movements. Ergonomic risks develop in two directions: 1) traditional risks stagnate in total, that is, lifting and moving heavy loads, painful or tiring positions, and shifts between sectors (from industry to transport, health and care); 2) risks of inactivity and highly repetitive hand/arm movements increase. Beside sectoral and occupational differences, it can be noted that in general higher percentages of exposed employed persons (workers and self-employed) are working in eastern and southern Member States.\n\nSince 2006 the average working time per week went down by 15 minutes for employees, and a slight reduction of most atypical - or unsocial - working times can be observed. Work intensification has emerged until 2005 but seems to stagnate since then. There are strong indications but no quantitative evidence on the extent to which working long hours, work at atypical times and probably also work with higher risks were transferred to workers in non-standard types of employment .", - "page_start": 58, - "page_end": 58, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "satisfaction, for example, Austria, Cyprus, Germany, Greece, Ireland, Hungary, the Netherlands, Portugal and Slovakia. The one negative item might also be work-related health problems, for example, for Sweden and Finland.\n\nMost countries show more extreme contradictions, that is, being in some aspects better and in others worse than average, like Estonia, Lithuania, Poland, Bulgaria, Portugal, Slovenia and Spain. Many of these countries have very low figures for work-related health problems. Contradictory but mostly negative responses (two or three fields with values under average) we find for Austria, Belgium, Croatia, France, Latvia, Lithuania, Malta, Romania, Poland, Spain and Slovenia.\n\n## 4.4 Conclusions\n\nWork accident data - fatal and non-fatal - show an impressive decline in the past 20 years, even if one takes into account the significant level of underreporting. Preventive technical and organisational safety measures and sectoral shifts were the crucial factors for this improvement. The relevance of nonfatal accidents with severe health consequences - permanent disability or more than three months' time-off period (more than 230,000) - should be recognised and further investigated.\n\nPublic health data show a significant increase in life expectancy and substantial shifts in morbidity during the past three decades at EU level, also documenting major differences between EU Member States in mortality and morbidity. Socioeconomic inequality is an evident reason for higher mortality and morbidity. There is less evidence concerning the correlation between working conditions - as a major element of the socioeconomic status - and mortality and morbidity at EU level.\n\nThe clearest evidence on the relationship between working conditions and diseases exists for recognised occupational diseases, and for these, the trend is also strongly downwards. In contrast, the estimates of the development of work-related diseases - based on fractions of diseases attributable to work occupation - show a persistently high burden. The current estimates of ILO/WHO and of ICOH range between 115,000 and 180,000 deaths and between 4.5 million and 6.9 million DALYs; advanced research and the incorporation of more disease groups - mental health, diseases caused by biological agents - will significantly increase these figures. Literature, studies and surveys like the EWCS, LFS and the Flash Eurobarometer clearly show the strong relations between health status and occupation. Eurostat works on improvements concerning the morbidity statistics (task force, pilot statistics on occupational diseases). EU-wide morbidity statistics from national administrative sources might be available in the future; currently self-reported health data are the major source for EU-wide harmonised quantitative data.\n\nWellbeing and satisfaction at work show similar patterns as health and work accidents and workrelated health issues. Sectors with high physical demands and high customer and client orientation and occupations with a lower skill level report lower wellbeing and satisfaction levels; these groups report a good health status - mostly being younger - but fewer expectations to be able to work in this occupation until the age of 60. Professions with strong customer and client orientation have lower-thanaverage wellbeing and satisfaction rates.\n\nWorkers in manual occupations 265 have higher accident rates, lower life expectancy and less expectancy to do the job until age 60. Administrative workers (clerical, managerial) have a better status in the above-mentioned aspects but report a worse health situation. For many items the eastern EU Member States - often all of them - report the least positive data. The healthy worker effect and cultural differences - to express not being healthy - probably strongly influence the self-assessment.", - "page_start": 98, - "page_end": 98, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## 4.3 Wellbeing and health status\n\nExisting concepts of wellbeing cover more aspects of work than working conditions or safety and health at workplaces. Eurofound mentions as the most relevant components: income, working time arrangements, possibilities for skills development and career advancement, and the degree of individual control over work . 243 The United Nations Economic Commission for Europe (UNECE) developed a scheme of quality of employment that covers these aspects: safety and ethics of employment, income benefits and employment, working hours and balancing working and non-working life, security of employment and social protection, social dialogue, skills development and training, workplace relationships and work motivation. 244\n\nThis chapter focuses on the health and safety aspects of wellbeing, although the OSH aspect is often not clearly separable from the above-mentioned aspects, that is, when surveys are intending to identify the level of 'satisfaction at work'. Still, due to its serious impact on all other aspects of working conditions, the consequences of insufficient health are regarded as critical:\n\n'While OHS is only one substantive working condition, like earnings and job insecurity it is arguably a critical one for many workers. In terms of scope and severity, even official data … suggests poor OHS is something most workers will experience at some point and many far more frequently.' 245\n\nA common methodology to collect data on health status and wellbeing is self-reporting and selfassessment of workplace risks, health risks and health problems, absence, job satisfaction and working life perspective from a health point of view. The data are in general collected by EU-wide surveys, for example, by the EWCS, the Flash Eurobarometer, ESENER or the LFS Ad hoc modules. The description of working conditions in the OSH Barometer starts with responses regarding the 'Overall opinion' on working conditions. This allows insight into the subjective assessment of health risks at work and wellbeing.\n\n## 4.3.1 Satisfaction at work\n\nIn the EWCS of 2015, at EU level 86% of the workers respond that they are 'satisfied' (60%) or 'very satisfied' (26%) with their work. Country differences exist but are not striking. The EU Member States with the highest satisfaction rates are Austria, the Netherlands, Finland, Czechia, Denmark, Belgium and Estonia; they range between 93% and 90%. The six countries with the lowest sum of satisfied and very satisfied responses are Greece, Croatia, France, Spain, Italy and Latvia; their values range between 77% and 82%.\n\nFigure 28: Satisfaction with working conditions in the main paid job - EWCS 2015 246European Agency for Safety and Health at Work - EU-OSHA\n\n", - "page_start": 88, - "page_end": 88, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "highest quintile, a difference of 21% (EU27, 2019). 196 The European Quality of Life Survey (EQLS) finds that 13% of the lowest quartile report bad health (EU28, 2016), compared to only 4% of the respondents of the highest income quartile. 197\n\nThe relation between socioeconomic status - measured by income - and working conditions is often not further analysed, at least not on an aggregated statistical level. Due to complex methodological difficulties and strong national variations of the health systems, there are until now no EU-wide morbidity statistics available, based on administrative data . 198 A 'Morbidity Task Force' at EU level worked between 2005 and 2011 on the development of such statistics. 199 Country-specific data - without a harmonised approach between countries - are provided in EU and OECD publication series. 200\n\nThe system of European Core Health Indicators (ECHI) provides an overview on prevalence of major diseases. 201 Main morbidities covered until now are asthma, chronic obstructive pulmonary diseases (COPD), communicable diseases, depression, dementia, diabetes, diseases caused by drugs, HIV/AIDS, and physical or sensory functional limitations. However, in ECHI there is no option to relate these diseases to sectors or occupations.\n\nThe impact of work - as one essential element of the socioeconomic status - on health was the subject of numerous academic studies, often performed as specific case studies. The authors of an overview study on 'Cross-country inequality in the EU' summarise (more references in the original text):\n\n'Occupational grade and labour market status are among the factors most often studied in relation to health and mortality. Occupational grade has been found to be associated with self-rated health, mental and physical health, such as the presence of long-standing illness and a number of diseases. Lower occupation might affect health through poor working conditions, such as the higher exposure to occupational hazards and toxic compounds, health-damaging behaviours and psychosocial stress. Work-based stress combined with a lack of autonomy over one's work are believed to be the psychosocial factors that can cause physiological changes, such as increased risk of cardiovascular diseases and reduced immune system response. It has been shown that the gaps in mortality between different occupational grades persist in old age and tend to widen with age. 202\n\nEurostat provides in the LFS 2020 Ad hoc module on 'Accidents at work and other work-related health problems' a rough overview on such relations, with some specification, for example, for sectors, attainment levels, professional status, size of enterprise or occupation. 203 The differences between four aggregated occupational groups and work-related health problems is shown in the next table.\n\nTable 23: People reporting work-related health problems by group of occupations (ISCO) - LFS Ad hoc 2020 204\n\n9.4% of the group of 'Managers, professionals, technicians and associate professionals' and also 9.4% of the group of 'Clerical support workers, service and sales workers' report work-related health problems, 2.4% to 4% lower than the two groups with predominantly manual occupations.\n\nBased on a systematic review of literature on the topic of health factors, a consortium of World Bank and Harvard School of Public Health developed for the WHO in the early 1990s a new approach, the Global Burden of Disease (BoD) . 205 This approach is meanwhile used by researchers and health institutes across the globe. 206", - "page_start": 79, - "page_end": 79, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 2 Methodological remark: Many workers in the service sectors have similar physically demanding work like workers in manufacturing, construction and agriculture. The statistical assignment of enterprises of a certain type to the service sectors and the sectors industry/construction/agriculture is a too rough approach to describe and analyse working conditions, particularly if more detailed data on working conditions are available. For that reason, when talking about health outcomes, in this report often more informative categories are used, for example, managerial jobs (LFS, Eurostat terminology), or high-, medium- and low-skilled clerical work (EWCS), or high-skilled manual and low-skilled manual work (Eurostat), independent on the sector where this work is performed.\n - 3 EU-OSHA - European Agency for Safety and Health at Work: Third European Survey of Enterprises on New and Emerging Risks (ESENER 3), ESENER Data visualisation, section 'Comparisons 2014-2019'; for 'Prolonged sitting' value from 'Data visualisation 2019' not from 'Comparisons'.\n - 4 Some of the very first OSH regulations on psychosocial risks at workplaces were issued by Denmark in the early 1980s, dealing with monotony at work, stress, risk of violence at work and risks of working alone.\n - 5 Psychosocial risks are regarded as reason, and mental health/disease as consequence or outcome of these risks.\n - 6 OSHWiki, 2022: Psychosocial issues - the changing world of work; OSHWiki, 2022: Psychosocial risks and workers health\n - 7 EU-OSHA, 2007: Expert forecast on emerging psychosocial risks related to occupational safety and health data for 2015: Eurofound: European Working Conditions Survey - Data Visualisation; Data for 2005: Eurofound:\n - 8 Eurofound, 2017: Sixth European Working Conditions Survey - Overview report (2017 Update) (p. 48). Raw Fourth European Working Conditions Survey\n - 9 EU-OSHA: ESENER Data visualisation, Comparisons 2014-2019.\n - 10 Due to the change of possible response items, the data for the three surveys cannot be compared; the number of mental risk factors increased from three in 2007 and 2013 to eight in 2020.\n - 11 Eurostat, 2021: EU labour force survey 2020 module on accidents at work and other work-related health problems : assessment report : 2021 edition", - "page_start": 140, - "page_end": 140, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## result in high values for both responses. That is, high risk but also high satisfaction with health and safety.\n\nThe picture of country positions in this ranking changes again when looking at the response on the offwork periods due to a work-related health problem. 259 In 2020, around 10% report that they had a work-related health problem that kept them more than six months away from work . The rate is at 10.1% for the EU27; the countries with the highest rates above 20% are Hungary (30.3%), Lithuania (29.9%), the Netherlands (27.6%), Belgium (20.9%) and Romania (20.7%). The countries with lowest rates under 10% are Poland (2.6%), Denmark (6.0%), Sweden (6.2%), Italy (6.5%) and Finland (9.0%). 260 The country positions do not change much when looking at all absences over one month (18.7% for the EU), or three months or over (12.6% for the EU27). 261 That means that - at least at the first glance contradictory - countries reporting highest health risks have the lowest number of long-term off-work periods. These figures are probably much influenced by social security and compensation rules. This is another indication that high exposure and identification of health risks - fortunately - does not materialise in serious disease episodes, and this could be attributed to on the effectiveness of prevention measures .\n\nThere might also be structural reasons for low levels of reported health problems, for example, a high percentage of young workers with low illness rates in highly skilled clerical work; Ireland is probably such an example.\n\nThe responses to 'work-related health problem' vary also between different occupational groups . 262 The skilled agricultural and fishery workers (16.9%) report the highest values, followed by plant and machine operators and assemblers (12.5%), craft and related trades workers (12.3%), and the group of those with elementary occupations (11.2%). The lowest shares were found for the professionals (9.3%), legislators, senior officials and managers (9.0%), and clerks (8.0%).\n\nFigure 34: People reporting a work-related health problem by occupational category 2020 - LFS Ad hoc module 2020\n\n\n\nThese differences between occupational groups are not surprising; they repeat the results of other studies, statistics and surveys where manual workers show higher levels of illness / morbidity.", - "page_start": 94, - "page_end": 94, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "Has the average working week for employees working full-time decreased since 2006?", - "target_page": 31, - "target_passage": ". The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "Figure 8: Hours worked per week of full-time employment, EU27 - Eurostat\n\n\n\nThe commuting time between home and workplace is quite stable; in 2005 at EU27 level, it stood at 42.4 minutes, and in 2015 Eurostat reports 40.2 minutes (time for both ways, to the workplace and back). 19\n\nWork at atypical working times is in general regarded as a working condition with negative health impact, called work extensity . The two major indicators of atypical working times are work at 'atypical working times' and 'long working hours' .\n\nEurostat reports for 'Employment at atypical working time' 20 a minor decrease between 2011 and 2019, from 38.8% to 37.2% (EU27), for all employed workforce and all types of such atypical time. 21 Some groups of self-employed show a higher rate of atypical working times but also for most of the categories of self-employed the rates decreased during the period 2011 to 2019. High managerial selfemployed had a slight increase from 42.1% to 43.2% in this period. For the low managerial selfemployed Eurostat finds a decrease from 69.2% to 64.5%. The figures for small entrepreneurs dropped slightly from 56.6% to 54.1%, the same applies for employed persons in personal care work with a minor change (50.6% to 49.8%). Agricultural self-employed had the highest level of such working times; they showed a decrease from 68.4% to 63.4%.\n\nThe length of the daily or weekly working time, its allocation over the 24 hours of a day or at night are important factors for health and wellbeing. The statistical data (Eurostat) show a slight decrease of the average weekly working time for full-time employees (15-64 years) from 40.2 to 39.9 hours between 2006 and 2019. 22 The data also document slight increases and decreases of work at atypical times (response option for frequency: 'usual'). 23 In 2006 and 2019, the following percentages of all employed persons worked at atypical times: on Saturdays the percentage decreased from 28% to 25%, working on Sundays remained stable at around 13.5%, working in the evenings decreased from 19% to 15%, work at night fell from 7% to 5% and shift work increased slightly from 17% to 18%. 24", - "page_start": 30, - "page_end": 30, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Figure 9: Average working time and work during unsocial hours - Eurostat LFS\n\n\n\nTwo country examples might illustrate these developments (all data for 2019): Slovakia, a country with a high share of process-based industries, reports that 15.0% of its workforce is working at night and 29% in shifts; for the EU27 this rate is 5.2% respectively and 18.3%. 25 Regarding work on Sundays three other countries are at the top of the EU27, the Netherlands, Ireland and Spain; they report between 18% and 21% (EU27 average = 13.5%); all three countries have an above-average share of sectors like transport, tourism and agriculture. 26\n\nFor all these types of work it should be take into account that other groups of workers under nonstandard types of employment contracts (self-employed, agency workers, students, pensioners, undeclared workers) might have taken over work at these atypical working times.\n\nConcluding, it can be stated that there is a slight trend towards a reduction of weekly working hours for regularly employed workers, including a stable commuting time. Working hours at atypical times show a mixed picture. Looking at most types of employees, atypical working time decreased, except work on Sundays . For self-employed with employees, the working time at atypical hours is in general at a higher level. The number of employees in night work is decreasing. More employees in service and client-related occupations at night or in shifts but also here the atypical times are slightly decreasing.\n\nProbably these changes mirror the structural economic changes , that is, the shift of workforce between sectors. Night work was common in many industries as part of a three 8-hours shifts, not only in industries with permanent production processes (steel, chemicals, etc.). 27 Moreover night work is and was common in essential services like health, transport, technical infrastructure and security. The", - "page_start": 31, - "page_end": 31, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 21 Eurostat: Ad hoc module 2019 on work organisation and working time arrangements. Employment at an atypical working time (time period start with 2011), here and here\n - 22 Eurostat Data for 2019: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (from 2008 onwards, NACE Rev. 2). here Filter: Employees, Full-time, All NACE, EU27 2019 Q4.\n\nEurostat Data for 2006: Average number of usual weekly hours of work in main job, by sex, professional status, full-time/part-time and economic activity (1998-2008, NACE Rev. 1.1), here Filter: Employees, Full-time, All NACE, EU27 2019 Q4.", - "page_start": 141, - "page_end": 141, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "methodology, the OSH practitioners who were asked in ESENER seem to have a different view on time pressure than the workers themselves who are respondents in the LFS.\n\nFigure 15: Percentage of employed persons with working time under pressure (per country, sum of responses 'Always' and 'Often') - LFS Ad hoc 2019\n\n\n\nOne hypothesis to explain the increased time pressure is to draw a direct connection between short weekly working time and more intense work ; or in other words, a short weekly working time leads to more intensification of work or more long hours or atypical working times ('trading flexibility for effort'). 38\n\nThe analysis of EU survey data shows a mixed picture : Firstly, ESENER data corroborate this hypothesis, the three countries with highest percentage of work under time constraints - that is, Finland, Sweden and Denmark - all have working hours under the EU average. Secondly, LFS data show a different picture; a country like Greece has the longest working hours and also reports the highest time pressure, the same 'combination' - but less extreme - applies to Austria, Cyprus and Malta. Trends of low or less than average working time and no time constraints are reported for Lithuania, and medium working time and low time constraints for Italy and Ireland.\n\nAn analysis of EWCS data concluded 39 that in general intensity increases with long working hours, in enterprises with 1-19 the work intensity index (on a scale between 0 and 12) is 4.4, in larger enterprises with above 40 employees it is 6.3. This is in line with ESENER data that corroborate the importance of the size of the enterprise for time pressure and long working hours.\n\nLiterature - from very diverse disciplines - on work intensification points to reasons for intensification on developments as: 40\n\n - · Economic developments, particularly the dominance of neoliberalist policies and enhanced competition between workers, companies and states; reduction of state influence and privatisation. 41\n - · Pressure due to substantial organisational changes, for example, introduction of short-term economic objectives in enterprise policies, 42 expansion into new markets or new countries, acquiring other enterprises or merging, being acquired, restructuring of management or of basic staff working conditions (contracts, working time, flexibility). 43\n - · Decrease of trade union influence or worker participation regarding labour relations.\n - · Liberalisation of labour legislation, creation of 'new forms of work' and new contract types, beyond the permanent full-time employment. 44\n - · New forms of management, application of management concepts like just-in-time production or lean management, higher flexibility of production and higher customer orientation, 45", - "page_start": 35, - "page_end": 35, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "number of workers in industry decreased, but the number of workers in the above-mentioned service sectors increased.\n\n## 3.1.2 Work intensity\n\nThere are numerous references showing that during the period between 1990 and 2005 work intensity has considerably increased . 28\n\nFor example, Eurofound has analysed the responses to the two EWCS questions on high speed at work and tight deadlines. The EWCS found a significant increase of work intensity between 1991 and 2005. In 1991, 'Working at a very high speed' was for the majority of respondents not an issue. Fifty-two per cent of the workers responded to this statement 'Never' or 'Almost never'; in 1991, 24% worked at high speed and responded 'Around ¾ of the time', 'Almost all of the time' and 'All of the time'; until 2005 this response rate went up by 11% to 35%.\n\nWorking to tight deadlines was not an issue for 34% in 1990, and in 2005 only for 19%, a reduction of 15%. The percentage of the sum of responses 'Around ¾ of the time', 'Almost all of the time' or 'All of the time' to this question on tight deadlines increased between 1991 and 2005 from 29% to 37%. Regarding these two indicators, work intensity has evidently increased between 1991 and 2005. 29\n\n\n\nAfter that first period between 1991 and 2005, this development seems to stagnate between 2005 and 2015 . 30 The responses 'Almost all of the time' or 'All of the time' vary only slightly, between 33% and 37% depending on year and question ('Working at high speed' or 'Working to tight deadlines').\n\nDifferences can be seen regarding sector, company size and occupation. Regarding work intensity , ESENER enterprise data on time pressure for the EU27 indicate a slight increase of 2.3% between 2014 and 2019 from 43% to 45%. 31 Interestingly, according to ESENER, time pressure drastically increases with the size of the enterprise . In enterprises with 5 - 9 employees, 39% report time pressure, and in enterprises with above 250 employees 69%. 32 The same applies for long working hours, where enterprises with 5 - 9 employees report 19% 'long working hours', and in enterprises with above 250 employees this percentage increases to about 39% (EU27, 2019). 33", - "page_start": 32, - "page_end": 32, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Figure 7: Psychosocial risk factors - Differences between skill groups (Skill discretion)\n\n\n\nFor 'Decision authority' and 'Skill discretion', the authors found a stable situation since 1995, even a small rise of skill discretion for manual workers after 2010. Regarding 'Psychological demands' and 'Job strain', the major increase for all groups took place between 1995 and 2005. This growth decelerated after 2005, this observation is also valid for other working conditions, like work intensity.\n\n## 3.1.1 Working time in hours and at atypical times\n\nToo many hours of working time and/or working hours at atypical or unsocial times can put the mental and the physical health of humans at risk. It is also regarded as a major contributing factor to work accidents , due to fatigue or exhaustion. 16\n\nThe main indicator to describe working time is the number of the weekly average working hours of full-time employees. However, regarding its impact on health and safety, other aspects of working time are of the same relevance :\n\n - · How long is the average working day?\n - · At which times and days is this work done (typical, atypical times)?\n - · How often do long working hours take place?\n - · Is the work split between two jobs?\n - · How flexible are start and end?\n - · How intense is the work during this time (breaks, deadlines)?\n - · Which groups of workers have standard working times and which do not (e.g. depending on the sector or the type of contract, e.g. sub-contracted workers or self-employed)?\n\nThere is a slight trend towards fewer working hours for full-time employees (not 'Employed persons') in the EU27; between 2006 and 2019 the average weekly working time dropped from 40.2 to 39.9 hours, a decrease of approximately 15 minutes. 17\n\nRegarding the weekly hours, there are no striking differences between the EU27 Member States. In 2019, Cyprus, Austria and Malta with a high share of workers in the sector of tourism (accommodation) had the highest number of working hours per week (above 41 hours), and Denmark, the Netherlands and Italy the lowest number (39 or fewer) (full-time, employees, 15-64 years, all NACE codes). 18", - "page_start": 28, - "page_end": 28, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- · The quality of statistics and surveys fades the more irregular are the working conditions being studied. Which research methods are adequate for a clearer and more reliable evidence base on these working conditions? It might require research methods different from those used today, for example, more investigative case studies; it might also be helpful to evaluate the existing national working conditions surveys or statistics under this aspect.\n - · Fading employer-employee relations. There are special research efforts necessary to study the application of OSH regulations of work with weak or no employer-employee relations, for example, for the self-employed and new forms of employment.\n - · Surveys usually suffer a participation bias, for example, for the migrant workforce. The low participation rate of migrants can contribute to a particular underestimation regarding their often unfavourable working conditions.\n - · Workers in manual occupations report better health than administrative workers but less expectations to do the job until being 60 years old . What are the reasons behind this? Is it the healthy worker effect, strong occupation-related differences regarding the perception of health and the expression of health problems? 502,503\n - · High work intensity is a major cause for low wellbeing and high psychosocial risks. Survey data suggest that work intensification stopped after 2005 . What might be the reasons? Are the current indicators not specific enough to measure developments of work intensity? Has since then the major burden of intensification been put on other types of workers, for example, subcontracted or self-employed, temporary and seasonal workers, or on workers in the global supply chain?\n - · How much evidence is there that dangerous work has been increasingly contracted out to small and medium-size enterprises and the self-employed ? Are there sufficiently detailed data on whether a larger share of service and client-related work at atypical times or work requiring long working hours has been taken over by self-employed or subcontractors?\n - · The influence of enterprise size is often difficult to explain. In several aspects, the SMEs perform better, and in other important aspects worse. What might be the reason for this?\n - · How is it possible to overcome the 'prevention gap' that in general exists between mobile and stationary workplaces? Can the solutions be technical or must there be organisational and legal measures, for example, a limitation of the prolonged use of ergonomically inadequate equipment like mobile phones?", - "page_start": 139, - "page_end": 139, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Table 30: Development of male and female workforce in the EU27 between 2005 and 2019 299\n\nAlthough female employment has grown faster than the men's rate, the employment rate for men is still 11% higher. Due to the much higher rate of part-time work - women 30%, men 9% 300 - the gender gap concerning participation in the labour market is higher when transforming the working time into 'fulltime equivalents' (FTE). EIGE calculated a difference of 16%: 'The EU average FTE employment rate is 41% for women, compared to 57% for men.' 301,302\n\nThe average age of the workforce has drastically changed during the last 17 years. In 2005, the age class between 55 and 64 years represented 11.1% of all employed persons, and in 2019 already 18.4% of the workforce - a growth of 16 million employed persons. At the same time, the share of the age class between 15 and 39 years decreased from 49.6% to 41.6%, or 8.5 million. Already 5.1 million employed persons are older than 65 years, making up a share of 2.6% of the workforce. 303\n\nTable 31: Average age of the EU27 workforce 304", - "page_start": 109, - "page_end": 109, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Concerning the complaints about poor communication and cooperation within the organisation, all three Nordic EU Member States are represented in the seven countries with the highest burden, together with several central European countries. This is valid for both selected groupings, 'All sectors' and 'HHSW'.\n\nRegarding long or irregular working hours , we see a mix of countries from all regions. The order of countries in the sector HHSW - a mixture of countries from the East, South and North - is probably due to specific sectoral regulations of working times. Sweden is at the top in HHSW with 57%, followed by Denmark, Cyprus, Latvia and Czechia, all between 44% and 48%.\n\nMany analyses of psychosocial risks include other relevant factors like decision latitude (or decision authority) and skill discretion (level of skill and creativity required on the job). In a long-term analysis of the responses to the EWCS between 1995 and 2015, the authors conclude: 15\n\n'Our findings suggest that work stress generally increased from 1995 to 2015, and that the increase was mostly driven by psychological demands. People working in lower-skilled occupations had generally higher levels of job strain and effort-reward imbalance, as well as they tend to have a steeper increase in job strain than people working in higher-skilled occupations. Most of the change occurred from 1995 to 2005.'\n\nAccording to this study, the differences between the skills groups are significant, below illustrated for the development of 'Psychological demands' and 'Job strain' ; for these two indicators high-skilled and low-skilled manual workers are at the top of the scale.\n\nFigure 4: Psychosocial risk factors - Differences between skill groups (Job strain)\n\n", - "page_start": 26, - "page_end": 26, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Table 17: Self-reported work accidents during the last 12 months (EU27) - LFS Ad hoc modules\n\nNote: In 2020, in total 0.4% responded that they had more than one accident; these data are not available for 2007 and 2013.\n\nIn 2007, 3.2% of the respondents reported an accident, in 2013 this fell to 2.8%, and in 2020 2.3% of the 'Person in labour force', aged 15-64, responded with a 'Yes'. This corresponds to a decline of 28% from 2007 to 2020. The decline of the total estimated number of work accidents shows a similar trend, a 24% decrease from 5.89 million to 4.46 million (if the persons with more than one accident from the 2020 survey are not taken into account to achieve a better comparability with 2007 and 2013).\n\nFor 2020, an estimate of the number of accidents based on the Ad hoc module results in a figure of 5.24 million . The number of ESAW-registered non-fatal accidents in 2019 was 3.14 million, approximately 60% of the self-reported. One reason for this difference surely is that the respondents to the question in the LFS Ad hoc module might refer to every work accident , including those resulting in under four days of absence. 153\n\n## Estimations\n\nEurostat itself estimated in 1999 that approximately 37% of the non-fatal accidents did not need to be registered because they resulted in fewer than four days of absence: 'Around 37% of accidents at work in the EU result in fewer than 4 days' loss of work.' 154 . In the estimate above the figures are in a similar range. The LFS surveys also reveal strong differences between occupational groups . The ISCO groups 1-3 have less than half the accidents compared to groups 6-7 and 8-9. 155", - "page_start": 67, - "page_end": 67, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf", - "query": "What is the definition of a work accident according to the International Labour Organisation?", - "target_page": 38, - "target_passage": "ILO Definition of accident: ‘An occupational accident is an unexpected and unplanned occurrence, including acts of violence, arising out of or in connection with work, which results in one or more workers incurring a personal injury, disease or death.’", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "way by OSH legislation or OSH practice. The principle of employer responsibility for working conditions of workers is undermined or at least blurred in such situations.\n\nFuture solutions could focus on several aspects - a new definition of 'work' or of 'employment', stronger individual responsibility, or extended state interventions to guarantee OSH also in such working and employment conditions. There are some examples of such solutions but to date most of them focus on better information, that is, stronger individual responsibility.\n\nUndeclared and illegal employment is scarcely visible in the statistics. Due to the difficult conditions for research, the overall OSH situation in these types of work is widely unknown; in case study-based investigative studies, the working conditions - including safety and health - for this group are mostly regarded as worse compared to workers with a regular work contract. It seems to be necessary to consider different research and action initiatives for this type of work, also in collaboration with other state supervising authorities.\n\nThe health data clearly show an ever-growing share of work tasks that go along with or even require physical inactivity . Inactive work is often characterised by permanent sitting combined with high requirements for visual and mental focusing during work, for example, towards digital equipment or to traffic situations. Serious indirect health consequences of such inactivity can be seen in the strong increase in certain widespread diseases or disease-supporting factors, like obesity.\n\nEven 15 years after the enlargement of the EU in 2004, significant differences between Member States can still be observed regarding several working conditions. The data demonstrate that the worst status concerning physical risks, wellbeing, and expectations to do the job until the age of 60 - is almost always present in eastern EU Member States, followed by southern Member States, all compared to the status in central, western and northern Member States . For psychosocial risks, it is just the other way around, these are more often reported in central, western and northern Member States.\n\nInternational organisations complain about an unfair divide of OSH risks in globalised supply chains , be it in mining, metallurgy, textile production, disposal of hazardous waste or other sectors. The ILO decided in June 2022 to make OSH one of the Fundamental Principles and Rights at Work. In this context, 10 ILO conventions and instruments are considered now as fundamental, including two OSH conventions: the Occupational Safety and Health Convention, of 1981 (No. 155) and the Promotional Framework for Occupational Safety and Health Convention, of 2006 (No. 187). Ethical, fairness and justice considerations have led to more activities on decent, safe and healthy work in developing countries and a fair share of risks at work in global supply chains. These are important initiatives, but until now they only slightly changed the overall situation when looking at the global scale of the issue.", - "page_start": 18, - "page_end": 18, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Table 18: People reporting an accident by group of occupations (ISCO) - LFS Ad hoc 2020 156\n\nIn the Member States there exist very diverging perceptions of which level of severity of a work accident justifies a notification -or in the case of the LFS survey a positive response. In the LFS Ad hoc module of 2020, the figures vary significantly between Member States. Some countries practically report only accidents with 'Off work' periods, for example, Italy, Lithuania, Malta and Poland. In other countries the shares of work accidents reported that result in 'Off work' are under 40%, for example, for Sweden and Finland, Greece, Denmark and France. 157 That means that in these countries the respondents reported more than 50% such work accidents that did not cause an absence. Cultural differences in health perception in society and working life will probably be the major reason for these differences.\n\nEuropean Agency for Safety and Health at Work - EU-OSHA\n\n", - "page_start": 68, - "page_end": 68, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "## 4.1.2 Serious non-fatal and fatal work accidents\n\nEurostat defines a fatal work accident as follows : 'A 'fatal accident' means an accident which leads to the death of a victim within one year of the accident'. 160 Fatal commuting accidents are excluded, or when counted at national level, excluded from the ESAW data.\n\nIn the last decade, most EU Member States registered a significant decrease of fatal work accidents . 161 From 2010 to 2019, for the EU27, the incidence rate of fatal accidents decreased over all sectors from 2.31 to 1.74 , or a minus of 25%. In the period between 2010 and 2019 the sectoral figures of five major sectors developed as follows:\n\nTable 19: Incidence rates of fatal accidents per sector in 2010 and 2019 (EU27) 162\n\nAlso, large differences between countries can be noted. The following figure - taken from the OSH Barometer - calculates the number of fatal accidents in periods and compares the period 2010-2014 with 2015-2020. The reason is that - particularly in smaller Member States - a year with one serious and large work accident and several fatalities, or another year without any fatal accident, would distort the annual picture and create significant changes from year to year. Romania, Luxembourg and Bulgaria have the highest incident rates, and the Netherlands, Sweden and Germany the lowest. In 25 countries the rate fell or stagnated in these two periods, with exceptions being Luxembourg and Greece.\n\nFigure 23: Comparison of the average incidence rate of fatal accidents in two periods: 2010-2014 and 20152020 163European Agency for Safety and Health at Work - EU-OSHA\n\n", - "page_start": 70, - "page_end": 70, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Eurostat: Accident at work statistics", - "page_start": 157, - "page_end": 157, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "ESAW provides more detailed data about the severity of non-fatal accidents . 164 According to Eurostat's evaluation of 'Causes and circumstances' of work accidents ( data from 2005, EU-15 and Norway ), in 2005, 3.9% of the non-fatal work accidents or 157,494 non-fatal accidents led to permanent incapacity (full or partly), and 138,568 (3,4% of all accidents) to absences from three to six months. 165\n\nIn 2019 , the outcome 'Permanent incapacity or 183 days (of time-off) or over' made up 4.4% of all non-fatal work accidents or a little more than 100,000 cases . As serious outcomes we regard at least the cases in the ESAW category: non-fatal accidents involving these consequences are more than 34 times more frequent than fatalities . These detailed time-off and outcome data are only available for the sectors A and C-N, not for the other sectors with lower accident rates. If we include in the definition of a serious accident also the ESAW category 'Time off between 3 and 6 months', another 5.4% or 129,150 non-fatal accidents would be added to the category 'Serious accident'.\n\nThis would sum up to 232,892 accidents at work with a time off between three and six months, and of more than six months or a permanent handicap .\n\nTable 20: Severity of accidents in the EU27 in 2019 (sectors A and C-N) 166\n\n\n\nNational data showed similar coefficients; a calculation for two EU Member States showed a coefficient of 27 for Germany (only permanent handicap) and 66 for France. 167 EU-OSHA used the severity data of Eurostat in its study on 'The value of occupational safety and health and the societal costs of workrelated injuries and diseases' (2019). 168\n\nAccording to the publication 'Causes and circumstances of accidents at work in the EU' (DG EMPL and Eurostat), the types of work accidents causing the longest average days of absence are: 'Slipping, stumbling and falling' (46 absence days), followed by three more categories at the same level: 'Loss of control of machines or handheld tools', by 'Shock, fright, violence, aggression, threat, presence', 169 and by 'Electrical problems, explosion and fire' (all three types of accidents with an average of 38 days of absence). 170\n\nTo conclude, for an estimate of the burden of accidents at work, the distinction between fatal and nonfatal is too rough. ESAW data allow a finer analysis, at least for the sectors with higher accident risks. The high number of serious and permanent health outcomes cause human suffering and significant societal costs; but they play an undervalued role in discussions on work accidents as OSH indicators. It has to be mentioned that these data play a large role as indicators in non-European OSH systems ; Canada uses the Disabling Injury Frequency Rate (DIFR). 171 Australia applies incidence and", - "page_start": 71, - "page_end": 71, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 80 EU-OSHA's maintenance campaign revealed that maintenance and repair work has an accident risks far over average. EU-OSHA, 2010: Safe maintenance in practice (p. 10): 'Occupational accidents during maintenance work are numerous. Based on the data from several European countries, it is estimated that 10-15% of fatal accidents at work, and 15-20% of all accidents, are connected with maintenance .'\n - 81 No statistical data available for EU.\n - 82 Persons in employment by main place of work, frequency of working at other locations and working from home,", - "page_start": 143, - "page_end": 143, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "- 147 In 2019, there were 3.141 million non-fatal accidents that resulted in at least four calendar days of absence from work and 3,408 fatal accidents in the EU27, a ratio of approximately 922 non-fatal accidents for every fatal accident, here\n - 148 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An exploratory semi-quantitative study - 'What goes unreported goes unfixed' (p. 20 ff).\n - 149 Eurostat: Non-fatal accidents at work by NACE Rev. 2 activity and sex; Eurostat: Fatal Accidents at work by NACE Rev. 2 activity\n - 150 Detailed studies from hospitals in Denmark show that even a large share of serious work accidents (25%) resulting in amputations and fractions are not registered, see: LO Denmark, 2012: Underrapportering af arbejdsulykker Table 14; and the Danish Working Environment Authority published a report concluding a total of 50% in underreporting, here\n - 151 Kurppa, 2015: Severe Under-reporting of Work Injuries in Many Countries of the Baltic Sea Region: An exploratory semi-quantitative study - 'What goes unreported goes unfixed' (p. 20ff). 152 LFS Ad hoc module: Accidents at work and other work-related health problems (2020, 2013 and 2007) 153 Eurostat: EU labour force survey 2020 module on accidents at work and other work-related health problems : assessment report : 2021 edition. The exact question is (p. 47): 'Thinking of the year before [last day of reference week], have you had any accident at work? Accidents outside working hours and accidents during the journey from home to work or from work to home are excluded. However, accidents during a journey in the course of work are included.'\n - 154 Eurostat, Statistics in focus, Theme 3 - 16/2001: Accidents at work in the EU 1998-1999, here 155 ISCO-Groups: 1. Managers, 2. Professionals, 3. Technicians and Associate Professionals, 4. Clerical Support Workers, 5. Services and Sales Workers, 6. Skilled Agricultural, Forestry and Fishery Workers, 7. Craft and Related Trades Workers, 8. Plant and Machine Operators and Assemblers, 9. Elementary Occupations, 0. Armed Forces Occupations.\n - 156 Eurostat: Persons reporting an accident at work by sex, age and occupation\n - 157 Eurostat, 2021: Self-reported accidents at work - key statistics\n\n158\n\nIbid.", - "page_start": 146, - "page_end": 146, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "Table 16: Non-fatal accidents estimated via coefficient of fatal accidents, 4 benchmark countries 149\n\nThe application of the average coefficient of four benchmark countries to all the EU27 leads to an estimated number of non-fatal accidents with more than three days absence of approximately 4.98 million. This is 1.84 million more work accidents than reported in ESAW; the reporting rate of ESAW for non-fatal work accidents with four or more days of absence would be at around 63% . Countryspecific reports about underreporting determine similar figures and support these findings. 150\n\nThere seems to be a difference in the reporting level between countries with a universal health system where the reasons for an accident play a minor role and do not impact compensation and treatment. In more fragmented health systems with distinguished work accident insurances, the 'sphere' (work or private life) - where the accident took place - is more relevant and influences the granted treatment and compensation. Some researchers perform this calculation only based on the coefficient of two countries, Finland and Germany. 151 Both have separated insurance-based systems and are regarded as countries with a high reporting level. The coefficient would be 1,734 (average of both countries without weighing of population size); this would result in an estimated number of non-fatal work accidents of 5.91 million.\n\nSelf-reports are another option to identify the number of work accidents. In the Eurostat LFS Ad hoc modules of 2007, 2013 and 2020 , 152 'Employed persons' were asked whether they had a work accident in the past 12 months.", - "page_start": 66, - "page_end": 66, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "ICOH stated in its Centennial Declaration:\n\n'The globalization process has not succeeded in equalising the conditions of work but in fact the opposite has occurred; the gaps are increasing. Poverty, inequality and under-development are closely associated with the poor safety, health and social conditions of work, as they are also linked with illiteracy, lack of education, poor access to health services and low or non-existent social protection. 323\n\nInternational organisations like the ILO, WHO and UN have also taken up the task to promote OSH worldwide . The ILO has established a system of conventions; their implementation is monitored in the signature states. 324 The ILO has issued and decided on nine 'Fundamental conventions' that have been signed by 92% of the ILO member states. 325 These fundamental conventions are:\n\n - 1. Freedom of Association and Protection of the Right to Organise Convention, 1948 (No. 87);\n - 2. Right to Organise and Collective Bargaining Convention, 1949 (No. 98);\n - 3. Forced Labour Convention, 1930 (No. 29) (and its 2014 Protocol);\n - 4. Abolition of Forced Labour Convention, 1957 (No. 105);\n - 5. Minimum Age Convention, 1973 (No. 138);\n - 6. Worst Forms of Child Labour Convention, 1999 (No. 182);\n - 7. Equal Remuneration Convention, 1951 (No. 100);\n - 8. Discrimination (Employment and Occupation) Convention, 1958 (No. 111); and\n - 9. (since 2022) Two conventions on Occupational Safety and Health, that is, C-155 Occupational Safety and Health Convention, 326 and C-187 Promotional Framework for OSH Convention. 327\n\nThe ILO also promotes the 'Decent work' approach to improve working conditions, covering aspects like fair income, social protection for families, better prospects for personal development and social integration, and equal opportunities and treatment. In the frame of this approach, the ILO has developed flagship programmes like 'Safety and Health for all' 328 and the 'Global Action for Prevention on Occupational Safety and Health' (OSH-GAP) , a programme to support and promote OSH globally. 329 Its priorities are:", - "page_start": 115, - "page_end": 115, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - }, - { - "text": "The pure distinction between fatal and non-fatal work accidents does not reveal that a very large part of the human and financial burden is caused by severe but not fatal accidents . In 2019, 232,892 work accidents resulted in an absence of more than three months or caused a permanent disability, compared to 3,008 fatal accidents (NACE Rev. 2 activity A, C-N). That is, in addition to every worker who dies, another 77 suffer injuries resulting in at least three months off work or in permanent disability.\n\n## Work-related deaths and diseases\n\nWork-related health outcomes represent a much higher burden for society than work accidents. More workers are affected, and the overall costs are much higher. When limiting the scope of analysis to the officially recognised occupational diseases , the trend of health outcomes (deaths, illnesses) caused by 'exposures' at work decreases similarly to the accident trend.", - "page_start": 11, - "page_end": 11, - "source_file": "EN-Annex II - EU-OSHA websites, SM accounts and tools.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Was knowledge domain agnosticism a goal in the development of OLAF?", - "target_page": 1, - "target_passage": "Though an ideal ontology should model a domain in an application-independent manner, in practice, concepts and relations represented largely depend on one or more business use cases. As we designed our framework with industry application in mind, we need to consider it within its real-world usage context.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "| STATE OF THE ART | | | | | | OLAF IN A PRACTICAL CONTEXT | |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n## OLAF : Ontology Learning Applied Framework\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology learning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an opensource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "We designed the proposed framework focusing on automation with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the learned ontology final production use case . We implement the framework as an open-source and openaccess python library. We aim to gather feedback and grow a community to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing axiom extraction and automatic ontology evaluation . One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\n- Cimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n- Drymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n- Paola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665-707. DOI: 10.1162/COLI\\_a\\_00146 3.\n- Muhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "The general problem of simulating (or creating) intelligence has been broken into subproblems. These consist of particular traits or capabilities that researchers expect an intelligent system to display. The traits described below have received the most attention and cover the scope of AI research. [a]\n\n## Reasoning and problem-solving\n\nEarly researchers developed algorithms that imitated step-by-step reasoning that humans use when they solve puzzles or make logical deductions. [13] By the late 1980s and 1990s, methods were developed for dealing with uncertain or incomplete information, employing concepts from probability and economics. [14]\n\nMany of these algorithms are insufficient for solving large reasoning problems because they experience a \"combinatorial explosion\": They become exponentially slower as the problems grow. [15] Even humans rarely use the step-by-step deduction that early AI research could model. They solve most of their problems using fast, intuitive judgments. [16] Accurate and efficient reasoning is an unsolved problem.\n\n## Knowledge representation\n\nKnowledge representation and knowledge engineering [17] allow AI programs to answer questions intelligently and make deductions about real-world facts. Formal knowledge representations are used in content-based indexing and retrieval, [18] scene interpretation, [19] clinical decision support, [20] knowledge discovery (mining \"interesting\" and actionable inferences from large databases), [21] and other areas. [22]\n\nA knowledge base is a body of knowledge represented in a form that can be used by a program. An ontology is the set of objects, relations, concepts, and properties used by a particular domain of knowledge. [23] Knowledge bases need to represent things such as objects, properties, categories, and relations between objects; [24] situations, events, states, and time; [25] causes and effects; [26] knowledge about knowledge (what we know about what other people\n\nAn ontology represents knowledge as a set of concepts within a domain and the relationships between those concepts.\n\n\n\nknow); [27] default reasoning (things that humans assume are true until they are told differently and will remain true even when other facts are changing); [28] and many other aspects and domains of knowledge.\n\nAmong the most difficult problems in knowledge representation are the breadth of commonsense knowledge (the set of atomic facts that the average person knows is enormous); [29] and the sub-symbolic form of most commonsense knowledge (much of what people know is not represented as \"facts\" or \"statements\" that they could express verbally). [16] There is also the difficulty of knowledge acquisition, the problem of obtaining knowledge for AI applications. [c]\n\n## Planning and decision-making", - "page_start": 1, - "page_end": 1, - "source_file": "wikipedia3.pdf" - }, - { - "text": "| Text2Onto, 2005, [1] representation-agnostic structure with modular steps and takes into account uncertainty. The system is implemented as a GATE module. OntoGain, It focuses on multiword terms to construct a \"lexicalised ontology\" by adapting an agglomerative clustering and an FCA method. It implements 4 | various formats. GATE system adds great visualisations. But it is not maintained since 2011. | | Ontology Use Cases | Final Application | | | Pipeline Execution |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "- Castaño, Arnaldo Pérez (23 May 2018). Practical Artificial Intelligence: Machine Learning, Bots, and Agent Solutions Using C# . Apress. p. 2. ISBN 978-1-4842-3357-3.\n - Chakrabarti, Kisor Kumar (June 1976). \"Some Comparisons Between Frege's Logic and Navya-Nyaya Logic\". Philosophy and Phenomenological Research . 36 (4): 554-563. doi:10.2307/2106873 (https://doi.org/10.2307%2F2106873). JSTOR 2106873 (https://www.j stor.org/stable/2106873).\n - Chatfield, Tom (2017). Critical Thinking: Your Guide to Effective Argument, Successful Analysis and Independent Study . Sage. p. 194. ISBN 978-1-5264-1877-7.\n - Chua, Eugene (2017). \"An Empirical Route to Logical 'Conventionalism' \" (https://philpapers. org/rec/CHUAER). Logic, Rationality, and Interaction . Lecture Notes in Computer Science. Vol. 10455. pp. 631-636. doi:10.1007/978-3-662-55665-8\\_43 (https://doi.org/10.1007%2F9 78-3-662-55665-8\\_43). ISBN 978-3-662-55664-1.\n - Clocksin, William F.; Mellish, Christopher S. (2003). \"The Relation of Prolog to Logic\" (http s://link.springer.com/chapter/10.1007/978-3-642-55481-0\\_10). Programming in Prolog: Using the ISO Standard . Springer. pp. 237-257. doi:10.1007/978-3-642-55481-0\\_10 (http s://doi.org/10.1007%2F978-3-642-55481-0\\_10). ISBN 978-3-642-55481-0.\n - Cook, Roy T. (2009). Dictionary of Philosophical Logic . Edinburgh University Press. p. 124. ISBN 978-0-7486-3197-1.\n - Copi, Irving M.; Cohen, Carl; Rodych, Victor (2019). Introduction to Logic . Routledge. ISBN 978-1-351-38697-5.\n - Corkum, Philip (2015). \"Generality and Logical Constancy\". Revista Portuguesa de Filosofia . 71 (4): 753-767. doi:10.17990/rpf/2015\\_71\\_4\\_0753 (https://doi.org/10.17990%2Fr pf%2F2015\\_71\\_4\\_0753). ISSN 0870-5283 (https://search.worldcat.org/issn/0870-5283). JSTOR 43744657 (https://www.jstor.org/stable/43744657).\n - Craig, Edward (1996). Routledge Encyclopedia of Philosophy (https://philpapers.org/rec/BE AREO). Routledge. ISBN 978-0-415-07310-3. Archived (https://web.archive.org/web/202101 16111145/https://philpapers.org/rec/BEAREO) from the original on 16 January 2021. Retrieved 29 December 2021.\n - Cummings, Louise (2010). \"Abduction\". The Routledge Pragmatics Encyclopedia . Routledge. p. 1. ISBN 978-1-135-21457-9.\n - Cunningham, Daniel. \"Set Theory\" (https://iep.utm.edu/set-theo/). Internet Encyclopedia of Philosophy . Retrieved 23 September 2022.\n - D'Agostino, Marcello; Floridi, Luciano (2009). \"The Enduring Scandal of Deduction: Is Propositional Logic Really Uninformative?\". Synthese . 167 (2): 271-315. doi:10.1007/s11229-008-9409-4 (https://doi.org/10.1007%2Fs11229-008-9409-4). hdl:2299/2995 (https://hdl.handle.net/2299%2F2995). ISSN 0039-7857 (https://search.world cat.org/issn/0039-7857). JSTOR 40271192 (https://www.jstor.org/stable/40271192). S2CID 9602882 (https://api.semanticscholar.org/CorpusID:9602882).\n - Daintith, John; Wright, Edmund (2008). A Dictionary of Computing . OUP. ISBN 978-0-19923400-4.\n - van Dalen, Dirk (1994). Logic and Structure . Springer. Chapter 1.5. ISBN 978-0-387-578392.\n - Dasti, Matthew R. \"Nyaya\" (https://iep.utm.edu/nyaya/). Internet Encyclopedia of Philosophy . Retrieved 12 March 2023.\n - Dick, Anthony S.; Müller, Ulrich (2017). Advancing Developmental Science: Philosophy, Theory, and Method . Taylor & Francis. p. 157. ISBN 978-1-351-70456-4.\n - Douven, Igor (2021). \"Abduction\" (https://plato.stanford.edu/entries/abduction/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/20210907202119/https://plato.stanford.edu/entries/ab duction/) from the original on 7 September 2021. Retrieved 24 August 2021.", - "page_start": 26, - "page_end": 26, - "source_file": "wikipedia1.pdf" - }, - { - "text": "## Chapter 13 Conclusion: Some Personal Thoughts and Opinions\n\nThis tutorial is just the entry point to a technology that is entering the Slope of Enlightenment in the Gartner technology hype cycle [Gartner Hype Cycle]. Tim Berners-Lee published his paper on the Semantic Web [Berners-Lee 2001] way back in 2001. At least in my experience for most large US corporations the excitement around Machine Learning seemed for a while to eclipse serious interest in OWL, SPARQL, and other Semantic Web technologies in the United States. Then influential technology companies such as Google [Singhal 2012], Facebook [Olanof 2013], and Amazon [Neptune 2017] started to embrace the technology using the term Knowledge Graphs [Noy 2019] and the corporate world is finally realizing that machine learning and knowledge graphs are complimentary not competitive technologies.\n\nThe term knowledge graph itself can be used in different ways. The best definition I've heard is that an ontology provides the vocabulary (i.e., essentially the T-Box) and a knowledge graph is an ontology combined with data (A-Box). Although in the corporate world I often hear people simply talk about knowledge graphs without much interest in the distinction between the vocabulary and the data.\n\nThere are a number of vendors emerging who are using the technology in very productive ways and are providing the foundation for federated knowledge graphs that can scale to hundreds of millions of triples or more and provide a framework for all corporate data. I've listed several in the bibliography but those are only the ones I've had some experience with. I'm sure there are many others. One of the products I've had the best experience with is the AllegroGraph triplestore and the Gruff visualization tool from Franz Inc. Although Allegro is a commercial tool, the free version supports most of the core capabilities of the commercial version. I've found the Allegro triplestore easy to use on a Windows PC with the Docker tool to emulate a Linux server.\n\nI first started working with classification-based languages when I worked at the Information Sciences Institute (ISI) and used the Loom language [Macgregor 91] to develop B2B systems for the US Department of Defense and their contractors. Since then, I've followed the progress of the technology, especially the DARPA knowledge sharing initiative [Neches 91] and always thought there was great promise in the technology. When I first discovered Protégé it was a great experience. It is one of the best supported and most usable free tools I've ever seen, and it always surprised me that there weren't more corporate users leveraging it in major ways. I think we are finally starting to see this happen and I hope this tutorial helps in a small way to accelerate the adoption of this powerful and robust tool.", - "page_start": 88, - "page_end": 88, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "- Dowden, Bradley. \"Fallacies\" (https://iep.utm.edu/fallacy/). Internet Encyclopedia of Philosophy . Archived (https://web.archive.org/web/20100429214410/https://iep.utm.edu/falla cy/) from the original on 29 April 2010. Retrieved 19 March 2021.\n - van Eemeren, Frans H.; Garssen, Bart (2009). Pondering on Problems of Argumentation: Twenty Essays on Theoretical Issues . Springer Science & Business Media. p. 191. ISBN 978-1-4020-9165-0.\n - van Eemeren, Frans H.; Garssen, Bart; Krabbe, Erik C. W.; Snoeck Henkemans, A. Francisca; Verheij, Bart; Wagemans, Jean H. M. (2021). \"Informal Logic\" (https://link.springe r.com/referenceworkentry/10.1007%2F978-94-007-6883-3\\_7-1). Handbook of Argumentation Theory . Springer Netherlands. pp. 1-45. doi:10.1007/978-94-007-6883-3\\_7-1 (https://doi.org/10.1007%2F978-94-007-6883-3\\_7-1). ISBN 978-94-007-6883-3. Archived (https://web.archive.org/web/20211231172324/https://link.springer.com/referenceworkentry/ 10.1007/978-94-007-6883-3\\_7-1) from the original on 31 December 2021. Retrieved 2 January 2022.\n - van Eemeren, Frans H.; Grootendorst, Rob; Johnson, Ralph H.; Plantin, Christian; Willard, Charles A. (2013). Fundamentals of Argumentation Theory: A Handbook of Historical Backgrounds and Contemporary Developments . Routledge. p. 169. ISBN 978-1-136-688041.\n - Emmanuel, Steven M. (2015). A Companion to Buddhist Philosophy . John Wiley & Sons. pp. 320-2. ISBN 978-1-119-14466-3.\n - Enderton, Herbert (2001). A Mathematical Introduction to Logic . Elsevier. ISBN 978-0-12238452-3.\n - Engel, S. Morris (1982). With Good Reason an Introduction to Informal Fallacies (https://phil papers.org/rec/ENGWGR). St. Martin's Press. ISBN 978-0-312-08479-0. Archived (https://w eb.archive.org/web/20220301065815/https://philpapers.org/rec/ENGWGR) from the original on 1 March 2022. Retrieved 2 January 2022.\n - Evans, Jonathan St. B. T. (2005). \"8. Deductive Reasoning\". In Morrison, Robert (ed.). The Cambridge Handbook of Thinking and Reasoning . Cambridge University Press. p. 169. ISBN 978-0-521-82417-0.\n - Ewald, William (2019). \"The Emergence of First-Order Logic\" (https://plato.stanford.edu/entri es/logic-firstorder-emergence/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Retrieved 12 March 2023.\n - Falguera, José L.; Martínez-Vidal, Concha; Rosen, Gideon (2021). \"Abstract Objects\" (http s://plato.stanford.edu/entries/abstract-objects/). The Stanford Encyclopedia of Philosophy . Metaphysics Research Lab, Stanford University. Archived (https://web.archive.org/web/2021 0122003334/https://plato.stanford.edu/entries/abstract-objects/) from the original on 22 January 2021. Retrieved 7 January 2022.\n - Falikowski, Anthony; Mills, Susan (2022). Experiencing Philosophy (2nd ed.). Broadview Press. p. 98. ISBN 978-1-77048-841-0.\n - Fisher, Michael David; Gabbay, Dov M.; Vila, Lluis (2005). Handbook of Temporal Reasoning in Artificial Intelligence . Elsevier. p. 119. ISBN 978-0-08-053336-0.\n - Fitch, G. W. (18 December 2014). Saul Kripke . Routledge. p. 17. ISBN 978-1-317-48917-7.\n - Flotyński, Jakub (7 December 2020). Knowledge-Based Explorable Extended Reality Environments . Springer Nature. p. 39. ISBN 978-3-030-59965-2.\n - Font, Josep Maria; Jansana, Ramon (2017). A General Algebraic Semantics for Sentential Logics . Cambridge University Press. p. 8. ISBN 978-1-107-16797-1.\n - Frede, Michael. \"Aristotle\" (https://pages.mtu.edu/~pcharles/SCIHISTORY/aristotle.html). Michigan Technological University . Retrieved 1 November 2022.\n - Friend, Michele (2014). Introducing Philosophy of Mathematics . Routledge. p. 101. ISBN 978-1-317-49379-2.", - "page_start": 27, - "page_end": 27, - "source_file": "wikipedia1.pdf" - }, - { - "text": "| ConceptNet-based extraction Grouping terms based on synonyms | | Concept/Relation Extraction | OLAF | Our vision is to implement a gather to build pipelines ontology. | . These pipelines can be run, optimised and analysed to learn the best possible | Ressource | Algorithm implemented Upcoming implementation |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "- 170. Clocksin & Mellish 2003, pp. 237-238, 252-255, 257, The Relation of Prolog to Logic; Daintith & Wright 2008, Logic Programming Languages (https://www.encyclopedia.com/com puting/dictionaries-thesauruses-pictures-and-press-releases/logic-programming-languages).\n - 171. O'Regan 2016, p. 49; Calderbank & Sloane 2001, pp. 768.\n - 172. Daintith & Wright 2008, Logic Gate (https://www.encyclopedia.com/computing/dictionaries-th esauruses-pictures-and-press-releases/logic-gate).\n - 173. Janssen & Zimmermann 2021, pp. 3-4; Partee 2016; King 2009, pp. 557-8; Aloni & Dekker 2016, pp. 22-23 (https://books.google.com/books?id=ltSgDAAAQBAJ&pg=PT22).\n - 174. Warren 2020, 6. The Epistemology of Logic; Schechter.\n - 175. Warren 2020, 6. The Epistemology of Logic.\n - 176. Schechter.\n - 177. Gómez-Torrente 2019.\n - 178. Warren 2020, 6. The Epistemology of Logic; Gómez-Torrente 2019; Warren 2020, 1. What is Conventionalism.\n - 179. Chua 2017, pp. 631-636; Wilce 2021; Putnam 1969, pp. 216-241.\n - 180. Lagerlund 2018.\n - 181. Spade & Panaccio 2019.\n - 182. Haaparanta 2009, pp. 4-6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4), 1. Introduction; Hintikka & Spade, Modern logic, Logic since 1900.\n - 183. Kline 1972, \"A major achievement of Aristotle was the founding of the science of logic\", p. 53; Łukasiewicz 1957, p. 7; Liu & Guo 2023, p. 15.\n - 184. Lear 1980, p. 34.\n - 185. Knuuttila 1980, p. 71; Fisher, Gabbay & Vila 2005, p. 119.\n - 186. Berman 2009, p. 133.\n - 187. Frede; Groarke.\n - 188. Ewald 2019; Smith 2022.\n - 189. Hasse 2008; Lagerlund 2018.\n - 190. Washell 1973, pp. 445-50; Kneale & Kneale 1962, pp. 229, 266.\n - 191. Goodman 2003, p. 155.\n - 192. Goodman 1992, p. 188.\n - 193. Hintikka & Spade, Arabic Logic (https://www.britannica.com/topic/history-of-logic/Medieval-lo gic#ref65928).\n - 194. Iqbal 2013, pp. 99-115, The Spirit of Muslim Culture.\n - 195. Marenbon 2021, Introduction; 3. The Logical Text-Books; Hintikka & Spade.\n - 196. Hintikka & Spade; Hasse 2008; Spade & Panaccio 2019.\n - 197. Willman 2022; Rošker 2015, pp. 301-309.\n - 198. Sarukkai & Chakraborty 2022, pp. 117-8.\n - 199. Dasti, Lead section; 1b. Inference; Mills 2018, p. 121 (https://books.google.com/books?id=s GhqDwAAQBAJ&pg=PA121).\n - 200. Emmanuel 2015, pp. 320-2; Vidyabhusana 1988, p. 221.\n - 201. Chakrabarti 1976, pp. 554-563.\n - 202. Groarke; Haaparanta 2009, pp. 3-5 (https://books.google.com/books?id=0jXavKsArnIC&pg =PA3), 1. Introduction.\n - 203. Haaparanta 2009, pp. 4-6 (https://books.google.com/books?id=0jXavKsArnIC&pg=PA4); Hintikka & Spade, Modern logic, Logic since 1900.\n - 204. Ewald 2019.\n - 205. Ewald 2019; Schreiner 2021, p. 22.", - "page_start": 23, - "page_end": 23, - "source_file": "wikipedia1.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is OLAF a specific strategy for ontological learning or is it a toolbox of different strategies?", - "target_page": 1, - "target_passage": "Our vision is to implement a toolbox of methods we can gather to build pipelines. ", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n## OLAF : Ontology Learning Applied Framework\n\nMarion SCHAEFFER (marion.schaeffer@insa-rouen.fr) - Matthias SESBOUE (matthias.sesboue@insa-rouen.fr) Jean-Philippe KOTOWICZ - Nicolas DELESTRE - Cecilia ZANNI-MERK\n\nSince the beginning of the century, research on ontology learning has gained popularity. Automatically extracting and structuring knowledge relevant to a domain of interest from unstructured data is a major scientific challenge. We propose a new approach with a modular ontology learning framework considering tasks from data pre-processing to axiom extraction. Whereas previous contributions considered ontology learning systems as tools to help the domain expert, we developed the proposed framework with full automation in mind. An implementation as an opensource and collaborative python library is available at https://gitlab.insa-rouen.fr/msesboue/ontology-learning.\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "We designed the proposed framework focusing on automation with very little, if any, human involvement in mind. Unlike most existing approaches, particular attention is brought to the learned ontology final production use case . We implement the framework as an open-source and openaccess python library. We aim to gather feedback and grow a community to develop and test multiple algorithms. Various satellite tools could be developed to enhance the framework implementation. However, we should focus on developing axiom extraction and automatic ontology evaluation . One exciting research area might be the adaptation of the software industry's \"DevOps\" concepts to knowledge management. The latter field is known as \"SemOps\".\n\n- Cimiano P, Völker J. Text2Onto. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2005.p. 227-238. ISBN: 978-3-540-32110-1 1.\n- Drymonas E, Zervanou K, Petrakis EGM. Unsupervised Ontology Acquisition from Plain Texts: The OntoGain System. Natural Language Processing and Information Systems. Berlin, Heidelberg: Springer Berlin Heidelberg; 2010. p. 277-87. ISBN: 978-3-642-13881-2 2.\n- Paola Velardi, Stefano Faralli, Roberto Navigli; OntoLearn Reloaded: A Graph-Based Algorithm for Taxonomy Induction. Computational Linguistics 2013; 39 (3): 665-707. DOI: 10.1162/COLI\\_a\\_00146 3.\n- Muhammad Nabeel Asim, Muhammad Wasim, Muhammad Usman Ghani Khan, Waqar Mahmood, Hafiza Mahnoor Abbasi, A survey of ontology learning techniques and applications, Database, Volume 2018, 2018, bay101, DOI: 10.1093/database/bay101 4.", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "| ConceptNet-based extraction Grouping terms based on synonyms | | Concept/Relation Extraction | OLAF | Our vision is to implement a gather to build pipelines ontology. | . These pipelines can be run, optimised and analysed to learn the best possible | Ressource | Algorithm implemented Upcoming implementation |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "## A Practical Guide to Building OWL Ontologies\n\n## Using Protégé 5.5 and Plugins\n\nEdition 3.0\n\n## 8 April 2021\n\n## Michael DeBellis\n\nThis is a revised version of the Protégé 4 Tutorial version 1.3 by Matthew Horridge. Previous versions of the tutorial were developed by Holger Knublauch , Alan Rector , Robert Stevens, Chris Wroe, Simon Jupp, Georgina Moulton, Nick Drummond, and Sebastian Brandt.\n\nThis work was conducted using the Protégé resource, which is supported by grant GM10331601 from the National Institute of General Medical Sciences of the United States National Institutes of Health.\n\nChapters 3-5 are based on the original tutorial. I have updated the tutorial to be consistent with Protégé 5. I have also made some changes to address some of the most common issues I've seen new users grapple with, to remove some of the dated information about older frame-based versions of Protégé, and various miscellaneous changes. Chapters 6-11 are new. I have added new sections for technologies such as SWRL, SPARQL and SHACL as well as some details on concepts such as IRIs and namespaces.\n\nThanks to Matthew Horridge and everyone who worked on the previous tutorials. Special thanks to Lorenz Buehmann who helped me work out a thorny problem as I developed the revised example, to André Wolski for help with the SHACL plugin. Special thanks to Dick Ooms and Colin Pilkington for their excellent detailed feedback on previous versions of the tutorial. Also, thanks to everyone on the Protégé user support email list.\n\nNote: this document may get updates frequently. It is a good idea to check my blog at: https://www.michaeldebellis.com/post/new-protege-pizza-tutorial to make sure you have the latest version.\n\nIf you have questions or comments feel free to contact me at mdebellissf@gmail.com", - "page_start": 1, - "page_end": 1, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "\n\nSee discussions, stats, and author profiles for this publication at: https://www.researchgate.net/publication/351037551\n\n## A Practical Guide to Building OWL Ontologies Using Protégé 5.5 and Plugins\n\nPreprint · April 2021\n\nCITATIONS\n\n0\n\n## 1 author:\n\n\n\nREADS 36,030", - "page_start": 0, - "page_end": 0, - "source_file": "Protege5NewOWLPizzaTutorialV3.pdf" - }, - { - "text": "| STATE OF THE ART | | | | | | OLAF IN A PRACTICAL CONTEXT | |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "| Term cooccurrences-based extraction Similarity-based extraction | | Concept/Relation Extraction | OLAF | Our vision is to implement a gather to build pipelines ontology. | | | |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "## 3.3 World knowledge\n\nThe bulk of evidence about commonsense knowledge captured in BERT comes from practitioners using it to extract such knowledge. One direct probing study of BERT reports that BERT struggles with pragmatic inference and role-based event knowledge (Ettinger, 2019). BERT also struggles with abstract attributes of objects, as well as visual and perceptual properties that are likely to be assumed rather than mentioned (Da and Kasai, 2019).\n\nThe MLM component of BERT is easy to adapt for knowledge induction by filling in the\n\nKG\n\nDante\n\nborn-in\n\nFlorence\n\nFigure 1:\n\n\n\nQuerying knowledge bases (KB) and lan-\n\nguage models (LM) for factual knowledge. Figure 2: BERT world knowledge (Petroni et al., 2019)\n\nvast amounts of linguistic knowledge (Peters et al., 2018b; Goldberg, 2019; Tenney et al., 2019) useful for downstream tasks. This knowledge is usually accessed either by conditioning on latent context representations produced by the original model or by using the original model weights to initialize a task-specific model which is then further fine-tuned. This type of knowledge transfer is crucial for current state-of-the-art results on a wide range of tasks. In contrast, knowledge bases are e ective soblanks (e.g. \"Cats like to chase [\\_\\_\\_]\"). Petroni et al. (2019) showed that, for some relation types, vanilla BERT is competitive with methods relying on knowledge bases (Figure 2), and Roberts et al. (2020) show the same for open-domain QA using T5 model (Raffel et al., 2019). Davison et al. (2019) suggest that it generalizes better to unseen data. In order to retrieve BERT's knowledge, we need good template sentences, and there is work on their automatic extraction and augmentation (Bouraoui et al., 2019; Jiang et al., 2019b).\n\nff lutions for accessing annotated gold-standard relational data by enabling queries such as (D ante , born-in , X ). However, in practice we often need to extract relational data from text or other modalities to populate these knowledge bases. This requires complex NLP pipelines involving entity extraction, coreference resolution, entity linking and relation extraction (Surdeanu and Ji, 2014)components that often need supervised data and fixed schemas. Moreover, errors can easily propagate and accumulate throughout the pipeline. Instead, we could attempt to query neural language models for relational data by asking them to fill in masked tokens in sequences like 'Dante was born However, BERT cannot reason based on its world knowledge . Forbes et al. (2019) show that BERTcan \"guess\" the affordances and properties of many objects, but can not reason about the relationship between properties and affordances. For example, it 'knows\" that people can walk into houses, and that houses are big, but it cannot infer that houses are bigger than people. Zhou et al. (2020) and Richardson and Sabharwal (2019) also show that the performance drops with the number of necessary inference steps. Some of BERT's world knowledge success comes from learning stereotypical associations (Poerner et al., 2019), e.g., a person with an Italian-sounding name is predicted to be Italian, even when it is incorrect.\n\n## 3.4 Limitations\n\nMultiple probing studies in section 3 and section 4 report that BERT possesses a surprising amount of syntactic, semantic, and world knowledge. However, Tenney et al. (2019a) remarks, 'the fact that a linguistic pattern is not observed by our probing classifier does not guarantee that it is not there, and the observation of a pattern does not tell us how it is used.\" There is also the issue of how complex a probe should be allowed to be (Liu et al., 2019a). If a more complex probe recovers more information, to what extent are we still relying on the original model?\n\nFurthermore, different probing methods may lead to complementary or even contradictory conclusions, which makes a single test (as in most stud-\n\n(\n\nDante\n\n,\n\nborn-in\n\n,\n\nX\n\n)\n\nSymbolic\n\nMemory Access\n\nFlorence", - "page_start": 2, - "page_end": 2, - "source_file": "arxiv2_taclccby4_license.pdf" - }, - { - "text": "| OntoLearn (Reloaded), 2013, [3] It focuses on \"lexicalised ontologies\" and uses seed knowledge. It implements 5 steps: terminology extraction, hypernym graph construction, domain filtering of hypernyms, hypernym graph pruning and 2010, [2] steps: text preprocessing, concept extraction (C/NC- value), taxonomy construction, and non-taxonomic relation acquisition (rule-based and probabilistic). | It relies on WordNet and POS It considers only multiword terms and relies on WordNet and POS tags. It does not distinguish between terms and concepts and implements different adaptable approaches. | | | Pipeline Building | OLAF Pipeline Optimisation | | |", - "page_start": 0, - "page_end": 0, - "source_file": "infographic5.pdf" - }, - { - "text": "- Neumann, Bernd; Möller, Ralf (January 2008). \"On scene interpretation with description logics\". Image and Vision Computing . 26 (1): 82-101. doi:10.1016/j.imavis.2007.08.013 (https://doi. org/10.1016%2Fj.imavis.2007.08.013). S2CID 10767011 (https://api.semanticscholar.org/Co rpusID:10767011).", - "page_start": 60, - "page_end": 60, - "source_file": "wikipedia3.pdf" - } - ] - }, - { - "references": { - "source_file": "infographic5.pdf", - "query": "Is Text2Onto still updated nowadays?", - "target_page": 1, - "target_passage": "But it is not maintained since 2011.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- Wong, Matteo (19 May 2023), \"ChatGPT Is Already Obsolete\" (https://www.theatlantic.com/tech nology/archive/2023/05/ai-advancements-multimodal-models/674113/), The Atlantic , archived (https://web.archive.org/web/20240918022529/https://www.theatlantic.com/technol ogy/archive/2023/05/ai-advancements-multimodal-models/674113/) from the original on 18 September 2024, retrieved 5 October 2024", - "page_start": 65, - "page_end": 65, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- /SM590000 13.4, 'Software update' on page 687", - "page_start": 694, - "page_end": 694, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The snapshot status", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Unfixed Messages and Alerts", - "page_start": 724, - "page_end": 724, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The write activity since it was disconnected", - "page_start": 561, - "page_end": 561, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Incremental: Yes", - "page_start": 489, - "page_end": 489, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Tivoli Storage Manager\n - /SM590000 Content Manager OnDemand Client logon", - "page_start": 413, - "page_end": 413, - "source_file": "sg246915.pdf" - }, - { - "text": "- /SM590000 The restore status", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - }, - { - "text": "Note: At this point, the update is 50% completed. You now have one node from each iogrp updated with the new code manually. Always leave the configuration node for last during a manual software update.", - "page_start": 721, - "page_end": 721, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The date and time that the last snapshot was created", - "page_start": 529, - "page_end": 529, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What was the proportion of revenue generated by wireless telecommunications operations in 2009?", - "target_page": 91, - "target_passage": "6,685", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## Wireless\n\nThe trends in Wireless revenue and adjusted operating profit reflect:\n\n - GLYPH<129> the growing number of wireless voice and data subscribers\n - GLYPH<129> decreased churn\n - GLYPH<129> higher usage of wireless data\n - GLYPH<129> higher handset subsidies as more consumers shift to smartphones\n - GLYPH<129> a slight decrease in blended ARPU due to changes in wireless price plans.\n\nWe continue to target higher value postpaid subscribers, which has contributed to the significantly heavier mix of postpaid versus prepaid subscribers. Growth in our customer base and overall market penetration have resulted in higher costs over time for customer service, retention, credit and collection; however, most of the cost increases have been offset by gains in operating efficiencies.\n\nWireless' operating results are influenced by the timing of our marketing and promotional expenditures and higher levels of subscriber additions and related subsidies, resulting in higher subscriber acquisition and activation-related expenses in certain periods. This increased activity generally occurs in the third and fourth quarters, and can also occur or be accentuated by the launch of popular new wireless handset models.\n\n## Cable\n\nThe trends in Cable services revenue and operating profit increases are primarily due to:", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Results of Continuing Operations\n\n## 2003 compared to 2002\n\nTotal revenue was $105.9 million in 2003, an increase of $12.9 million or 13.9%. Total revenues included $70.0 million of wireless revenues, an increase of $12.0 million or 20.7%; wireline revenues of $29.0 million, an increase of $0.3 million or 0.9%; and other revenues of $7.0 million, an increase of $0.6 million or 9.7%.\n\nWithin wireless revenues, the PCS operation contributed $69.8 million, an increase of $11.6 million, or 20.8%. PCS service revenues were $44.4 million, an increase of $10.9 million or 32.4%. Service revenue growth was driven by the increase in subscribers, totaling 85,139 at December 31, 2003, an increase of 17,297 or 25.5%, compared to 67,842 subscribers at year-end 2002. The company had churn of 2.1% in 2003 compared to 2.8% in 2002. The decline in the churn rate is the result of tightening the credit screening for new subscribers as well as continued efforts to improve the after sales support. Competition in the wireless industry continues to have a significant impact on the results of the Company's PCS operation.\n\nPCS travel revenue, including reseller revenue, which is compensation between Sprint and its PCS Affiliates for use of the other party's network, was $16.8 million, an increase of $0.3 million or 1.8%. Travel revenue is impacted by the geographic size of the Company's network service area, the overall number of Sprint wireless customers, their travel patterns and the travel exchange rate. The rate received on travel was $0.058 per minute in 2003, compared to $0.10 per minute in 2002. As a part of the amended management agreement signed on January 30, 2004, Sprint and the Company agreed to maintain the travel rate at $0.058 per minute through December 31, 2006.\n\n\n\n■", - "page_start": 46, - "page_end": 46, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## WIRELESS FINANCIAL RESULTS\n\n| | Years ended December 31 | Years ended December 31 | Years ended December 31 |\n|----------------------------------------------------------|---------------------------|---------------------------|---------------------------|\n| (In millions of dollars, except percentages) | 2013 | 2012 | % Chg |\n| Operating revenue | | | |\n| Network revenue | $ 6,748 | $ 6,719 | - |\n| Equipment sales | 522 | 561 | (7) |\n| Operating revenue - Wireless | 7,270 | 7,280 | - |\n| Operating expenses | | | |\n| Cost of equipment 1 | (1,535) | (1,585) | (3) |\n| Other operating expenses | (2,578) | (2,632) | (2) |\n| | (4,113) | (4,217) | (2) |\n| Adjusted operating profit - Wireless | $ 3,157 | $ 3,063 | 3 |\n| Adjusted operating profit margin as % of network revenue | 46.8 % | 45.6 % | |\n| Additions to property, plant and equipment | $ 865 | $ 1,123 | (23) |\n| Data revenue included in network revenue | $ 3,175 | $ 2,722 | 17 |\n| Data revenue as % of network revenue | 47 % | 41 % | |\n\n - 1 Includes the cost of equipment sales and direct channel subsidies.\n\n\n\n## WIRELESS SUBSCRIBER RESULTS 1, 2", - "page_start": 42, - "page_end": 42, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Average Revenue per User Calculations - Wireless\n\n| (In millions of dollars, subscribers in thousands, except ARPU figures and | Years ended December 31 | Years ended December 31 |\n|------------------------------------------------------------------------------|---------------------------|---------------------------|\n| adjusted operating profit margin) | 2013 | 2012 |\n| Postpaid ARPU (monthly) | | |\n| Postpaid (voice and data) revenue | $ 6,470 | $ 6,402 |\n| Divided by: average postpaid wireless voice and data subscribers | 7,957 | 7,698 |\n| Divided by: twelve months for the year | 12 | 12 |\n| | $ 67.76 | $ 69.30 |\n| Prepaid ARPU (monthly) | | |\n| Prepaid (voice and data) revenue | $ 278 | $ 317 |\n| Divided by: average prepaid subscribers | 1,481 | 1,667 |\n| Divided by: twelve months for the year | 12 | 12 |\n| | $ 15.64 | $ 15.84 |\n| Blended ARPU (monthly) | | |\n| Voice and data revenue | $ 6,748 | $ 6,719 |\n| Divided by: average wireless voice and data subscribers | 9,438 | 9,365 |\n| Divided by: twelve months for the year | 12 | 12 |\n| | $ 59.58 | $ 59.79 |", - "page_start": 85, - "page_end": 85, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Revenue from equipment sales was lower this year, mainly because fewer existing subscribers upgraded their devices and there were fewer gross activations.\n\n## Lower Operating Expenses\n\nWe assess operating expenses in two categories:\n\n - GLYPH<129> the cost of wireless handsets and equipment\n - GLYPH<129> all other expenses involved in day-to-day operations, to service existing subscriber relationships and attract new subscribers.\n\nThe cost of equipment was $50 million lower than last year, or 3 % , mainly because fewer existing subscribers upgraded hardware and fewer new customers were added during the year as discussed above. We activated and upgraded fewer devices compared to 2012.\n\nTotal customer retention spending (including subsidies on handset upgrades) was $939 million, 0.3 % lower than last year. The reduction was mainly because fewer existing subscribers upgraded their hardware as discussed above, which we partially attribute to the recent shift to two year contracts.\n\nOther operating expenses (excluding retention spending), were down slightly from 2012, due to a continued focus on cost productivity initiatives we are implementing across various functions.\n\n## Higher Adjusted Operating Profit\n\nAdjusted operating profit was 3 % higher this year compared to last year because of continued growth of wireless data, our improvements in cost management and efficiency and lower volumes of hardware sales and upgrades. Adjusted operating profit margin as a percentage of network revenue increased this year to 46.8 % from 45.6 % in 2012.\n\n", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Wireless revenues from the Company's paging operation were $0.3 million, a decrease of $0.1 million as the local customer base increasingly chose alternative digital wireless services. Paging service subscribers declined by 7.8% in 2002 from 3,190 subscribers to 2,940 subscribers.\n\nWithin wireline revenues, the Telephone operation contributed $22.5 million, an increase of $0.9 million, or 4.0%. Telephone access revenues were $10.9 million, an increase of $1.4 million or 14.8%. The growth in access revenues was driven by a 38.4% increase in access minutes of use on the Company's network and an increased percentage of minutes in the intrastate jurisdiction, where rates are higher than the interstate jurisdiction. On January 1, 2002 the Federal subscriber line charge (SLC) for residential customers increased from $3.50 to $5.00 per month. The SLC\n\n■", - "page_start": 50, - "page_end": 50, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "## SHENANDOAH TELECOMMUNICATIONS COMPANY AND SUBSIDIARIES MANAGEMENT'S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS\n\nsignificant industry competition for subscriber additions and subscriber retention. These discounts and rebates are primarily transacted in the form of instant rebates, providing a second phone free when a customer purchases one, or providing free phones if the subscriber signs up for a specific contract term and a specific service plan. PCS equipment sales were $2.1 million, an increase of $0.4 million or 26.6%. The equipment sales are net of $1.7 million of rebates and discounts given at the time of sale. Rebates and discounts continue to be required to meet\n\nIn accordance with Sprint's requirements, the Company launched third generation (3G 1X) wireless service in August 2002. 3G 1X is the first of a four-stage migration path that will enable additional voice capacity and increased data speeds for subscribers. The network upgrades completed in 2002 were software changes, channel card upgrades, and some new network elements required for packet data. The Company's base stations were outfitted with network card enhancements, thereby allowing the Company to provide 3G 1X service without wholesale change-outs of base stations. 3G 1X is backwards compatible with the existing 2G network, thereby allowing continued use of current customer handsets. The impact of 3G 1X-network enhancements on revenues became more pronounced in 2003, as use of new 3G services and features generated approximately $1.0 million for the year, compared to $0.2 million in 2002. The growth in 3G revenue is the result of more subscribers on 3G plans and the increase in popularity of camera phones during 2003.\n\nWireless revenues included tower leases of $2.6 million, an increase of $0.5 million or 24.8%. The increase was the result of other wireless carriers executing additional leases to use space on the Company's portfolio of towers. Of the 88 towers and poles owned by the Company as of December 31, 2003, 52 towers have one or more external tenants, compared to 46 towers with external tenants at the end of 2002.\n\nWireless revenues from the Company's paging operation were $0.2 million, a decrease of $0.1 million as the customer base increasingly chose alternative wireless services. Paging service subscribers declined by 32.3% in 2003 from 2,940 subscribers to 1,989 subscribers. The paging operation continues to decline as more areas are covered by wireless voice services, which have features that surpass those of paging technologies. The Company anticipates that its paging customer base will continue to decline in the future.\n\nWithin wireline revenues, the Telephone operation contributed $22.7 million, an increase of $0.3 million, or 1.2%. Telephone access revenues were $11.6 million, an increase of $0.7 million or 6.7%. During 2003, the Company recorded a $1.2 million reduction to access revenue, of which $0.7 million was related to 2002, resolving disputes with interexchange carriers on the rating of long distance calls transiting the Telephone switching network for termination on wireless networks.\n\nOriginating access revenue increased in 2003 due in part to a shift from interstate to intrastate traffic. On similar traffic volume in both years, the Company generated an additional $0.4 million due to a favorable rate differential of $0.03 per minute on the increase in the mix of intrastate traffic. The Company's increased access revenue was also a result of the benefit gained through terminating more minutes through the switch, which increased 36.0 million minutes or 35.7% over 2002. The rates for terminating traffic were similar in both years, although the percentage of terminating traffic to total traffic increased from 58% in 2002 to 65% in 2003.", - "page_start": 47, - "page_end": 47, - "source_file": "NASDAQ_SHEN_2003.pdf" - }, - { - "text": "Network revenue was higher this year compared to last year. This was the net effect of:\n\n - GLYPH<129> higher data revenue related to an increase in subscriber levels and higher usage of wireless data services\n - GLYPH<129> partially offset by our introduction of new lower priced US and international roaming plans and rates which offer consumers more value, and\n - GLYPH<129> the continued adoption of customer friendly simplified plans, which often bundle in certain features like voicemail, caller ID and long distance that we have charged for separately in the past.\n\nExcluding the decline in US and international roaming revenue this year, network revenue would have increased 1 % .\n\nData revenue was 17 % higher this year mainly because of the continued penetration and growing use of smartphones, tablet devices and wireless laptops, which increased the use of e-mail, wireless, Internet access, text messaging and other wireless data services. Data revenue represented approximately 47 % of total network revenue this year, compared to approximately 41 % last year.\n\nPostpaid churn was 1.24 % this year, compared to 1.29 % in 2012. The lower churn rate is partly attributable to the new simplified plans and the roaming plans we introduced.\n\nGross postpaid subscriber additions were 1.4 million this year, or 3 % lower than last year, which reduced net postpaid subscriber additions to 228,000, despite a lower postpaid churn. We believe the industry transition from three year to two year plans resulting from the recent adoption of the Canadian Radio-television and Telecommunications Commission (CRTC) Wireless Code may have slowed our overall wireless subscriber growth from the second half of the year. See 'Regulation in Our Industry' for more information on the Wireless Code.\n\nWe activated and upgraded approximately 2.7 million smartphones this year, compared to approximately 2.9 million in 2012. Approximately 34 % of these were for new subscribers. The decrease was mainly because there was a 10 % reduction in hardware upgrades by existing subscribers during the year, which we also believe is at least partly due to the move from three to two year contracts and the associated pricing changes.\n\nThe percentage of subscribers with smartphones increased to 75 % of our overall postpaid subscriber base, compared to 69 % at the end of 2012. Smartphone subscribers typically generate significantly higher ARPU and are less likely to churn.\n\n\n\nThe decrease in prepaid subscriber net additions was mainly because of increasing competition at the lower end of the wireless market where prepaid products are mainly sold.\n\nBlended ARPU was down slightly this year compared to last year because the voice component declined at a faster rate than the data component increased.\n\n\n\n\n\n## Lower Equipment Sales\n\nEquipment sales (net of subsidies) include revenue from sales to:\n\n - GLYPH<129> independent dealers, agents and retailers\n - GLYPH<129> directly to subscribers through fulfillment by Wireless' customer service groups, websites, telesales and corporate stores.", - "page_start": 43, - "page_end": 43, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## KEY CHANGES IN FINANCIAL RESULTS THIS YEAR COMPARED TO 2012\n\n| (In millions of dollars) | Change | see page |\n|--------------------------------------------------------------------|----------|------------|\n| Operating revenue changes - higher (lower): | | |\n| Network revenue - Wireless | $ 29 | 39 |\n| Equipment sales - Wireless | (39) | 39 |\n| Cable | 117 | 42 |\n| Business Solutions | 23 | 45 |\n| Media | 84 | 48 |\n| Corporate items and intercompany eliminations | 6 | |\n| Higher operating revenue compared to 2012 | 220 | |\n| Adjusted operating profit changes - higher (lower): | | |\n| Wireless | 94 | 39 |\n| Cable | 113 | 42 |\n| Business Solutions | 17 | 45 |\n| Media | (29) | 48 |\n| Corporate items and intercompany eliminations | (36) | |\n| Higher adjusted operating profit 1 compared to 2012 | 159 | |\n| Higher stock-based compensation expense | (7) | 51 |\n| Lower restructuring, acquisition and other expenses | 7 | 51 |\n| Higher depreciation and amortization | (79) | 51 |\n| Impairment recognized in 2012 | 80 | 51 |\n| Higher operating income 2 compared to 2012 | 160 | |\n| Higher finance costs | (71) | 52 |\n| Gain on sale of interest in TVtropolis | 47 | 52 |\n| Gain on Inukshuk spectrum distribution in 2012 | (233) | 52 |\n| Other | 17 | 53 |\n| Lower income taxes | 24 | 52 |\n| Decrease in net income from continuing operations compared to 2012 | (56) | |\n| Loss from discontinued operations in 2012 | 32 | 52 |\n| Decrease in net income compared to 2012 | (24) | |\n\n## Operating Revenue\n\nWireless network revenue was higher than last year because of higher adoption and usage of wireless data services, partially offset by the introduction of lower priced roaming plans and pricing changes made over this year.\n\nCable operating revenue was higher than last year mainly because of growth in Internet and phone revenues and the acquisition of Mountain Cable, partially offset by a decline in television revenue related principally from competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher than last year mainly because we completed the acquisitions of Blackiron Data and Pivot Data Centres earlier this year combined with the continued growth in on-net and next generation services, partially offset by planned decline in legacy voice and data services.\n\nMedia operating revenue was higher than last year mainly because of revenue growth at Sportsnet, higher attendance at Toronto Blue Jays games and higher sales at The Shopping Channel.\n\n## Adjusted Operating Profit", - "page_start": 39, - "page_end": 39, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## FOURTH QUARTER 2013 RESULTS\n\n## Operating Revenue\n\nWireless network revenue was lower this quarter compared to the same period last year, mainly because of the recent introduction of lower priced roaming plans and pricing changes made over the past year primarily associated with our new simplified plans.\n\nCable operating revenue was higher this quarter compared to the same period last year, mainly because of Internet growth and the acquisition of Mountain Cable, partially offset by a decline in television revenue with competitive TV subscriber losses.\n\nBusiness Solutions operating revenue was higher this quarter compared to the same period last year, mainly because we completed the acquisitions of Blackiron Data and Pivot Data Centres earlier this year, combined with the continuing growth in on-net and next-generation services.\n\nMedia operating revenue was higher this quarter compared to the same period last year, mainly because of revenue growth at Sportsnet and higher sales at The Shopping Channel.\n\n## Adjusted Operating Profit\n\nWireless adjusted operating profit was higher this quarter compared to the same period last year, mainly because of cost management and productivity initiatives implemented across various areas, including cost of equipment, offset by reduced network revenue described above.\n\nCable adjusted operating profit was higher this quarter compared to the same period last year because of the continued shift in our product mix towards higher margin Internet and phone products.\n\nMedia's adjusted operating profit was lower this quarter compared to the same period last year. The increase in Media's operating revenue this year was more than offset by the combined impacts of the lower number of games broadcast in the fourth quarter of 2012 resulting from the NHL lockout compared with having to broadcast more NHL hockey games in the fourth quarter of 2013 because of the compressed 2013-2014 schedule associated with the upcoming winter Olympics. Excluding the impact of these items, Media's consolidated adjusted operating profit would have increased by 22 % .\n\n## Operating Income and Net Income\n\nOperating income was higher than the same quarter last year because stock-based compensation was lower and we realized an $80 million impairment charge in 2012. This was partially offset by higher depreciation and amortization, restructuring, acquisition and other expenses.\n\nNet income this quarter was lower than the same quarter last year because of the changes in revenue, adjusted operating profit and operating income. Also, in 2012 we realized a $233 million gain on spectrum licenses that Inukshuk sold to our non-related venture partner and recorded the related income tax benefits that year.\n\nNet income from continuing operations was $320 million this quarter, with basic and diluted earnings per share from continuing operations of $0.62. In the fourth quarter of 2012, net income from continuing operations was $522 million, basic earnings per share from continuing operations was $1.01 and diluted earnings per share from continuing operations was $1.01. The decrease this quarter was largely because of the $233 million gain on spectrum licenses in 2012 noted above.\n\n## QUARTERLY TRENDS\n\nOur operating results generally vary from quarter to quarter because of changes in general economic conditions and seasonal fluctuations, in each of our business segments, which have a material impact. As such, one quarter's operating results are not necessarily indicative of our results in a subsequent quarter. Wireless, Cable and Media each have unique seasonal aspects to their businesses.\n\nFluctuations in net income from quarter to quarter can also be attributed to losses on the repayment of debt, foreign exchange gains or losses, changes in the fair value of derivative instruments, other income and expenses, impairment of assets and changes in income tax expense.\n\n## Wireless", - "page_start": 58, - "page_end": 58, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "What has Rogers Communications done to improve its television platform?", - "target_page": 2, - "target_passage": "Launched NextBox 3.0 delivering a superior TV experience and leveraged the success of Rogers AnyPlace TV, our Internet and mobile on-demand TV service.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## 4. STRENGTHEN THE CUSTOMER EXPERIENCE\n\nConstantly improve the experience that customers have using our products and services by making it easier for them, providing the tools and resources customers need to use our products with confidence, being attuned to our customers' evolving needs and continuing to simplify our product offerings.\n\n## OUR PROGRESS IN 2013\n\nWe launched several new programs this year to improve the customer experience, including Canada's first Share Everything plans for individuals, families and small businesses, our 'worry free' $7.99 per day US wireless data roaming plan, a new suite of simplified travel value packs of voice, text and data roaming, and the Rogers First Rewards loyalty program, and we received regulatory approval for the Rogers credit card. Connected for Success, our new broadband Internet pilot project is designed to provide affordable broadband Internet, computers and software to residents of Toronto Community Housing as part of the Rogers Youth Fund program.\n\n## 5. IMPROVE PRODUCTIVITY AND COST STRUCTURE\n\nContinue to focus on cost-optimization initiatives and organizational efficiency by improving service delivery, reducing complexity, focusing on fewer projects with more impact, managing expenses and working more closely with key suppliers.\n\n## OUR PROGRESS IN 2013\n\nWe continued to make progress on our cost efficiency initiatives this year, which contributed to a 3 % increase in consolidated adjusted operating profit and a 6 basis point increase in our consolidated adjusted operating profit margin to 39.3 % , driven mostly by Wireless and Cable.\n\n## 6. DRIVE FUTURE GROWTH OPPORTUNITIES\n\nContinue to develop targeted new growth areas of our business, including machine-to-machine (M2M) communications, mobile commerce and video, business communications services, local and digital media services, home automation and sports.\n\n## OUR PROGRESS IN 2013\n\nWe made strides in the M2M market this year, demonstrating a single, worldwide SIM card with our M2M global alliance partners that will strengthen our M2M offering to multinational customers, and announcing an M2M agreement with Sprint to bring a comprehensive in-car infotainment solution to the Canadian market. We also certified the Suretap wallet, our mobile payment service, for the Android and BlackBerry 10 operating smartphone systems. We received a licence to operate a bank for the purposes of launching a Rogers' branded credit card. In addition, we expanded our Rogers Smart Home Monitoring footprint, and launched other initiatives such as Outrank, an online site for marketing and advertising small business, introduced Rogers Alerts and other digital opportunities.", - "page_start": 35, - "page_end": 35, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Executive Summary\n\n## ABOUT ROGERS COMMUNICATIONS INC.\n\n## Rogers Communications is one of Canada's leading diversified communications and media companies.\n\nWe provide a broad range of services: wireless and wired voice and data communications, cable television, high-speed Internet, cable telephony, wired telecom and data networking services to consumers and businesses. We also compete in television and radio broadcasting, multi-platform shopping, sports media and entertainment, digital media and consumer, trade and professional publications.\n\nAlmost all of our operations and sales are in Canada. We have a highly skilled and diversified workforce of approximately 28,000 employees. Our head-office is in Toronto, Ontario and we have numerous offices across Canada.\n\n## FOUR BUSINESS SEGMENTS\n\nWe report our results of operations in four segments.\n\n| Wireless | Wireless telecommunications operations for consumers and businesses |\n|--------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Cable | Cable telecommunications operations, including cable television, Internet and cable telephony for Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre network assets to support a range of voice, data, networking, data centre and cloud-based services for medium and large Canadian businesses, governments, and other telecommunications providers |\n| Media | A diversified portfolio of media properties, including television and radio broadcasting, digital media, multi- platform shopping, publishing and sports media and entertainment |\n\n\n\n## (%) 20 1 3 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT\n\n", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## STRATEGIC OBJECTIVES AND VALUE DRIVERS\n\nAt Rogers, our purpose is to easily connect customers with what matters most. Our vision is to be known for leading the enablement of seamless, and reliable experiences across any device, place or time.\n\n## DELIVER INDUSTRY-LEADING SHAREHOLDER RETURNS\n\nOur mandate is to deliver long-term value and industry-leading shareholder returns. To sustain our lead as the top integrated telecommunications and media company in Canada, our actions and investments are guided by the following six long-term strategic objectives:\n\n## DELIVER DIFFERENTIATED END-TO-END CUSTOMER EXPERIENCES\n\nFocus on evolving our cross-device integration to enable seamless, reliable and easy-to-use experiences anytime, anyplace and anywhere; on delivering a differentiated range of devices and device-related services; and on enabling greater integration of our media assets across screens.\n\n## STRENGTHEN THE CUSTOMER EXPERIENCE\n\nConstantly improve the experience that customers have using our products and services by making it easier for them; providing the tools and resources customers need to use our products with confidence; being attuned to our customers' evolving needs; and continuing to simplify our product offerings.\n\n## MAINTAIN INDUSTRY-LEADING NETWORKS\n\nReinforce our fastest and most reliable networks by expanding our LTE network to a wider proportion of the Canadian population, continuing to increase broadband Internet speeds to capture and monetize the growth in data consumption, and further enhancing our TV platform with next generation features and functionality.\n\n## IMPROVE PRODUCTIVITY AND COST STRUCTURE\n\nContinue to focus on cost-optimization initiatives and organizational efficiency by improving service delivery; reducing complexity; focusing on fewer, more impactful projects; managing expenses, and working closely with key suppliers.\n\nFOR A DETAILED DISCUSSION OF OUR STRATEGIC GOALS AND OBJECTIVES, SEE THE ' OUR STRATEGY ' SECTION IN THE ACCOMPANYING MD&A LATER IN THE REPORT.\n\n## EXPAND OUR SERVICES REACH\n\nExpand the reach of our networks and services through new construction and targeted acquisitions that complement our existing platforms; by more widely deploying products and services; and by expanding the reach of key media brands nationally and across our digital platforms.\n\n## DRIVE FUTURE GROWTH OPPORTUNITIES\n\nContinue to develop targeted new growth areas of our business, including machine-to-machine communications, mobile commerce and video, sports, business communications services, local and digital media services, and home automation.", - "page_start": 7, - "page_end": 7, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## LEADING CONTENT\n\n\n\nROGERS IS COMMITTED TO DELIVERING WORLD-CLASS CONTENT AND EXPERIENCES TO CONSUMERS AND ADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY HAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA BRANDS WITH COMPELLING CONTENT THAT RESONATES WITH AUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers category-leading television and radio assets, sports entertainment, televised and online shopping, publishing, and digital media properties as the one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada's premier combination of diversified broadcast, specialty, sports, print and online media assets which together touch nearly 90% of Canadians every week. This includes over 50 popular AM and FM radio stations across Canada. In television, it includes the seven station City network which broadcasts intensely local, urban-oriented", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## DELIVERING WHAT'S NEXT\n\nLEADING NEXT GENERATION NETWORKS\n\nDIGITAL MEDIA\n\nADVANCED IP SOLUTIONS\n\nMOBILE COMMERCE\n\nHOME AUTOMATION\n\nENTERPRISE MOBILE APPLICATIONS\n\nMACHINE-TOMACHINE COMMUNICATIONS\n\nMOBILE STREAMING TELEVISION\n\nCONVERGED WIRELESS/ WIRELINE\n\nINNOVATION AND A DRIVE TO BE FIRST TO DELIVER THE MOST ADVANCED INFORMATION, COMMUNICATIONS, ENTERTAINMENT AND TRANSACTION SERVICES, SOLUTIONS AND DEVICES ARE AT THE VERY CORE OF ROGERS.\n\nAs one of the first carriers in the world to offer the telecommunications 'quadruple play' of wireless, television, Internet and telephony services over its own networks, few have more capabilities or success in enabling subscribers to enjoy their experiences across multiple screens.\n\nRogers has a long history of firsts, including the first cellular call in Canada, the world's first high-speed cable modem service, the first digital cellular network in North America, Canada's first video-on-demand and mobile TV services, the first HSPA and LTE networks and the first to offer iPhone, Android, BlackBerry and Windows 8 in Canada. With the combination of our advanced next-generation national wireless network, our powerful broadband cable infrastructure and our category-leading media assets, we are in a unique position to help Canadians to live like never before.", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## WHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN EVOLVE THE BUSINESS IN A WWAAY THAT WILL BE EVEN MORE REWARDING FORR OOUR CUSTOMERS, OUR SHAREHOLDERS AND EMMPPLLOYEES.' '\n\nGUY LAURENCE\n\n## A MESSAGE FROM THE PRESIDENT & CEO\n\nAs I write these words after recently joining the company, I can say with genuine enthusiasm that it's great to be here at Rogers. I took this post because Rogers is a remarkable company with a rich history and an unrivalled mix of wireless, cable and media assets. It is a good match with my background and my experience.\n\nDuring the recruiting and onboarding process, I spent considerable time with the Rogers family, the Board of Directors and the leadership team. I am struck by their energy, passion and drive to win, which I think we can harness to do even greater things. I also value the support and longerterm focus of the founding Rogers family who own significant equity in the company.\n\nSince joining, I have criss-crossed Canada meeting my team, external stakeholders and customers. I have also conducted numerous business reviews, overseen the 700 MHz spectrum auction and reviewed the regulatory agenda. All this with the view to developing a detailed set of priorities and plans for the company going forward. After I complete this review in the Spring I will outline a detailed strategy and business plan working with my management team.\n\nRogers has many strengths and I intend to capitalize on them. This is a financially strong company with a solid balance sheet and investment grade credit ratings. We have highly advanced cable and wireless networks and a robust portfolio of media assets. We also have a strong pipeline of new products and services to offer to our customers and some of the most passionate, committed employees I have ever worked with.\n\nWhile it is early days, I believe we can evolve the business in a way that will be even more rewarding for our customers, our shareholders and employees. Our goal is clear - winning on a consistent basis. And while our industry faces the challenge of moderating growth and regulatory uncertainty, few industries are more dynamic and better at leveraging new technologies.\n\nTo win, we must put our customers' needs front and centre in everything we do. This means delivering a better and more consistent customer experience. It means strengthening our value proposition to make sure our customers can answer the question 'why Rogers?' As a company, we need to bring our collection of assets together in a way that strengthens and differentiates Rogers with our customers and our shareholders. We also need to align and focus our investments in key areas to accelerate our growth. Internally we need to execute with operational excellence. And we need to focus on clarifying accountabilities and strengthening our teams at all levels of the company.\n\nAs CEO, I will work to re-establish our leadership position and accelerate our growth. This will take time. It is a longterm effort that will require a clear strategy, rigorous prioritization and disciplined execution. It will not be easy, but it is the job I have signed up for, and it is a challenge I intend to meet head-on.\n\nI look forward to continuing Ted's legacy, and to leading Rogers through the next phase of growth and to serving you, our shareholders.\n\nThank you for your continued business, investment and support.\n\n\n\nGUY LAURENCE\n\nPRESIDENT AND CHIEF EXECUTIVE OFFICER ROGERS COMMUNICATIONS INC.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Understanding Our Business\n\nRogers Communications is one of Canada's leading diversified communications and media companies.\n\nOur vision is to be known for leading the enablement and delivery of seamless, customer-driven communications, entertainment, information and transactional experiences across any device, place or time.\n\nWireless provides wireless voice and data communication services, including machine to machine to both consumer and enterprise businesses, governments and other telecommunications service providers. Cable provides voice and data communications, home monitoring, television and high-speed Internet services to both consumers and businesses. Business S olutions provides voice and data communications and advanced services including data centre based solutions and cloud computing services to a wide range of medium to large businesses, including other service providers, and government either wirelessly or over our terrestrial network. Revenue generated from these segments is generally based on monthly subscription and network usage rates. Costs include attracting, setting-up and retaining customers, content, and the costs of upgrading and maintaining the underlying network.\n\nOur wireless network is currently one of the most extensive and advanced independent high-speed wireless data networks in Canada, capable of supporting wireless services on smartphones, tablets, computers and a broad variety of machine-to-machine and specialized devices. We built the first Long Term Evolution (LTE) high speed network in Canada, reaching nearly 73 % of the Canadian population at December 31, 2013. We also have roaming agreements with international carriers in more than 200 other countries, including 5 LTE roaming operators and have network sharing arrangements with several carriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers services to consumers and businesses in Ontario, New Brunswick and\n\n## WIRELE SS\n\nsee page 37\n\nCanada's largest provider of wireless communications services.\n\n## CABLE\n\nsee page 41\n\nOne of Canada's leading providers of cable television, high-speed Internet and cable telephony services to consumers and businesses.\n\nNewfoundland. We also operate a North American transcontinental fibre-optic network that extends over 41,000 route kilometres that is used to serve enterprise customers, including government and other telecommunications service providers. In Canada, the network extends coast to coast and includes local and regional fibre, transmission electronics and systems, hubs, POPs and IP Routing and switching infrastructure. The network also extends to the US, from Vancouver south to Seattle, from the Manitoba-Minnesota border through Minneapolis, Milwaukee and Chicago, and from Toronto, through Buffalo, and Montreal, through Albany, to New York City, allowing us to connect Canada's largest markets, while also reaching key US markets for the exchange of data and voice traffic.\n\nMedia provides television and radio broadcasting services to end customers over both traditional broadcast networks and new digital networks as well as multi-platform shopping, consumer and trade publications and sports media and entertainment experiences, primarily through its ownership of the Toronto Blue Jays. Revenue is largely driven by advertising and, in the case of TV broadcasting and publishing by additional revenues from monthly subscriptions. Revenue is also generated by the sale of merchandise and event tickets. Costs include sports programming, broadcast content (including TV studios, writers and on air and on field talent), the cost of merchandise and the production costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how we manage our operations and measure our performance.\n\n## BU S INE SS S OLUTION S see page 45", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## ROGERS COMMUNICATIONS INC. AT A GLANCE\n\n\n\n\n\n\n\n\n\n## ROGERS COMMUNICATIONS\n\nRogers Communications (TSX: RCI; NYSE: RCI) is a diversi/fied Canadian telecommunications and media company. As discussed in the following pages, Rogers Communications is engaged in the telecom and media businesses through its primary operating segments Rogers Wireless, Rogers Cable, Rogers Business Solutions and Rogers Media.\n\nROGERS COMMUNICATIONS\n\n\n\n\n\n\n\nBUSINESS SOLUTIONS\n\n## WIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across Canada to approximately 9.5 million customers under the Rogers Wireless, Fido and chatr brands. Rogers Wireless is Canada's largest wireless provider and the only national carrier operating on the combined global standard GSM/HSPA+/LTE technology platforms. Rogers Wireless is Canada's leader in innovative wireless services, and provides customers with the best and latest wireless devices and applications and the fastest network speeds. Rogers Wireless also provides seamless wireless roaming across the U.S. and more than 200 other countries, and is the Canadian leader in the deployment of mobile commerce and machineto-machine communications.\n\n## CABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service territory covers approximately 4.0 million homes in Ontario, New Brunswick and Newfoundland representing approximately 30% of the Canadian cable market. Our advanced digital hybrid /fibre-coax network provides market leading highspeed broadband Internet access speeds, the most innovative selection of digital television and online viewing and telephony services to millions of residential and small business customers. Together with Rogers Business Solutions, it also provides scalable carrier-grade business telecom, networking, hosting and managed data services, and IP connectivity and solutions to medium and large enterprise, government and carrier customers.\n\n## MEDIA SEGMENT\n\nRogers Media is Canada's premier destination for category-leading television and radio broadcasting, sports entertainment, publishing, and digital media properties. Television assets include national City network which reaches more than 80% of Canadians, /five OMNI Television multilingual channels, seven regional and national Sportsnet channels, as well as specialty channels FX Canada, OLN, The Biography Channel and G4. Rogers Media also owns The Shopping Channel, Canada's only nationally televised and online shopping service. It operates more than 50 Canadian radio stations, publishes 50+ well known consumer and business magazines, and owns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball Club and Rogers Centre, Canada's largest sports and entertainment facility. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL Toronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## CONNECTED HOME\n\n\n\nROGERS CONTINUES TO DEFINE HOW FAMILIES COME TOGETHER AND CONNECT WITH THEIR WORLD. MILLIONS OF CANADIANS DEPEND ON ROGERS TO KEEP THEM INFORMED, CONNECTED AND ENTERTAINED WITH A COMBINATION OF THE FASTEST INTERNET SPEEDS AND THE MOST INNOVATIVE TELEVISION, TELEPHONY AND HOME MONITORING SOLUTIONS AVAILABLE.\n\nThe core of Rogers connected home strategy is to provide customers with the fastest broadband connections, together with the ability to seamlessly shift - to shift time, to shift screens and to shift places so they access what they want, when they want, on the screen of their choice.\n\nRogers offers the best in on-demand, sports, movies, specialty, episodic and multicultural programming. Customers can schedule, pause, rewind", - "page_start": 11, - "page_end": 11, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## WHY INVEST IN ROGERS\n\nRogers Communications has excellent positions in growing markets, powerful brands that stand for innovation, proven management, a long record of driving growth and shareholder value, and the financial strength to continue to deliver long-term growth.\n\n## LEADER IN CANADIAN COMMUNICATIONS INDUSTRY\n\nCanada's largest wireless carrier and a leading cable television provider, offering a 'quadruple play' of wireless, Internet, television and telephony services to consumers and businesses.\n\n## SUPERIOR ASSET MIX\n\nMajority of revenue and cash flow is generated from wireless and broadband services, the fastest growing segments of the telecommunications industry.\n\n## PROVEN LEADERSHIP AND ENGAGED EMPLOYEE BASE\n\nExperienced, performance-oriented management and operating teams with solid industry expertise, supported by the spirit of innovation and an entrepreneurial culture.\n\n## MUST-HAVE PRODUCTS AND SERVICES\n\nA leading provider of communications and entertainment products and services that are increasingly becoming integrated necessities in today's world.\n\n## STRONG FRANCHISES AND POWERFUL BRANDS\n\nStrong franchises with nationally recognized and highly respected brands that stand solidly in Canada for innovation, choice and value.\n\n## FINANCIAL STRENGTH AND FLEXIBILITY\n\nFinancially strong with an investment grade balance sheet, conservative debt leverage, and significant available financial liquidity.\n\n## ANNUALIZED DIVIDENDS PER SHARE: 2008-2013\n\n\n\n## CATEGORY-LEADING MEDIA ASSETS\n\nUnique and complementary collection of leading broadcast radio and television, specialty TV, sports entertainment, publishing and digital media assets.\n\n## LEADING NETWORKS AND INNOVATIVE PRODUCTS\n\nLeading wireless and broadband network platforms that deliver the most innovative communications, information and entertainment services.\n\n## HEALTHY TRADING VOLUME AND GROWING DIVIDENDS\n\nRCI common stock actively trades on the TSX and NYSE, with average daily trading volume of approximately 1.6 million shares. Each share pays an annualized dividend of $1.83 per share in 2014.\n\n## ADJUSTED NET INCOME AND EARNINGS PER SHARE\n\n", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_RCI_2013.pdf", - "query": "Until what NHL season will the Vancouver's ice hockey team be a Rogers Communications partner?", - "target_page": 39, - "target_passage": "Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## MEDIA\n\n - GLYPH<129> Exclusive NHL 12-year licensing agreement to broadcast national NHL games beginning with the 2014-2015 season was signed. The agreement grants Rogers the exclusive distribution of all national live and in-progress regular season and playoff games within Canada, in multiple languages, across all platforms. We executed separate agreements to sublicense certain of these broadcasting rights to TVA Sports and CBC.\n - GLYPH<129> Sportsnet 360 was launched, which is comprised of the rebranded theScore assets. The acquisition of theScore received final regulatory approval in the first half of this year.\n - GLYPH<129> Sportsnet announced a 10-year partnership extension with the Vancouver Canucks through the 2022-2023 NHL seasons, continuing a 14-year network tradition as the regional television broadcaster of Canucks hockey. The new agreement features a comprehensive suite of multimedia rights including television, online and mobile, delivering up to 60 regular season Vancouver Canucks games each season. Sportsnet is also the official regional television broadcast rights holder for the Toronto Maple Leafs, Calgary Flames and Edmonton Oilers.\n - GLYPH<129> Next Issue Canada, an innovative, all-you-can-read subscription digital magazine service that provides consumers with exclusive and unlimited access to a catalogue of more than 100 premium Canadian and US titles was launched. Next Issue Canada delivers access to our leading publishing brands alongside many of the most popular US magazine titles.\n - GLYPH<129> The Shopping Channel launched a brighter, easier, and more engaging multi-channel retail experience and a refreshed on-air and online look, an all-new mobile app, special-themed programming and improved shipping. The leading interactive and only national Canadian multi-channel retailer also added on-air social media engagement, new leading brands and more celebrity guest appearances.\n - GLYPH<129> Sportsnet announced an eight-year multi-platform broadcast rights extension with MLB Properties and MLB Advanced Media to show live and in-progress regular season and playoff baseball games and highlights within Canada.", - "page_start": 38, - "page_end": 38, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- GLYPH<129> Advanced our strategy of delivering highly sought-after sports content anywhere, anytime, on any platform and strengthening the value of our sports brand by entering into an exclusive 12-year licensing agreement with the NHL which begins with the 2014-2015 season and grants Rogers the following:\n - -national rights across television broadcasts, wireless and mobile tablets and Internet streaming\n - -national rights to all regular season games, all playoff games and the Stanley Cup Final, and all special events and nongame events (e.g. NHL All-Star Game, NHL Draft) - in multiple languages\n - -out-of-market rights for all regional games\n - -ownership of all linear and digital highlights, including condensed games and video archives\n - -NHL broadcast assets: Rogers to operate NHL Centre Ice and NHL Game Centre Live\n - -sponsorship rights to the NHL Shield logo as an official partner of the NHL\n - -Canadian representation of ad sales for NHL.com\n - -ownership of all commercial inventories for the television broadcasts", - "page_start": 51, - "page_end": 51, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "Through this agreement, Rogers plans to provide Canadians with a unique viewing experience that will feature expanded pre- and postgame coverage of regular season and playoff games and other enhanced NHL content. We expect this agreement to drive Sportsnet subscriber growth and to provide highly sought after content in multiple languages across all of Rogers' platforms.\n\n## MEDIA FINANCIAL RESULTS\n\n| | Years ended December 31 | Years ended December 31 | Years ended December 31 |\n|----------------------------------------------|---------------------------|---------------------------|---------------------------|\n| (In millions of dollars, except percentages) | 2013 1 | 2012 | % Chg |\n| Operating revenue - Media | $ 1,704 | $ 1,620 | 5 |\n| Operating expenses | (1,543) | (1,430) | 8 |\n| Adjusted operating profit - Media | $ 161 | $ 190 | (15) |\n| Adjusted operating profit margin | 9.4 % | 11.7 % | |\n| Additions to property, plant and equipment | $ 79 | $ 55 | 44 |\n\n - 1 Results of operations include theScore's operating results as of April 30, 2013 (the date of acquisition).\n\n\n\n## Higher Operating Revenue\n\nMedia generates revenue in five areas:\n\n - GLYPH<129> advertising sales across its television, radio, publishing and digital media properties\n - GLYPH<129> circulation\n - GLYPH<129> subscriptions\n - GLYPH<129> retail product sales\n - GLYPH<129> ticket sales, receipts of MLB revenue sharing and concession sales associated with Rogers Sports Entertainment.\n\nOperating revenue was 5 % higher this year, mainly because of:", - "page_start": 51, - "page_end": 51, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Executive Summary\n\n## ABOUT ROGERS COMMUNICATIONS INC.\n\n## Rogers Communications is one of Canada's leading diversified communications and media companies.\n\nWe provide a broad range of services: wireless and wired voice and data communications, cable television, high-speed Internet, cable telephony, wired telecom and data networking services to consumers and businesses. We also compete in television and radio broadcasting, multi-platform shopping, sports media and entertainment, digital media and consumer, trade and professional publications.\n\nAlmost all of our operations and sales are in Canada. We have a highly skilled and diversified workforce of approximately 28,000 employees. Our head-office is in Toronto, Ontario and we have numerous offices across Canada.\n\n## FOUR BUSINESS SEGMENTS\n\nWe report our results of operations in four segments.\n\n| Wireless | Wireless telecommunications operations for consumers and businesses |\n|--------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| Cable | Cable telecommunications operations, including cable television, Internet and cable telephony for Canadian consumers and businesses |\n| Business Solutions | Network connectivity through our fibre network assets to support a range of voice, data, networking, data centre and cloud-based services for medium and large Canadian businesses, governments, and other telecommunications providers |\n| Media | A diversified portfolio of media properties, including television and radio broadcasting, digital media, multi- platform shopping, publishing and sports media and entertainment |\n\n\n\n## (%) 20 1 3 CONSOLIDATED ADJUSTED OPERATING PROFIT BY SEGMENT\n\n", - "page_start": 29, - "page_end": 29, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\nprogramming across the country's largest markets, as well as five OMNI Television stations which deliver multilingual news, information and entertainment to Canada's multiple language communities.\n\nThe Sportsnet specialty network provides sports programming across Canada through its four regional television channels and its nationallydistributed Sportsnet ONE, Sportsnet World, and Sportsnet 360 stations. Rogers also owns other Canadian specialty television channels, including FX Canada, OLN, The Biography Channel and G4.\n\nThe Shopping Channel - Canada's only nationally televised and Internet shopping service - is a leading interactive multi-channel retailer, offering a vast assortment of exclusive products and top brand names. As one of Canada's most innovative and diversified retailers, it provides customers with exceptional selections in health/beauty, jewelry, home/lifestyle, fashion/accessories, and electronics.\n\nRogers also publishes many well-known consumer magazines, such as Maclean's, Chatelaine, FLARE, L'actualité, and Canadian Business, and is the leading publisher of a number of industry, medical and financial publications. Rogers also controls a suite of fast-growing digital media assets, including 90+ owned and 300+ premium partnership online sites, as well as the recently launched Next Issue Canada digital magazine platform which provides 100+ of North America's most celebrated titles on an unlimited anytime, anywhere basis.\n\nIn sports entertainment, Rogers owns the Toronto Blue Jays baseball team and Rogers Centre stadium, Canada's largest sports and entertainment facility and home field of the Blue Jays. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment which owns the NHL Maple Leafs, NBA Raptors, MLS Toronto FC and a number of other sports related assets.", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## WHAT'S NEXT? IF YOU'RE WITH ROGERS, YOU'LL BE THE FIRST TO KNOW.", - "page_start": 130, - "page_end": 130, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## Understanding Our Business\n\nRogers Communications is one of Canada's leading diversified communications and media companies.\n\nOur vision is to be known for leading the enablement and delivery of seamless, customer-driven communications, entertainment, information and transactional experiences across any device, place or time.\n\nWireless provides wireless voice and data communication services, including machine to machine to both consumer and enterprise businesses, governments and other telecommunications service providers. Cable provides voice and data communications, home monitoring, television and high-speed Internet services to both consumers and businesses. Business S olutions provides voice and data communications and advanced services including data centre based solutions and cloud computing services to a wide range of medium to large businesses, including other service providers, and government either wirelessly or over our terrestrial network. Revenue generated from these segments is generally based on monthly subscription and network usage rates. Costs include attracting, setting-up and retaining customers, content, and the costs of upgrading and maintaining the underlying network.\n\nOur wireless network is currently one of the most extensive and advanced independent high-speed wireless data networks in Canada, capable of supporting wireless services on smartphones, tablets, computers and a broad variety of machine-to-machine and specialized devices. We built the first Long Term Evolution (LTE) high speed network in Canada, reaching nearly 73 % of the Canadian population at December 31, 2013. We also have roaming agreements with international carriers in more than 200 other countries, including 5 LTE roaming operators and have network sharing arrangements with several carriers in Canada.\n\nOur expansive fibre and hybrid fibre coaxial infrastructure delivers services to consumers and businesses in Ontario, New Brunswick and\n\n## WIRELE SS\n\nsee page 37\n\nCanada's largest provider of wireless communications services.\n\n## CABLE\n\nsee page 41\n\nOne of Canada's leading providers of cable television, high-speed Internet and cable telephony services to consumers and businesses.\n\nNewfoundland. We also operate a North American transcontinental fibre-optic network that extends over 41,000 route kilometres that is used to serve enterprise customers, including government and other telecommunications service providers. In Canada, the network extends coast to coast and includes local and regional fibre, transmission electronics and systems, hubs, POPs and IP Routing and switching infrastructure. The network also extends to the US, from Vancouver south to Seattle, from the Manitoba-Minnesota border through Minneapolis, Milwaukee and Chicago, and from Toronto, through Buffalo, and Montreal, through Albany, to New York City, allowing us to connect Canada's largest markets, while also reaching key US markets for the exchange of data and voice traffic.\n\nMedia provides television and radio broadcasting services to end customers over both traditional broadcast networks and new digital networks as well as multi-platform shopping, consumer and trade publications and sports media and entertainment experiences, primarily through its ownership of the Toronto Blue Jays. Revenue is largely driven by advertising and, in the case of TV broadcasting and publishing by additional revenues from monthly subscriptions. Revenue is also generated by the sale of merchandise and event tickets. Costs include sports programming, broadcast content (including TV studios, writers and on air and on field talent), the cost of merchandise and the production costs associated with each medium.\n\nWe report our results of operations in four segments, which reflect how we manage our operations and measure our performance.\n\n## BU S INE SS S OLUTION S see page 45", - "page_start": 32, - "page_end": 32, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## LEADING CONTENT\n\n\n\nROGERS IS COMMITTED TO DELIVERING WORLD-CLASS CONTENT AND EXPERIENCES TO CONSUMERS AND ADVERTISING SOLUTIONS TO BUSINESSES. THE COMPANY HAS A STRONG LEGACY OF BUILDING POWERFUL MEDIA BRANDS WITH COMPELLING CONTENT THAT RESONATES WITH AUDIENCES ACROSS MULTIPLE PLATFORMS ON ANY DEVICE.\n\nToday, businesses across Canada connect with customers through Rogers category-leading television and radio assets, sports entertainment, televised and online shopping, publishing, and digital media properties as the one-stop solution for all their local and national advertising needs.\n\nRogers Media is Canada's premier combination of diversified broadcast, specialty, sports, print and online media assets which together touch nearly 90% of Canadians every week. This includes over 50 popular AM and FM radio stations across Canada. In television, it includes the seven station City network which broadcasts intensely local, urban-oriented", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "\n\n## WHILE IT IS EARLY DAYSS, II BBEELIEVE WE CANN EVOLVE THE BUSINESS IN A WWAAY THAT WILL BE EVEN MORE REWARDING FORR OOUR CUSTOMERS, OUR SHAREHOLDERS AND EMMPPLLOYEES.' '\n\nGUY LAURENCE\n\n## A MESSAGE FROM THE PRESIDENT & CEO\n\nAs I write these words after recently joining the company, I can say with genuine enthusiasm that it's great to be here at Rogers. I took this post because Rogers is a remarkable company with a rich history and an unrivalled mix of wireless, cable and media assets. It is a good match with my background and my experience.\n\nDuring the recruiting and onboarding process, I spent considerable time with the Rogers family, the Board of Directors and the leadership team. I am struck by their energy, passion and drive to win, which I think we can harness to do even greater things. I also value the support and longerterm focus of the founding Rogers family who own significant equity in the company.\n\nSince joining, I have criss-crossed Canada meeting my team, external stakeholders and customers. I have also conducted numerous business reviews, overseen the 700 MHz spectrum auction and reviewed the regulatory agenda. All this with the view to developing a detailed set of priorities and plans for the company going forward. After I complete this review in the Spring I will outline a detailed strategy and business plan working with my management team.\n\nRogers has many strengths and I intend to capitalize on them. This is a financially strong company with a solid balance sheet and investment grade credit ratings. We have highly advanced cable and wireless networks and a robust portfolio of media assets. We also have a strong pipeline of new products and services to offer to our customers and some of the most passionate, committed employees I have ever worked with.\n\nWhile it is early days, I believe we can evolve the business in a way that will be even more rewarding for our customers, our shareholders and employees. Our goal is clear - winning on a consistent basis. And while our industry faces the challenge of moderating growth and regulatory uncertainty, few industries are more dynamic and better at leveraging new technologies.\n\nTo win, we must put our customers' needs front and centre in everything we do. This means delivering a better and more consistent customer experience. It means strengthening our value proposition to make sure our customers can answer the question 'why Rogers?' As a company, we need to bring our collection of assets together in a way that strengthens and differentiates Rogers with our customers and our shareholders. We also need to align and focus our investments in key areas to accelerate our growth. Internally we need to execute with operational excellence. And we need to focus on clarifying accountabilities and strengthening our teams at all levels of the company.\n\nAs CEO, I will work to re-establish our leadership position and accelerate our growth. This will take time. It is a longterm effort that will require a clear strategy, rigorous prioritization and disciplined execution. It will not be easy, but it is the job I have signed up for, and it is a challenge I intend to meet head-on.\n\nI look forward to continuing Ted's legacy, and to leading Rogers through the next phase of growth and to serving you, our shareholders.\n\nThank you for your continued business, investment and support.\n\n\n\nGUY LAURENCE\n\nPRESIDENT AND CHIEF EXECUTIVE OFFICER ROGERS COMMUNICATIONS INC.", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## ROGERS COMMUNICATIONS INC. AT A GLANCE\n\n\n\n\n\n\n\n\n\n## ROGERS COMMUNICATIONS\n\nRogers Communications (TSX: RCI; NYSE: RCI) is a diversi/fied Canadian telecommunications and media company. As discussed in the following pages, Rogers Communications is engaged in the telecom and media businesses through its primary operating segments Rogers Wireless, Rogers Cable, Rogers Business Solutions and Rogers Media.\n\nROGERS COMMUNICATIONS\n\n\n\n\n\n\n\nBUSINESS SOLUTIONS\n\n## WIRELESS SEGMENT\n\nRogers Wireless provides wireless voice and data communications services across Canada to approximately 9.5 million customers under the Rogers Wireless, Fido and chatr brands. Rogers Wireless is Canada's largest wireless provider and the only national carrier operating on the combined global standard GSM/HSPA+/LTE technology platforms. Rogers Wireless is Canada's leader in innovative wireless services, and provides customers with the best and latest wireless devices and applications and the fastest network speeds. Rogers Wireless also provides seamless wireless roaming across the U.S. and more than 200 other countries, and is the Canadian leader in the deployment of mobile commerce and machineto-machine communications.\n\n## CABLE AND BUSINESS SOLUTIONS SEGMENTS\n\nRogers Cable is a leading Canadian cable services provider, whose service territory covers approximately 4.0 million homes in Ontario, New Brunswick and Newfoundland representing approximately 30% of the Canadian cable market. Our advanced digital hybrid /fibre-coax network provides market leading highspeed broadband Internet access speeds, the most innovative selection of digital television and online viewing and telephony services to millions of residential and small business customers. Together with Rogers Business Solutions, it also provides scalable carrier-grade business telecom, networking, hosting and managed data services, and IP connectivity and solutions to medium and large enterprise, government and carrier customers.\n\n## MEDIA SEGMENT\n\nRogers Media is Canada's premier destination for category-leading television and radio broadcasting, sports entertainment, publishing, and digital media properties. Television assets include national City network which reaches more than 80% of Canadians, /five OMNI Television multilingual channels, seven regional and national Sportsnet channels, as well as specialty channels FX Canada, OLN, The Biography Channel and G4. Rogers Media also owns The Shopping Channel, Canada's only nationally televised and online shopping service. It operates more than 50 Canadian radio stations, publishes 50+ well known consumer and business magazines, and owns a suite of digital media properties. Media owns the Toronto Blue Jays Baseball Club and Rogers Centre, Canada's largest sports and entertainment facility. Rogers also holds a 37.5% investment in Maple Leaf Sports & Entertainment, owner of NHL Toronto Maple Leafs, NBA Toronto Raptors and MLS Toronto FC.", - "page_start": 3, - "page_end": 3, - "source_file": "NYSE_RCI_2013.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "I am a shareholder of Emmis Communication, but I will be available from the 20th of June to the 4th of July, will the Annual Meeting take place during this period?", - "target_page": 6, - "target_passage": "The Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis’ Corporate office.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\n\n\n\n\n## Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n## Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n## Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n## Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n## Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n|-----------------|--------|-------|\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n## Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff\n\nExecutive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe\n\nPublishing Division President\n\n## Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former President of CBS Inc.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## INVESTOR INFORMATION :\n\n## A NNUAL M EETING\n\nThe annual meeting of shareholders will be held on Thursday, April 24, 2003, in Corning, NY. A formal notice of the meeting together with a proxy statement will be mailed to shareholders on or about March 12, 2003. The proxy statement can also be accessed electronically through the Investor Relations category of the Corning home page on the Internet at www.corning.com. A summary report of the proceedings at the annual meeting will be available without charge upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831.\n\n## A DDITIONAL INFORMATION\n\n'Safe Harbor' Statement under the Private Securities Litigation Reform Act of 1995 facts or information are forward-looking statements. These forward-looking statements involve risks and uncertainties that may cause the outcome to be materially different. Such risks and uncertainties include, but are not limited to:\n\n - -global economic and political conditions,\n - -currency fluctuations,\n - -product demand and industry capacity,\n - -competitive products and pricing,\n\n-\n\nsufficiency of manufacturing capacity and efficiencies,\n\n - -cost reductions,\n - -availability and costs of critical materials,\n - -new product development and commercialization,\n - -attracting and retaining key personnel,\n - -order activity and demand from major customers,\n - -fluctuations in capital spending by customers in the telecommunications industry and other business segments,\n - -financial condition of customers,\n\nA copy of Corning's 2002 Annual Report on Form 10-K filed with the Securities and Exchange Commission is available upon written request to Ms. Denise A. Hauselt, Secretary and Assistant General Counsel, Corning Incorporated, HQ-E2-10, Corning, NY 14831. The Annual Report on Form 10-K can also be accessed electronically through the Investor Relations category of the home page on the Internet at: www.corning.com\n\nINVESTOR INFORMATION\n\nInvestment analysts who need additional information may contact Mr. Kenneth C. Sofio, Manager of Investor Relations, Corning Incorporated, HQ-E2-25, Corning, NY 14831; Telephone 607.974.9000\n\n## C OMMON S TOCK\n\n - -changes in the mix of sales between premium and non-premium products,\n - -facility expansions and new plant start-up costs,\n - -adverse litigation or regulatory developments, including future or pending tax legislation,\n - -adequacy and availability of insurance,\n - -capital resource and cash flow activities,\n - -capital spending,\n - -equity company activities,\n - -interest costs,\n - -acquisition and divestiture activity,\n - -the rate of technology change,\n - -the ability to enforce patents,\n\nCorning Incorporated common stock is listed on the New York Stock Exchange and the SWX Swiss Exchange. In addition, it is traded on the Boston, Midwest, Pacific and Philadelphia stock exchanges. Common stock options are traded on the Chicago Board Options Exchange. The abbreviated ticker symbol for Corning Incorporated is 'GLW.'\n\nTRANSFER A GENT AND R EGISTRAR Computershare Investor Services LLC P.O. Box A-3504 Chicago, IL 60690-3504 Telephone: 800.255.0461 Website: www.computershare.com\n\nC HANGE OF A DDRESS\n\nReport change of address to Computershare Investor Services at the above address.\n\nINDEPENDENT A CCOUNTANTS PricewaterhouseCoopers LLP 1301 Avenue of the Americas New York, NY 10019\n\nCorning Incorporated\n\nwww.corning.com\n\n - -product performance issues,\n - -stock price fluctuations, and\n - -other risks detailed in Corning's SEC filings.\n\nNeither this report nor any statement contained herein is furnished in connection with any of\n\nCorning is an equal opportunity employer. Printed in USA\n\n© Corning Incorporated 2003\n\n", - "page_start": 10, - "page_end": 10, - "source_file": "NYSE_GLW_2002.pdf" - }, - { - "text": "\n\n\n\nDear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole - like any other CEO bragging about his company's performance - the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n## The best year\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry - in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties - in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year - we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n## How we did it\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "SHAREHOLDER INFORMATION", - "page_start": 90, - "page_end": 90, - "source_file": "NYSE_JWN_2014.pdf" - }, - { - "text": "In other words, you can count on Emmis to continue to do what it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\n\n\n\n\nJeffrey H. Smulyan\n\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## DIRECTORS' REPORT\n\nat the Company's annual general meeting in November 2000, it was proposed to invite each holder of the above options to subscribe for one new 30 November 2001, 0.75 cent option for each of the above options held on its expiry at a proposed issue price of 1 cent per new option.\n\nThere is no inherent right arising from these options to participate in any new issue of shares in the Company which may be offered to shareholders from time to time prior to the exercise of the options. The Company will ensure however, that during the exercise period, for the purpose of determining entitlement to any new issue, the relevant record date will be at least 12 business days after the new issue is exercised, so as to give the holder of options an opportunity to exercise their options prior to the relevant record date of any new issue.\n\nIn accordance with the provisions of the\n\n## EMPLOYEE SHARE OPTION INCENTIVE PLAN\n\nMermaid Marine Australia Limited Employee Share Option Incentive Plan (the 'Employee Option Plan'), as at the date of this report a total of 42 employees have under option an aggregate of 615,000 ordinary shares in the Company. Of the 615,000 ordinary shares under option pursuant to the Employee Option Plan, half (307,500) may be purchased within 12 months of 18 June 2000 at an issue price of 60 cents per share and half (307,500) may be purchased within 12 months of 18 June 2000 at an issue price of 70 cents per share.\n\nHolders of options over unissued shares in the Company do not have the right, by virtue of the option, to participate in any share issue or interest issue of the Company or of any other body corporate or registered scheme.\n\nAs at the date of this report no shares have been issued during or since the end of the Financial Year as a result of the exercise of an option over unissued shares in the Company.\n\n## INDEMNITIES AND INSURANCE PREMIUMS FOR OFFICERS AND AUDITORS\n\nDuring the Financial Year, Mermaid paid a premium for a contract insuring all of the directors of the Company, the company secretaries and all executive officers of Mermaid against any liability incurred by such director, secretary or executive officer during the course of their duties as such director, secretary or executive officer to the extent permitted by the Corporations Law.\n\nThe policy does not allocate an identifiable part of the premium to specific directors or officers. Accordingly, the premium paid has not been apportioned to directors' remuneration.\n\nThe company has not otherwise during or since the end of the Financial Year, indemnified or agreed to indemnify an officer or auditor of the company against a liability incurred as such officer or auditor.\n\n", - "page_start": 34, - "page_end": 34, - "source_file": "ASX_MRM_2000.pdf" - }, - { - "text": "## Remuneration Report\n\nDear Shareholder\n\nI am pleased to present our Remuneration Report for 2013.\n\nAs you would be aware, at last year's Annual General Meeting ('AGM') 30% of the votes cast in respect of the resolution to adopt the 2012 Remuneration Report voted 'against' the resolution. As this was greater than the 25% threshold under the executive remuneration legislation, we received what is referred to as a 'first strike.' Our formal response to issues raised by shareholders at the AGM with respect to the 2012 Remuneration Report is set out on page 50 of this Report.\n\nVoting at AGMs is not compulsory and results of the 2012 AGM reflected this with only 59% of issued shares that were eligible to vote on the resolution to adopt the Remuneration Report doing so, meaning the 'against' vote represented 18% of eligible issued shares.\n\nWhile we believe our remuneration practices are sound and demonstrate a clear link between executive and shareholder returns, we have taken the first strike seriously and have undertaken an extensive review of the remuneration principles for Key Management Personnel.\n\nThe changes that the Board have implemented as a result of this review include:\n\n - 〉 A structural review of the Company resulting in the appointment in December 2012 of a senior human resources specialist as a direct report to the Managing Director and Executive Committee member;\n - 〉 Fees / base salary packages for Directors and Key Management Personnel were frozen from 1 July 2012;\n - 〉 Directors and Key Management Personnel have agreed to a 10% reduction in fees and remuneration;\n - 〉 The Managing Director and Key Management Personnel agreed to not accept any of their entitled Short Term Incentive ('STI') equivalent to a minimum of 10% of their base salary for the 2013 financial year;\n - 〉 A revised Performance Management System, including 'at risk' remuneration, has been introduced at all levels in corporate and site based operations including at risk remuneration for Key Management Personnel in the form of short term and long term incentive programs described in detail in this report; and\n - 〉 A broadening of the remuneration benchmarking processes for Directors and Key Management Personnel.\n\nFurther details on each of the changes outlined above are provided in specific sections of this Remuneration Report. We believe that these changes will be welcomed by our shareholders.\n\nWe will continue to review our remuneration polices and framework in consideration of a changing industry environment and your feedback.\n\nThank you for your interest in this report.\n\n\n\nRoss Smyth-Kirk\n\nChairman\n\nRemuneration Committee\n\n\n\nu", - "page_start": 50, - "page_end": 50, - "source_file": "ASX_KCN_2013.pdf" - }, - { - "text": "## CORPORATE AND SHAREHOLDER INFORMATION\n\n## CORPORATE OFFICES\n\nRogers Communications Inc. 333 Bloor Street East, 10th Floor Toronto, ON M4W 1G9 416-935-7777\n\n## CUSTOMER SERVICE AND PRODUCT INFORMATION\n\n888-764-3771 or rogers.com\n\n## SHAREHOLDER SERVICES\n\nIf you are a registered shareholder and have inquiries regarding your account, wish to change your name or address, or have questions about lost stock certificates, share transfers, estate settlements or dividends, please contact our transfer agent and registrar:\n\n## CST Trust Company\n\nP.O. Box 700, Postal Station B Montreal, QC H3B 3K3, Canada 416-682-3860 or 800-387-0825 inquiries@canstockta.com\n\n## Duplicate Mailings\n\nIf you receive duplicate shareholder mailings from Rogers Communications, please contact CST Trust Company as detailed above to consolidate your accounts.\n\n## INVESTOR RELATIONS\n\nInstitutional investors, securities analysts and others requiring additional financial information can visit rogers.com/investors or contact us at:\n\n## 1-855-300-7922 or\n\n416-935-3551 (outside North America) or investor.relations@rci.rogers.com\n\nMedia inquiries: 416-935-7777\n\n## CORPORATE PHILANTHROPY\n\nFor information relating to Rogers various philanthropic endeavours, refer to the 'About Rogers' section of rogers.com\n\n## SUSTAINABILITY\n\nRogers is committed to continuing to grow responsibly and we focus our social and environmental sustainability efforts where we can make the most meaningful impacts on both. To learn more, please visit rogers.com/csr\n\n\n\n## COMMON STOCK TRADING AND DIVIDEND INFORMATION\n\n| | Closing Price RCI.b on TSX | Closing Price RCI.b on TSX | Closing Price RCI.b on TSX |\n|----------------------------------------|------------------------------|------------------------------|------------------------------|\n| 2013 | High | Low Close | per Share |\n| First Quarter | $51.89 $44.37 | $51.89 | $0.435 |\n| Second Quarter $52.35 $40.35 $41.20 | | | $0.435 |\n| Third Quarter | | $45.36 $40.35 $44.29 | $0.435 |\n| Fourth Quarter $48.59 $43.66 $48.07 | | | $0.435 |\n\n## Shares Outstanding at December 31, 2013\n\nClass A\n\n112,462,000\n\nClass B\n\n402,281,178\n\n## 2014 Expected Dividend Dates\n\n| Record Date*: | Payment Date*: |\n|--------------------|------------------|\n| March 14, 2014 | April 4, 2014 |\n| June 13, 2014 | July 4, 2014 |\n| September 12, 2014 | October 3, 2014 |\n| December 11, 2014 | January 2, 2015 |\n\n* Subject to Board approval\n\nUnless indicated otherwise, all dividends paid by Rogers Communications are designated as 'eligible' dividends for the purposes of the Income Tax Act (Canada) and any similar provincial legislation.\n\n## DIRECT DEPOSIT SERVICE\n\nShareholders may have dividends deposited directly into accounts held at financial institutions. To arrange direct deposit service, please contact CST Trust Company as detailed earlier on this page.\n\n## DIVIDEND REINVESTMENT PLAN (DRIP)\n\nRogers offers a convenient dividend reinvestment program for eligible shareholders to purchase additional Rogers Communications shares by reinvesting their cash dividends without incurring brokerage fees or administration fees. For plan information and enrolment materials or to learn more about Rogers DRIP, please visit www. canstockta.com/en/InvestorServices/Dividend\\_ Reinvestment\\_Plans or contact CST Trust Company as detailed earlier on this page.\n\n## ELECTRONIC DELIVERY OF SHAREHOLDER MATERIALS", - "page_start": 129, - "page_end": 129, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "## NOTE 11 - STOCKHOLDERS' EQUITY\n\nShare repurchases are only conducted under repurchase programs approved by the Board of Directors and publicly announced. Share repurchase activity was as follows:\n\n| Year Ended December 31 (In thousands) | 2004 | 2003 | 2002 |\n|-------------------------------------------------------------------------------------------------------|-----------|-----------|------------|\n| August 2001 authorization (0, 1.4 million and 6.4 million shares purchased). . . . . . . . . . . . . | $ - | $ 36,034 | $ 207,590 |\n| February 2003 authorization (10 million shares purchased) . . . . . . . . . . . . . . . . | - | 335,911 | - |\n| November 2003 authorization (8 million and 2 million shares purchased) . . . . . . . . . . . . . . | 348,895 | 70,919 | - |\n| | $ 348,895 | $ 442,864 | $ 207,590 |\n| Average price of shares repurchased . . . . . . . . . . . . . | $ 43.59 | $ 33.17 | $ 32.28 |\n\nAt December 31, 2004, we had 10 million shares available for repurchase under a July 2004 authorization.\n\nIn May 2002, the Board of Directors approved a restricted stock plan. The plan allowed for the issuance of up to 1 million shares of Company common stock to certain key employees. The restrictions on selling these shares lapse 50% on the third anniversary date from the grant date and 50% on the fourth anniversary date after the grant date. Through December 31, 2004, 903,000 shares were issued, with an aggregate value of $32 million. This amount was recorded as deferred compensation in the accompanying consolidated balance sheet and is being amortized to operating expenses on a straight-line basis through the period in which the restrictions fully lapse. Amortization of deferred compensation was $7 million, $8 million and $5 million for the years ended December 31, 2004, 2003 and 2002, respectively, and 855,000 shares were outstanding under the plan at December 31, 2004. In November 2002, the Board of Directors determined that no more awards would be granted under the plan.\n\n## NOTE 12 - EMPLOYEE BENEFIT PLANS\n\nEmployees of the Company who are members of various unions are covered by union-sponsored, collectively bargained, multi-employer health and welfare and defined benefit pension plans. The Company recorded an expense of $86 million in 2004, $77 million in 2003 and $66 million in 2002 under such plans. The plans' sponsors have not provided sufficient information to permit the Company to determine its share of unfunded vested benefits, if any.\n\nThe Company is self-insured for most health care benefits for its non-union employees. The liability for claims filed and estimates of claims incurred but not reported is included in the 'Other accrued liabilities' caption in the accompanying consolidated balance sheets.\n\nThe Company has a retirement savings plan under Section 401(k) of the Internal Revenue Code for eligible employees not covered by a collective bargaining agreement that does not specifically provide for participation in the plan. The plans allow employees to defer, within prescribed limits, up to 30% of their income on a pre-tax basis through contributions to the plans. The Company matches, within prescribed limits, a portion of eligible employees' contributions. In the case of certain union employees, the Company contributes to the plan are based on hours worked. The Company recorded charges for 401(k) contributions of $12 million in 2004, $10 million in 2003 and $12 million in 2002.", - "page_start": 72, - "page_end": 72, - "source_file": "NYSE_MGM_2004.pdf" - }, - { - "text": "## INFORMATION FOR SHAREHOLDERS\n\n## NOTICE OF MEETING\n\nThe Annual General Meeting of Santos Ltd will be held in the Auditorium at The Adelaide Town Hall Function Centre, 128 King William Street, Adelaide, South Australia on Friday 20 May 2005 at 10.00 am.\n\n## FINAL DIVIDEND\n\nThe 2004 final ordinary dividend will be paid on 31 March 2005 to shareholders registered in the books of the Company at the close of business on 4 March 2005 in respect of fully paid shares held at record date.\n\n## STOCK EXCHANGE LISTING\n\nSantos Ltd. Incorporated in Adelaide, South Australia, on 18 March 1954. Quoted on the official list of the Australian Stock Exchange Ltd (ordinary shares code STO; FUELS code STOPB) and the NZX Ltd.\n\n## AMERICAN DEPOSITORY RECEIPTS\n\nSantos American Depository Receipts issued by Morgan Guaranty in the USA are sponsored and are quoted on the NASDAQ system in the USA (code STOSY).\n\n## DIRECTORS\n\nS Gerlach (Chairman), J C Ellice-Flint (Managing Director), P C Barnett, K A Dean, R M Harding, G W McGregor, M A O'Leary, C J Recny, J Sloan. F J Conroy (retired 14 December 2004).\n\n## SECRETARY\n\nM G Roberts (retired 1 July 2004).\n\nW J Glanville (appointed 23 February 2004).\n\nMr Glanville is responsible for corporate governance, secretariat and legal services. Prior to his appointment, he was Manager - Legal of Santos' Legal Department and, prior to joining Santos, he practised law as a Barrister and Solicitor. Mr Glanville holds a Degree of Bachelor of Laws, a Degree of Bachelor of Arts and a Graduate Diploma in Legal Practice.\n\n## CHANGE OF SHAREHOLDER DETAILS\n\nIssuer Sponsored Shareholders wishing to update their details must notify the Share Registrar in writing. The relevant shareholder forms can be obtained from the Share Registrar or via the Investor Centre on the Santos website, www.santos.com.\n\nForms are available to advise the Company of changes relating to change of address, direct crediting of dividends, Tax File Number and Australian Business Number, Annual Report and Sustainability Review mailing preferences and Dividend Reinvestment Plan participation.\n\n## INVESTOR INFORMATION AND SERVICES Santos website\n\nA wide range of information for investors is available from Santos' website, www.santos.com, including Annual Reports, Full Year and Interim Reports and Presentations, Press Releases, Quarterly Activities Reports and Weekly Drilling Summaries.\n\nComprehensive archives of these materials dating back to 1997 are available on the Santos website.\n\nOther investor information available on the Santos website includes:\n\n - · open briefings with Corporate File - an ASX-endorsed online briefing service\n - · live and archived webcasts of investor briefings\n - · an e-mail alert facility where shareholders and other interested parties can register to be notified, free of charge, of Santos' Press Releases and Weekly Drilling Summaries via e-mail.\n\nThe Santos website provides shareholder forms to help shareholders manage their holdings, as well as a full history of Santos' dividend payments and equity issues. Shareholders can also check their holdings and payment history in the secure View Shareholding section.", - "page_start": 93, - "page_end": 93, - "source_file": "ASX_STO_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Who is the President of the TV Department of Emmis Communications?", - "target_page": 6, - "target_passage": "Randall Bongarten Television Division President", - "chunk_present": { - "presence": true, - "index": 1 - } - }, - "top_chunk": [ - { - "text": "## about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM domestic radio stations serving the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television stations, award-winning regional and specialty magazines, a radio network, international radio interests, and ancillary businesses in broadcast sales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio station, WENS-FM, in July 1981. As Emmis (the Hebrew word for 'truth') acquired more radio stations across the nation, it established a reputation for sound operations and emerged as a radio industry leader and innovator. Emmis was the first broadcast company to own toprated radio stations in both L.A. and New York, and it pioneered such concepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase of Indianapolis Monthly , and moved into the world of international radio in 1997, when it was awarded a license to operate a national radio network in Hungary. In 1998, Emmis expanded into television by buying six television stations in markets throughout the United States. In the last six years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement and fun, the company's culture has been repeatedly lauded by both its employees and its peers. Trade publications have regularly cited the company's leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide headquarters in Indianapolis, where the company was founded.\n\nThis annual report contains certain non-GAAP measures. For a presentation of the directly comparable GAAP measure and a reconciliation of the non-GAAP measures to the GAAP measures, see the attachment to the back of our Form 10-K in this Annual Report.", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\n\n\n\n\n## Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n## Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n## Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n## Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n## Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n|-----------------|--------|-------|\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n## Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff\n\nExecutive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe\n\nPublishing Division President\n\n## Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former President of CBS Inc.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "| emmis entities | St. Louis | Orlando, Fla., WKCF-TV (Channel 18), |\n|----------------------------------------------------------------------------------|-----------------------------------------------------|-------------------------------------------------------|\n| | KFTK-FM (97.1), Talk | WB programming |\n| RADIO | KIHT-FM (96.3), Classic Hits | Portland, Ore., KOIN-TV (Channel 6), |\n| Austin | KPNT-FM (105.7), Alternative Rock | CBS programming/local news |\n| KDHT-FM (93.3), Rhythmic CHR | KSHE-FM (94.7), Album Oriented Rock | Terre Haute, Ind., WTHI-TV (Channel 10), |\n| KEYI-FM (103.5), Oldies | WRDA-FM (104.1), New Standards | CBS programming/local news |\n| KGSR-FM (107.1), Adult Alternative | Terre Haute | Topeka, Kan., KSNT-TV (Channel 27), |\n| KLBJ-AM (590), News/Talk | WTHI-FM (99.9), Country | NBC programming/local news |\n| | WWVR-FM (105.5), Classic Rock | Tucson, Ariz., KGUN-TV (Channel 9), |\n| KLBJ-FM (93.7), Album Oriented Rock | | ABC programming/local news |\n| KROX-FM (101.5), Alternative Rock | TELEVISION | Wichita, Kan., KSNW-TV (Channel 3), |\n| Chicago | Albuquerque, N.M., KRQE-TV (Channel 13), | NBC programming/local news |\n| WKQX-FM (101.1), Alternative Rock | CBS programming/local news | |\n| Indianapolis | Fort Myers, Fla., WFTX-TV (Channel 4), | PUBLISHING |\n| WENS-FM (97.1), Adult Contemporary | Fox programming/local news | Atlanta |\n| WIBC-AM (1070), News/Talk/Sports WNOU-FM (93.1), CHR | Green Bay, Wis., WLUK-TV (Channel 11), | Country Sampler |\n| | Fox programming/local news | Cincinnati |\n| WYXB-FM (105.7), Soft Adult Contemporary Network Indiana, Statewide news network | Honolulu, KHON-TV (Channel 2), | Indianapolis Monthly |\n| Los Angeles | Fox programming/local news | Los Angeles |", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "Gary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former President of CBS Inc.\n\nGreg A. Nathanson Media consultant and former President of Fox Television Stations and Emmis Television\n\nFrank V. Sica\n\nSenior Advisor\n\nSoros Fund Management LLC\n\nLawrence B. Sorrel Managing Partner and Co-CEO Tailwind Capital Partners", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\nDear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole - like any other CEO bragging about his company's performance - the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n## The best year\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry - in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties - in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year - we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n## How we did it\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Outperform\n\nEmmis Communications 2004 Annual Report\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\n\n\n## Outperform.\n\n## emmis communications 2004 abbreviated financial highlights\n\nin thousands except where noted\n\n| year ended Feb. 28 (29) | '00 | '01 | '02 | '03 | '04 |\n|---------------------------|---------|---------|---------|---------|---------|\n| net revenues | 325,265 | 473,345 | 539,822 | 562,363 | 591,868 |\n| station operating income* | 125,477 | 174,213 | 185,665 | 213,112 | 220,445 |\n| station op income margin | 38.6% | 36.8% | 34.4% | 37.9% | 37.2% |\n| leverage | 2.5x | 6.8x | 9.3x | 6.5x | 6.7x |\n\n*excluding noncash compensation\n\nradio\n\n\n\n\n\n\n\nstation operating income,\n\nexcluding noncash compensation\n\n\n\ntv\n\npublishing", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "In other words, you can count on Emmis to continue to do what it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\n\n\n\n\nJeffrey H. Smulyan\n\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "First of all, we focus on assembling and maintaining the best teams in our markets. We have traditionally had the top salespeople, creative and technical professionals, news staffs, managers and support staff in every city where we operate. Their peers turn to them for industry leadership, honor them with awards and copy them at every opportunity. We invest in these people, giving them industry-leading benefits packages, great opportunities and the tools they need to succeed. This has always been a hallmark of Emmis, and it won't change.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## what it has always done: outperform.\n\n\n\n\n\n\n\n\n\nIn addition, we commit ourselves to creating the best content in our markets. Our magazines routinely dominate their industry awards ceremonies - last year, Texas Monthly won a coveted National Magazine Award, and Emmis publications claimed more than half of the awards at the City and Regional Magazine competition. Our radio stations feature some of the industry's most popular personalities - in 2003, Emmis people and stations were awarded three Marconi Radio Awards. And our television operations are regularly honored by journalism organizations for their news gathering and community service. In short, we provide our markets with reliable, high-quality content - content that helps us assemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We give our teams well-developed strategies, clearly defined brands and solid products. We build bigger, better sales forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious goals and then watch our people work harder and smarter than anyone else.\n\nWe also seize the right opportunities and make the most of them. As the cost of buying radio properties has gone through the roof, we have been careful about buying. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a tremendous heritage and a great culture, all with an opportunity for growth. And we've already built on that group's track record - since we bought them, we've reformatted one station and quickly sent it to No. 1 in the market, and we've pushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio company, become the company to emulate in TV? Because we approached TV in a way it's never been approached before. Why do we operate leading hip-hop stations in markets across the nation? Because we pioneered the concept. Why have we created a new 'Music with Class' format in St. Louis' Red 104.1? Because we believe we see a new opportunity. We know that successful companies don't follow the pack. They lead it, and that's what we'll always do.\n\n## The year ahead\n\nThat last point - innovation - is an important one, especially for the future of Emmis, because we are planning something\n\n\n\n\n\nthat could change the face of American TV and once again demonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV antennas and severing broadcasters' direct link to television audiences. Since then, the cable companies-the middlemen who replaced us-have created more than $300 billion of value for themselves. However, changes in technology have given broadcasters the ability to provide the American public with the most popular TV channels, without the middlemen and at a more reasonable price.\n\nWe are developing an innovative model that will leverage that technology to get broadcast companies back into the game. I believe it has the potential to revolutionize the television industry. I also believe it will add substantial value to your investment.\n\nWe unveiled this concept at the National Association of Broadcasters meeting in April. I am proud to say that 11 other television companies joined us at that meeting to express their support for what we're calling the Broadcasters' Initiative, and more are signing on each week. Once again, Emmis has leveraged innovation to take a leading role in our industries.\n\nWe'll continue to use innovation to push us forward. Meanwhile, we'll also build and maintain the best teams, produce the best media content, outhustle and outsell our competitors, seize the best opportunities and operate this company better than any other.\n\nIn other words, you can count on Emmis to continue to do what it has always done: Outperform.", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "NASDAQ_EMMS_2004.pdf", - "query": "Does the radio station 93.7 in Austin belong to Emmis Communication?", - "target_page": 7, - "target_passage": "KLBJ-FM (93.7), Album Oriented Rock", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "## about emmis\n\nEmmis Communications (NASDAQ: EMMS) owns 23 FM and 4 AM domestic radio stations serving the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. In addition, Emmis owns 16 television stations, award-winning regional and specialty magazines, a radio network, international radio interests, and ancillary businesses in broadcast sales and publishing.\n\nEmmis was founded in 1980, and the company launched its first radio station, WENS-FM, in July 1981. As Emmis (the Hebrew word for 'truth') acquired more radio stations across the nation, it established a reputation for sound operations and emerged as a radio industry leader and innovator. Emmis was the first broadcast company to own toprated radio stations in both L.A. and New York, and it pioneered such concepts as the all-sports format.\n\nThe company launched its magazine division in 1988 with the purchase of Indianapolis Monthly , and moved into the world of international radio in 1997, when it was awarded a license to operate a national radio network in Hungary. In 1998, Emmis expanded into television by buying six television stations in markets throughout the United States. In the last six years, the company has added properties in each of its divisions.\n\nWith its emphasis on solid operations, integrity, community involvement and fun, the company's culture has been repeatedly lauded by both its employees and its peers. Trade publications have regularly cited the company's leaders as being among the best in the business.\n\nEmmis became a public company in 1994. It maintains its worldwide headquarters in Indianapolis, where the company was founded.\n\nThis annual report contains certain non-GAAP measures. For a presentation of the directly comparable GAAP measure and a reconciliation of the non-GAAP measures to the GAAP measures, see the attachment to the back of our Form 10-K in this Annual Report.", - "page_start": 1, - "page_end": 1, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## Corporate Office\n\nOne Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204,\n\n317.266.0100.\n\n\n\n\n\n## Business\n\nEmmis Communications (NASDAQ: EMMS) is a diversified media firm with awardwinning radio broadcasting, television broadcasting and magazine publishing operations. Emmis' 23 FM and 4 AM domestic radio stations serve the nation's largest markets of New York, Los Angeles and Chicago as well as Phoenix, St. Louis, Austin, Indianapolis and Terre Haute, Ind. The company's 16 television stations are located in Albuquerque, N.M.; Fort Myers, Fla.; Green Bay, Wis.; Honolulu; Huntington, W.Va.; Mobile, Ala./Pensacola, Fla.; New Orleans; Omaha, Neb.; Orlando, Fla.; Portland, Ore.; Terre Haute, Ind.; Topeka, Kan.; Tucson, Ariz.; and Wichita, Kan. Emmis also publishes Indianapolis Monthly, Texas Monthly, Cincinnati, Atlanta, Los Angeles and Country Sampler Group magazines; has a 59.5% interest in Sláger Rádió, a national radio network in Hungary; operates nine FM radio stations serving more than 50 percent of the population in the Flanders region of Belgium; and has ancillary businesses in broadcast sales, publishing and interactive products.\n\n## Transfer Agent Register\n\nWachovia Bank N.A., Shareholder Services Group, 1525 West W.T. Harris Blvd., 3c3, Charlotte, North Carolina 28288-1153.\n\n## Annual Meeting\n\nThe Annual Meeting of shareholders will be held at 10 a.m. Central Time on Wednesday, June 30, 2004, at Emmis' Corporate office.\n\n## Form 10-K\n\nA copy of the Annual Report on Form 10-K for the fiscal year ended February 29, 2004, which was filed with the Securities and Exchange Commission, will be sent to shareholders without charge upon written request to Kate Healey, Emmis Communications Corporation, One Emmis Plaza, 40 Monument Circle, Suite 700, Indianapolis, Indiana 46204, or ir@emmis.com.\n\n## Market and Dividend Information\n\nThe Company's Class A Common Stock is traded in the over-the-counter market and is quoted on the National Association of Securities Dealers Automated Quotation (NASDAQ) National Market System under the symbol EMMS.\n\nThe following table sets forth the high and low bid prices of the Class A Common Stock for the periods indicated. No dividends were paid during any such periods.\n\n| Quarter Ended | High | Low |\n|-----------------|--------|-------|\n| May 2002 | 31.85 | 26.15 |\n| August 2002 | 30.15 | 11.65 |\n| November 2002 | 24.05 | 14.25 |\n| February 2003 | 24.86 | 17.82 |\n| May 2003 | 21.24 | 14.84 |\n| August 2003 | 23.87 | 18.68 |\n| November 2003 | 24.06 | 18 |\n| February 2004 | 28.65 | 22.74 |\n\nOn April 23, 2004, there were approximately 4,841 record holders of the Class A Common Stock and one record holder of the Class B Common Stock.\n\nEmmis intends to retain future earnings for use in its business and does not anticipate paying any dividends on shares of its common stock in the foreseeable future.\n\n## Executive Officers\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nWalter Z. Berger\n\nExecutive Vice President, Chief Financial Officer and Treasurer\n\nRandall Bongarten Television Division President\n\nRichard F. Cummings Radio Division President\n\nGary L. Kaseff\n\nExecutive Vice President, General Counsel\n\nPaul W. Fiddick International Division President\n\nMichael Levitan Senior Vice President, Human Resources\n\nGary Thoe\n\nPublishing Division President\n\n## Board of Directors\n\nJeffrey H. Smulyan Chairman of the Board, President and Chief Executive Officer\n\nSusan B. Bayh\n\nFormer Commissioner of the International Joint Commission of the United States and Canada\n\nWalter Z. Berger\n\nExecutive Vice President,\n\nChief Financial Officer and Treasurer\n\nGary L. Kaseff Executive Vice President, General Counsel\n\nRichard A. Leventhal\n\nPresident and Majority Owner,\n\nLMCS, LLC\n\nPeter A. Lund\n\nMedia consultant and former President of CBS Inc.", - "page_start": 5, - "page_end": 5, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "| emmis entities | St. Louis | Orlando, Fla., WKCF-TV (Channel 18), |\n|----------------------------------------------------------------------------------|-----------------------------------------------------|-------------------------------------------------------|\n| | KFTK-FM (97.1), Talk | WB programming |\n| RADIO | KIHT-FM (96.3), Classic Hits | Portland, Ore., KOIN-TV (Channel 6), |\n| Austin | KPNT-FM (105.7), Alternative Rock | CBS programming/local news |\n| KDHT-FM (93.3), Rhythmic CHR | KSHE-FM (94.7), Album Oriented Rock | Terre Haute, Ind., WTHI-TV (Channel 10), |\n| KEYI-FM (103.5), Oldies | WRDA-FM (104.1), New Standards | CBS programming/local news |\n| KGSR-FM (107.1), Adult Alternative | Terre Haute | Topeka, Kan., KSNT-TV (Channel 27), |\n| KLBJ-AM (590), News/Talk | WTHI-FM (99.9), Country | NBC programming/local news |\n| | WWVR-FM (105.5), Classic Rock | Tucson, Ariz., KGUN-TV (Channel 9), |\n| KLBJ-FM (93.7), Album Oriented Rock | | ABC programming/local news |\n| KROX-FM (101.5), Alternative Rock | TELEVISION | Wichita, Kan., KSNW-TV (Channel 3), |\n| Chicago | Albuquerque, N.M., KRQE-TV (Channel 13), | NBC programming/local news |\n| WKQX-FM (101.1), Alternative Rock | CBS programming/local news | |\n| Indianapolis | Fort Myers, Fla., WFTX-TV (Channel 4), | PUBLISHING |\n| WENS-FM (97.1), Adult Contemporary | Fox programming/local news | Atlanta |\n| WIBC-AM (1070), News/Talk/Sports WNOU-FM (93.1), CHR | Green Bay, Wis., WLUK-TV (Channel 11), | Country Sampler |\n| | Fox programming/local news | Cincinnati |\n| WYXB-FM (105.7), Soft Adult Contemporary Network Indiana, Statewide news network | Honolulu, KHON-TV (Channel 2), | Indianapolis Monthly |\n| Los Angeles | Fox programming/local news | Los Angeles |", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "## what it has always done: outperform.\n\n\n\n\n\n\n\n\n\nIn addition, we commit ourselves to creating the best content in our markets. Our magazines routinely dominate their industry awards ceremonies - last year, Texas Monthly won a coveted National Magazine Award, and Emmis publications claimed more than half of the awards at the City and Regional Magazine competition. Our radio stations feature some of the industry's most popular personalities - in 2003, Emmis people and stations were awarded three Marconi Radio Awards. And our television operations are regularly honored by journalism organizations for their news gathering and community service. In short, we provide our markets with reliable, high-quality content - content that helps us assemble the audiences our advertisers want to reach.\n\nWe then generate revenue by overallocating to sales. We give our teams well-developed strategies, clearly defined brands and solid products. We build bigger, better sales forces and put a greater emphasis on local dollars than our competitors. We hire aggressive managers, set ambitious goals and then watch our people work harder and smarter than anyone else.\n\nWe also seize the right opportunities and make the most of them. As the cost of buying radio properties has gone through the roof, we have been careful about buying. However, when we had a chance to acquire the LBJ stations in Austin, we knew it was the right fit: good stations, a tremendous heritage and a great culture, all with an opportunity for growth. And we've already built on that group's track record - since we bought them, we've reformatted one station and quickly sent it to No. 1 in the market, and we've pushed revenues up 9 percent for the entire group.\n\nFinally, we innovate. Why has Emmis, traditionally a radio company, become the company to emulate in TV? Because we approached TV in a way it's never been approached before. Why do we operate leading hip-hop stations in markets across the nation? Because we pioneered the concept. Why have we created a new 'Music with Class' format in St. Louis' Red 104.1? Because we believe we see a new opportunity. We know that successful companies don't follow the pack. They lead it, and that's what we'll always do.\n\n## The year ahead\n\nThat last point - innovation - is an important one, especially for the future of Emmis, because we are planning something\n\n\n\n\n\nthat could change the face of American TV and once again demonstrate that Emmis is a company that leads the way.\n\nForty years ago, Americans began taking down their TV antennas and severing broadcasters' direct link to television audiences. Since then, the cable companies-the middlemen who replaced us-have created more than $300 billion of value for themselves. However, changes in technology have given broadcasters the ability to provide the American public with the most popular TV channels, without the middlemen and at a more reasonable price.\n\nWe are developing an innovative model that will leverage that technology to get broadcast companies back into the game. I believe it has the potential to revolutionize the television industry. I also believe it will add substantial value to your investment.\n\nWe unveiled this concept at the National Association of Broadcasters meeting in April. I am proud to say that 11 other television companies joined us at that meeting to express their support for what we're calling the Broadcasters' Initiative, and more are signing on each week. Once again, Emmis has leveraged innovation to take a leading role in our industries.\n\nWe'll continue to use innovation to push us forward. Meanwhile, we'll also build and maintain the best teams, produce the best media content, outhustle and outsell our competitors, seize the best opportunities and operate this company better than any other.\n\nIn other words, you can count on Emmis to continue to do what it has always done: Outperform.", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\n\n\n## Outperform.\n\n## emmis communications 2004 abbreviated financial highlights\n\nin thousands except where noted\n\n| year ended Feb. 28 (29) | '00 | '01 | '02 | '03 | '04 |\n|---------------------------|---------|---------|---------|---------|---------|\n| net revenues | 325,265 | 473,345 | 539,822 | 562,363 | 591,868 |\n| station operating income* | 125,477 | 174,213 | 185,665 | 213,112 | 220,445 |\n| station op income margin | 38.6% | 36.8% | 34.4% | 37.9% | 37.2% |\n| leverage | 2.5x | 6.8x | 9.3x | 6.5x | 6.7x |\n\n*excluding noncash compensation\n\nradio\n\n\n\n\n\n\n\nstation operating income,\n\nexcluding noncash compensation\n\n\n\ntv\n\npublishing", - "page_start": 2, - "page_end": 2, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\nDear Shareholders,\n\nOn our year-end conference call, I said that last year was the best in Emmis Communications' history. And while that might have sounded like the usual Wall Street hyperbole - like any other CEO bragging about his company's performance - the difference is, I believed it. And I still do.\n\nBut I've been in this business long enough to know two things for sure: What I believe is not as important as what I can prove, and what we did last year is only meaningful if it reflects on how we will do in the coming year. The good news is, Emmis does have the results to back up my high praise, and what we did to perform last year does directly relate to how we'll perform in the year ahead.\n\n## The best year\n\nThe bottom line is this: Emmis Communications turned in a remarkable performance last year. Again and again, and by a number of measures, we outperformed our peers, our markets and our own solid track record.\n\nAnd we did this in a year that was challenging in just about every way. The economy was unstable, public companies came under continuing scrutiny, indecency issues hounded broadcasters, competition for tight ad dollars increased and technology continued to reshape the media world.\n\nBut our people refused to be slowed by those challenges. Instead, they worked through them. They innovated, hustled and focused. And they produced.\n\nOur radio division's revenue growth led our markets and the industry - in our fiscal year, our group was up 4.5 percent while our markets were up 2.7 percent and the industry only 1 percent. Based on this kind of performance, we have consistently ranked among the nation's leaders in per-station revenue, and we continue to produce top-rated programming in markets across the nation.\n\nOur TV performance was even more impressive. The Emmis television group's revenues were up 0.5 percent in calendar 2003, a year when our markets saw a 2.3 percent decrease in revenues, and the industry experienced a 4.7 percent revenue decline. This industry-leading result made us one of the few groups in the nation to post positive growth. In addi-\n\ntion, we gained revenue share at 11 of our 13 measured stations and held the line on expenses, giving us a 1.2 percent increase in fiscal-year cash flow.\n\nOur publishing and international divisions also posted strong results. In a tough publishing market, our magazines boosted their division's revenues by 4.6 percent over last year and increased cash flow by 3.3 percent. Our international division turned in a revenue increase of 27 percent and a cash flow increase of 31 percent.\n\nIn addition to boosting performance in our divisions, we honed our corporate operations by continuing to build one of the most adept and hardest-working corporate groups in American media. With this team in place, we've brought our leverage and cost of capital down to more manageable levels, found ways to combat the continually increasing costs of health insurance and, in a truly top-notch effort, smoothly integrated our new Austin radio properties - in just under a year as a part of Emmis, the Austin properties are enjoying significant ratings and revenue increases.\n\nOf course, for you, the real bottom line on our performance is its impact on your investment. I'm proud to say that we saw a 27 percent increase in our share price over the course of the last fiscal year - we ended fiscal '03 at 19.79, and closed the book on fiscal '04 at 25.17.\n\n## How we did it\n\nOperationally, we were on top of our game last year. However, as I said, I know that the past year's performance really only matters if it reflects on what we'll do in the coming year. The good news is, it does. We performed at these high levels not by doing something unusual, but by operating the way Emmis has always operated, and the way we always will.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n\n## Outperform\n\nEmmis Communications 2004 Annual Report\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "| Los Angeles | Fox programming/local news | Los Angeles |\n| KPWR-FM (105.9), Hip-Hop/R&B | Honolulu, KGMB-TV (Channel 9), | Texas Monthly |\n| KZLA-FM (93.9), Country | CBS programming/local news | |\n| New York | Huntington/Charleston, W.Va., WSAZ-TV (Channel 3), | INTERNATIONAL |\n| WQCD-FM (101.9), Smooth Jazz | NBC programming/local news | Hungary, Sláger Rádió, Classic Rock/local programming |\n| | Mobile, Ala./Pensacola, Fla., WALA-TV (Channel 10), | Belgium, nine stations serving the Flanders region |\n| WQHT-FM (97.7), Hip-Hop | Fox programming/local news | |\n| WRKS-FM(98.7), Classic Soul/Today's R&B Phoenix | Mobile, Ala./Pensacola, Fla., WBPG-TV (Channel | RELATED BUSINESSES |\n| KKFR-FM(92.3), Rhythmic CHR | 55), WB programming | Emmis Books |\n| KKLT-FM (98.7), Adult Contemporary | New Orleans, WVUE-TV (Channel 8), | Emmis Interactive |\n| KMVP-AM (860), Sports | Fox programming/local news | RDS |\n| KTAR-AM (620), News/Talk/Sports | Omaha, Neb., KMTV-TV (Channel 3), | |\n| | CBS programming/local news | |", - "page_start": 6, - "page_end": 6, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "In other words, you can count on Emmis to continue to do what it has always done: Outperform.\n\nThank you for your belief and investment in Emmis.\n\n\n\n\n\nJeffrey H. Smulyan\n\nchairman & ceo emmis communications", - "page_start": 4, - "page_end": 4, - "source_file": "NASDAQ_EMMS_2004.pdf" - }, - { - "text": "First of all, we focus on assembling and maintaining the best teams in our markets. We have traditionally had the top salespeople, creative and technical professionals, news staffs, managers and support staff in every city where we operate. Their peers turn to them for industry leadership, honor them with awards and copy them at every opportunity. We invest in these people, giving them industry-leading benefits packages, great opportunities and the tools they need to succeed. This has always been a hallmark of Emmis, and it won't change.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EMMS_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "What are the two components considered in the expected free energy?", - "target_page": 4, - "target_passage": "The former (utilitarian) objective is to realize one’s preferences, such as being satiated or safe, by minimizing the discrepancy between preferred sensa- tions (encoded as “priors over observations” in active inference) and current sensations in different modalities (e.g. interoceptive or exteroceptive). The latter (epistemic) objective is to reduce uncertainty about one’s estimated state", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "FIG. 3: Effective pair potentials derived for MSA3 and BIMSA3. (a) Cation anion (dashed line: without taking the pair into account), (b) pair cation, (c) pair anion, and (d) pair pair. The internal potential of the pair β ˜ V int ( r ) is set equal to βV eff ij ( r ) for distances less than 4 ˚ A.\n\n\n\nrapolating the original potential at the barrier separating pairs from free ions (as shown in Fig. 3). We assume that the interaction potential is averaged over the rotational degrees of freedom of the CIP and thus pairwise additive. Hereafter, the quantities referring to such a three-component model are written with a tilda symbol. The short-range potentials involving the pair can be derived, in the infinite dilution limit, from an average of the contributing ion interactions. In Fourier space,\n\n˜ V SR 3 i ( k ) = w ( k / 2) [ V SR 1 i + V SR 2 i ] ( k ) , i = 1 , 2 (2a)\n\nwhere ˜ w ( r ) is the pair probability distribution\n\n˜ ˜ V SR 33 ( k ) = ˜ w ( k / 2) 2 [ V SR 11 + V SR 22 +2 V SR 12 ] ( k ) (2b)\n\n˜ w ( r ) = K -1 0 e -β ˜ V int ( r ) (2c)\n\n˜ V int ( r ) is the internal part of the pair potential (see Fig. 3), and K 0 is the association constant, defined as:\n\nK 0 = ∫ ∞ 0 d r 4 πr 2 e -β ˜ V int ( r ) = 0 . 43 L . mol -1 (3)\n\nThe excess free-energy density of the original system βf ex v is that of the three component mixture β ˜ f ex v plus a correction term\n\nβf ex v = β ˜ f ex v -˜ ρ 3 ln K 0 , (4)\n\nwhich is due to the change in standard chemical potential between the two component and three component models. It should be noted that the fraction of pairs is now an additional parameter in the minimization scheme, which serves to ensure chemical equilibrium. Within this representation, the pair can be modeled as a hard sphere (MSA3) or as a dumbbell-like CIP (BIMSA3) [4]. Since\n\nFIG. 4: (Color online) Excess free-energy density βf ex v as a function of the square root of the concentration √ c . (diamond) MC simulations, (dot dashed) MSA2, (dashed) MSA3, (solid) BIMSA3, (dot) DHLL, and (cross) experiments. The inset gives the fraction of pairs (MSA3, BIMSA3) as a function of √ c .\n\n\n\nwe have no additional information, we consider only symmetric dumbbells. Furthermore, since analytic expressions for the RDF within BIMSA are not known, we approximate the dumbbell as a hard sphere when computing the perturbation term (this is not necessary for the reference term, since an expression for the free energy is available). Let ˜ σ c be the diameter of the cation (anion) within the dumbbell, the diameter of the hard sphere representing this dumbbell is taken to be σ 3 = 4 √ 2 π σ c [21].\n\n˜ ˜ Using these two reference systems, the threecomponent MSA3 and BIMSA3, we obtain results in much better agreement with the MC simulations, as shown in Fig. 4. The diameters obtained for species 1, 2, and 3 are 3.65, 4.79, and 5.76 ˚ A for MSA3 and 3.69, 4.75 and 6.19 ˚ A for BIMSA3. The free ion diameters are similar for MSA2, MSA3, and BIMSA3. The pair diameter is smaller when modeled as a hard sphere (MSA3) than when modeled as a dumbbell (BIMSA3). At high concentration (about 1 mol l -1 ), the MSA3 overestimates the free energy, because the excluded volume repulsion becomes too important for the pairs to be represented as hard spheres. The BIMSA3 model is the closest to the MC simulation results. It is worth noting that even at the lowest concentration considered, the fraction of pairs (shown in the insert of Fig. 4), although less then 5%, has a non-negligible effect on the thermodynamics of the system.\n\nThis procedure also provides an accurate description of the structure over the whole range of concentrations. A development similar to the one that leads to Eq. (2) derives the average unpaired RDF from the corresponding paired quantities:", - "page_start": 2, - "page_end": 2, - "source_file": "1001.2648.pdf" - }, - { - "text": "FEP\n\nFree energy principle\n\nVFE\n\nVariational free energy\n\nEFE\n\nExpected free energy\n\nMCMC\n\nMarkov Chain Monte Carlo\n\nPOMDP\n\nPartially Observed Markov Decision Process\n\n## References\n\n - 1. Parr, T.; Pezzulo, G.; Friston, K.J. Active Inference: The Free Energy Principle in Mind, Brain, and Behavior ; The MIT Press: Cambridge, MA, USA, 2022. [CrossRef]\n - 2. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; O'Doherty, J.; Pezzulo, G. Active inference and learning. Neurosci. Biobehav. Rev. 2016 , 68 , 862-879. [CrossRef]\n - 3. Friston, K.; FitzGerald, T.; Rigoli, F.; Schwartenbeck, P.; Pezzulo, G. Active inference: A process theory. Neural Comput. 2017 , 29 , 1-49. [CrossRef]\n - 4. Friston, K.J.; Stephan, K.E. Free-energy and the brain. Synthese 2007 , 159 , 417-458. [CrossRef] [PubMed]\n - 5. Friston, K. The free-energy principle: A unified brain theory? Nat. Rev. Neurosci. 2010 , 11 , 127-138. [CrossRef] [PubMed]\n - 6. Friston, K. The free-energy principle: A rough guide to the brain? Trends Cogn. Sci. 2009 , 13 , 293-301. [CrossRef] [PubMed]\n - 7. Friston, K. A free energy principle for a particular physics. arXiv 2019 , arXiv:1906.10184. [CrossRef]\n - 8. Friston, K.; Da Costa, L.; Sajid, N.; Heins, C.; Ueltzhöffer, K.; Pavliotis, G.A.; Parr, T. The free energy principle made simpler but not too simple. Phys. Rep. 2023 , 1024 , 1-29. [CrossRef]\n - 9. Friston, K.; Kiebel, S. Predictive coding under the free-energy principle. Philos. Trans. R. Soc. B Biol. Sci. 2009 , 364 , 1211-1221. [CrossRef] [PubMed]\n - 10. Karl, F. A Free Energy Principle for Biological Systems. Entropy 2012 , 14 , 2100-2121. [CrossRef]\n - 11. Corcoran, A.W.; Pezzulo, G.; Hohwy, J. From allostatic agents to counterfactual cognisers: Active inference, biological regulation, and the origins of cognition. Biol. Philos. 2020 , 35 , 32. [CrossRef]\n - 12. Heins, C.; Millidge, B.; Da Costa, L.; Mann, R.P.; Friston, K.J.; Couzin, I.D. Collective behavior from surprise minimization. Proc. Natl. Acad. Sci. USA 2024 , 121 , e2320239121. [CrossRef] [PubMed]\n - 13. Patzelt, E.H.; Hartley, C.A.; Gershman, S.J. Computational Phenotyping: Using Models to Understand Individual Differences in Personality, Development, and Mental Illness. Personal. Neurosci. 2018 , 1 , e18. [CrossRef] [PubMed]", - "page_start": 29, - "page_end": 29, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "canonical ensemble. The free energy functional is first defined on the original KMC lattice. However, after re-writing the interaction terms employing gradient operators [78] one finally obtains the free energy functional for a continuous system\n\nF [ ρ l , ρ n ] = ∫ d r [ f ( ρ l , ρ n ) + ε ll 2 ( ∇ ρ l ) 2 + ε nn 2 ( ∇ ρ n ) 2 + ε nl ( ∇ ρ n ) · ( ∇ ρ l ) -µρ l ] , (4)\n\nwhere\n\nf ( ρ l , ρ n ) = kT [ ρ l ln ρ l +(1 -ρ l ) ln(1 -ρ l )] + kT [ ρ n ln ρ n +(1 -ρ n ) ln(1 -ρ n )] -2 ε ll ρ 2 l -2 ε nn ρ 2 n -4 ε nl ρ n ρ l . (5)\n\nSince the liquid may evaporate from the surface into the vapour above the surface, µ is the (true) chemical potential of this reservoir and determines the rate of evaporation [condensation] from [to] the surface. Note that normally a free energy of the form in Eq. (4) is obtained by making a gradient expansion of the free energy functional of a continuous system [84]. However, here we have made the mapping from the free energy of the lattice KMC system.\n\nThe chemical potential for the nanoparticles may be determined from the functional derivative µ n = δF [ ρ n , ρ l ] /δρ n ( r ) . In equilibrium it is constant throughout the system, but it may vary spatially in a non-equilibrium system, i.e., µ n = µ n ( r , t ) . We assume that the dynamics of the nanoparticles is governed by the thermodynamic force ∇ µ n - i.e. that the nanoparticle current is j = -M n ρ n ∇ µ n , where M n ( ρ l ) is a mobility coefficient that depends on the local density of the liquid. Combining this expression for the current with the continuity equation, we obtain the following evolution equation for the nanoparticle density profile\n\n∂ρ n ∂t = ∇· [ M n ρ n ∇ δF [ ρ n , ρ l ] δρ n ] . (6)\n\nNote that this equation of motion may also be obtained by assuming that the nanoparticles have over-damped stochastic equations of motion [80-83]. Here, we assume that M n ( ρ l ) = α Θ s ( ρ l -0 . 5) , where Θ s ( x ) is a continuous function that switches smoothly from the value 0 to the value 1 at x = 0 (i.e. it is essentially a smooth analogue of the Heaviside function). This ensures that the nanoparticles are immobile when the local liquid density is small (dry substrate) and have a mobility coefficient α when ρ l is high (wet substrate).\n\nFor the evolution of the liquid density distribution we assume that the liquid is able to evaporate from the surface into the vapour (reservoir) above the surface (non-conserved dynamics) and may", - "page_start": 14, - "page_end": 14, - "source_file": "1001.2669.pdf" - }, - { - "text": "To overcome this difficulty, we have explicitly introduced the CIP in our model (species 3). Straightforward calculations, based on a characteristic-function formalism, allow us to define an equivalent model in which the free ions and the CIP are explicitly taken into account [19, 20]. We apply this formalism by defining a pair as an anion and a cation at a distance less than 4 ˚ A, which corresponds to the position of the effective potential maximum. The interaction between free, like charges in this new system remains unchanged, and the cation-anion interactions are easily approximated by ex-", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "134420 (2009).\n\n- 16 J. Bohr D. Gibbs, J. D. Axe, D. E. Moncton, K. L. D'Amico, C. F. Majkrzak, J. Kwo, M. Hong, C. L. Chien, and J. Jensen, Physica B 159 , 93 (1989).\n- 17 H. T. Diep, Phys. Rev. B 39 , 397 (1989).\n- 18 D. Loison, Physica A 275 , 207 (2000).\n- 19 N. Metropolis, et al. , J. Chem. Phys. 21 , 1087 (1953).\n- 20 F. R. Brown and T. J. Woch, Phys. Rev. Lett. 58 , 2394 (1987).\n- 21 D. P. Landau, and K. Binder, A Guide to Monte Carlo Simulation in Statistical Physics , Cambridge University Press, Cambridge (2000).\n- 22 M. E.J. Newman, and G. T. Barkema, Monte Carlo Methods in Statistical Physics , Clarendon Press, Oxford (1999).\n- 23 B. Efron, The Annals of Statistics 7 , 1 (1979).\n- 24 P. M. Chaikin, T. C. Lubensky Principles of condensed matter physics , Cambridge University Press, New York (1995).\n- 25 K. Binder, Z. Phys. B 43 , 119 (1981). K. Binder, Phys. Rev. Lett. 47 , 693 (1981).\n- 26 Such observable has been obtained from instantaneous evaluation of the structure factor during the stochastic process, and subsequently statistically analyzed as all the other macroscopic quantities.", - "page_start": 6, - "page_end": 6, - "source_file": "1001.0510.pdf" - }, - { - "text": "FIG. 1: Effective McMillan-Mayer short-range pair potentials extracted from explicit solvent simulations using the HNC closure. (a) Cation anion, (b) cation cation, (c) anion anion, (d) cation anion RDF obtained from explicit solvent MD and implicit solvent MC simulations.\n\n\n\npute all ion thermodynamic properties through implicit solvent MC simulations.\n\nThe second stage of our coarse-graining procedure consists in applying LPT, in order to deduce the best analytical model of electrolyte solutions which reproduces this molecular description. The principle of LPT is to describe the properties of a given system in terms of those of a well known reference system, with the difference between them treated as a perturbation in the reference potential. Assuming pairwise additive potentials, V ij = V (0) ij + ∆V ij , a first-order truncated expression for the free energy density of the system βf v is obtained,\n\nβf v /lessorsimilar βf (0) v + 1 2 β ∑ i,j ρ i ρ j ∫ d r g (0) ij ( r ) ∆V ij ( r ) (1)\n\nwhich depends only on the free-energy density f (0) v and RDF g (0) of the reference fluid, with β = ( k B T ) -1 and ρ i the concentration of species i . The Gibbs-Bogoliubov inequality [15] ensures that the right-hand side of Eq. (1) is actually a strict upper bound. Once a reference system has been chosen, the expression on the right-hand side of Eq. (1) must be minimized with respect to the parameters defining the reference. This procedure yields the best first-order approximation to the free energy of the system under consideration.\n\nFor a system of charged particles in solution, the natural reference is the PM, defined in terms of the charge and diameter ( σ i ) of each species. In this case, the perturbing potentials are just the short-range effective potentials computed above (∆ V ij = V SR ij ). We use the MSA [3] solution to the PM, since it provides analytical expressions for both the free energy and the RDF. The perturbation term is evaluated using an exponential approximation to the RDF obtained within the MSA, g ( r ) = exp [ g MSA ( r ) -1], which removes any unphysical negative regions and improves the comparison with HNC calculations.\n\nΦ\n\nFIG. 2: (Color online) (a) Osmotic coefficient Φ in the McMillan-Mayer frame of reference. (diamond) MC simulations, (dot dashed) MSA2, (dot) Debye Huckel Limiting law (DHLL), (cross) experiments (Ref. [18] with the McMillanMayer to Lewis Randall conversion). (b) Minimization diameters. (dot dashed) MSA2 and (diamond) MSA-fit.\n\n\n\nWe first used LPT for a two-component system (Na + and Cl -free ions) within the MSA (model MSA2), for concentrations ranging from 0.1 to 2 . 0 mol l -1 . The minimization leads to almost constant diameters on the whole range of concentration: σ 1 = 3 . 67 ˚ A and σ 2 = 4 . 78 ˚ A. As shown in Fig. 2, these parameters yield osmotic coefficients close to MC calculations only at very low concentration, i.e., c ≤ 0 . 1 moll -1 (experimental values are given for indicative purposes only, since a perfect model will exactly match the MC results). For molar solutions, the LPT results differ considerably from MC calculations. This discrepancy can easily be understood by comparing the diameters found within the MSA2 calculation with the effective potentials given in Fig. 1. The anion/cation contact distance obtained within the MSA2 calculation is 4 . 2 ˚ A, which is in the region of the second minimum of the effective potential and corresponds to the situation where there is a single layer of water molecules between the ions. The first minimum of the potential, which corresponds to the contact ion pair (CIP) is thus completely ignored by the MSA2 calculation. If the MSA diameters are directly fitted to reproduce the MC osmotic pressure, much smaller values are obtained. These MSA-fit hydrated diameters, which are compared to the MSA2 diameters in the bottom part of Fig. 2, are averages of the CIP and the solvent-separated ion pair.", - "page_start": 1, - "page_end": 1, - "source_file": "1001.2648.pdf" - }, - { - "text": "## Models of electrolyte solutions from molecular descriptions: The example of NaCl solutions\n\nJohn Jairo Molina 1 , 2 , 3 , ∗ Jean-Fran¸cois Dufrˆeche 1 , 2 , 3 , † Mathieu Salanne 1 , 2 , Olivier Bernard 1 , 2 , Marie Jardat 1 , 2 , and Pierre Turq 1 , 2 1 UPMC-Universit'e Paris 06, UMR 7195, PECSA, F-75005 Paris, France 2 CNRS, UMR 7195, PECSA, F-75005 Paris, France 3 Institut de Chimie S'eparative de Marcoule (ICSM), UMR 5257 CEA-CNRS-Universit'e Montpellier 2, Site de Marcoule,\n\nBˆatiment 426, BP 17171, 30207 Bagnols-sur-C'eze Cedex, France\n\nWe present a method to derive implicit solvent models of electrolyte solutions from all-atom descriptions; providing analytical expressions of the thermodynamic and structural properties of the ions consistent with the underlying explicit solvent representation. Effective potentials between ions in solution are calculated to perform perturbation theory calculations, in order to derive the best possible description in terms of charged hard spheres. Applying this method to NaCl solutions yields excellent agreement with the all-atom model, provided ion association is taken into account.\n\nSince the pioneering works of Debye, Huckel, and Onsager, electrolyte solutions have been commonly described by continuous solvent models, for which the McMillan-Mayer theory [1] provides a rigorous statistical-mechanical foundation. Within that level of description, simple phenomenological models such as the primitive model (PM), for which the ions are assimilated to charged hard spheres [2], can lead to explicit formulas for the thermodynamic and structural properties (e.g., with the help of the mean spherical approximation (MSA) [3] or the binding MSA (BIMSA) [4]). These models are the most practical to use [5], since they allow for a direct link between the experimental measurements and the microscopic parameters of the system. Nevertheless, they ignore the molecular structure of the solvent. Consequently, they cannot properly account for the complex specific effects of the ions, which appear in numerous biological, chemical, and physical interfacial phenomena [6, 7], without further developments.\n\nAn alternative procedure consists in carrying out molecular simulations, where both the solvent and solute are treated explicitly. After a rigorous averaging over the solvent configurations, a coarse-grained description of the ions, which still includes the effect of the solvent structure, can be obtained [8-11]. However, this set of methods is purely numeric; they do not provide any analytical expression for thermodynamic quantities. They are therefore restricted to simple geometries [12, 13] (bulk solutions or planar interfaces). The description of complex systems, such as porous or electrochemical materials, is still based on continuous solvent models [14].\n\nIn this letter we present a method aimed at bridging the gap between analytical and numerical approaches. It is based on the application of liquid perturbation theory (LPT) [15] to effective ion-ion potentials extracted from\n\nmolecular dynamics (MD) results. Different approximations of the PM are employed for the case of NaCl electrolyte solutions: a two component model (MSA2), that only takes free ions into account, and two different three component models (MSA3 and BIMSA3), which include a third species (the contact ion pair). As we proceed to show, LPT allows us to select the best simple model which accurately accounts for the thermodynamics and the physical-chemistry of the system.", - "page_start": 0, - "page_end": 0, - "source_file": "1001.2648.pdf" - }, - { - "text": "The authors are particularly grateful to Werner Kunz for fruitful discussions.\n\n- [12] D. Horinek and R. R. Netz, Phys. Rev. Lett. 99 , 226104 (2007).\n- [13] M. Lund, P. Jungwirth, and C. E. Woodward, Phys. Rev. Lett. 100 , 258105 (2008).\n- [14] S. Van Damme et al., J. Phys. Chem. B 113 , 3105 (2009).\n- [15] J.-P. Hansen and I. R. McDonald, Theory of Simple Liquids (Academic Press, 1986).\n- [16] J. C. Rasaiah and R. M. Lynden-Bell, Philos. Trans. R. Soc. London, Ser. A 359 , 1545 (2001).\n- [17] A. P. Lyubartsev and S. Marcelja, Phys. Rev. E 65 , 041202 (2002).\n- [18] V. M. M. Lobo, Electrolyte Solutions, Data on Thermodynamic and Transport Properties , vol. I-II (Coimbra Editora, Lisbon, Portugal, 1984).\n- [19] G. Ciccotti, P. Turq, and F. Lantelme, Chem. Phys. 88 , 333 (1984).\n- [20] J.-F. Dufrˆeche, T. O. White, and J.-P. Hansen, Mol. Phys. 101 , 1741 (2003).\n- [21] The average contact distance between a symmetric dumbbell and an infinite plane at β = 0.", - "page_start": 3, - "page_end": 3, - "source_file": "1001.2648.pdf" - }, - { - "text": "quantities as its target: the variational free energy ( VFE ) in the case of perception and the expected free energy ( EFE ) in the case of action. The VFE is the free energy associated with a given sensory observation and is resolved perceptually by updating beliefs about the environment. The EFE is the free energy that is expected in the future, contingent on a given policy or course of action. Choosing action policies associated with a low EFE lead to reducing uncertainty about the environment, as well as making preferred observations more likely.\n\n## 2.1. POMDPs in Active Inference\n\nIn AIF, the POMDP is one of the most common families of generative models used to make inferences about the environment. It is a Markovian discrete state-space model, where employing it means representing the environment and observations as inhabiting one among a set of possible (possibly multidimensional) states, and that the changes in these states can only depend on the system's previous state and the agent's actions. Environmental states are not directly observable, so they have to be inferred based on incoming sensory observations. In AIF for POMDPs and other generative models in general, both perception and action are cast as Bayesian inferences (see Sections 2.2 and 2.3), as well as the learning of parameters of the generative model (see Section 2.4). Crucially, an agent's generative model does not a priori have to be isomorphic to the true environment (i.e., the data-generating process), although this will generally lead to a successful inference, and that the generative model will therefore often come to resemble the environment through learning.\n\nAdiscrete state-space POMDP in AIF is conventionally defined by five main sets of parameters: A , B , C , D and E [1,33], see Figure 1. Together, these parametrise the agent's prior beliefs about the prior probability of different states in the environment, how states of the environment change and how they generate observations. Typically, they will be vectors, matrices or tensors; however, henceforth we denote them by their corresponding letter in bold. These make up the components needed for the agent to perform AIF.\n\nA , also called the observation model , represents the state-to-observation likelihood model. This describes how observations depend on or are generated by states of the environment. It is structured as a matrix with a column for each possible environmental state s , and a row for each possible observation o . Each column is then a categorical probability distribution over the observations that will occur given the environmental state (meaning that each column must contain non-negative values that sum to 1). If the observations are multidimensional (i.e., multiple observations are made at each time point), there is a matrix for each observation modality. If two or more states determine the observation, the likelihood model then becomes a tensor. If A is imprecise (i.e., the probabilities are highly entropic and evenly distributed), observations are taken to carry less information about the environment, in many cases leading to more uncertain inferences, and vice versa.", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "the dominant dynamic process, but does not allow one to probe this assumption. In Section III B we show how one may develop a dynamical density functional theory (DDFT) that describes the system at a similar level to the KMC. However, the DDFT may also be easily extended to include other effects such as fluid diffusion, that the KMC does not incorporate.\n\n## A. Kinetic Monte Carlo model\n\nThe kinetic Monte Carlo model for two-dimensional dewetting nanofluids [33] was first proposed in Ref. [35] and extended to include next-nearest neighbour interactions in [37]. The two key assumptions used are: (i) the relevant processes can be mapped on to a two-dimensional lattice gas model, thereby neglecting continuous changes in the thickness of the evaporating film, and (ii) all relevant dynamics results from diffusing nanoparticles and evaporating/condensing solvent.\n\nThe model builds on an Ising-type model for the liquid-gas phase transition. The surface is divided up into a regular array of lattice sites whose size is dictated by the nanoparticles. One then considers each lattice site to be occupied either by a nanoparticle, liquid or vapour. This effectively maps the system onto a two-dimensional two-component lattice gas having two fields n and l . The resulting three possible states of a cell are: liquid ( l = 1 , n = 0 ), nanoparticle ( l = 0 , n = 1 ), and vapour ( l = 0 , n = 0 , i.e., cell empty). The energy of an overall configuration is given by the hamiltonian\n\nE = -ε nn 2 ∑ n i n j -ε nl 2 ∑ n i l j -ε ll 2 ∑ l i l j -µ ∑ i l i (3)\n\nwhere ∑ denotes a sum over nearest neighbour pairs and ε ll , ε nn and ε nl are the liquid-liquid, particle-particle and liquid-particle interaction energies, respectively. Fixing the three interaction strength parameters ε ll , ε nn , ε nl and the effective chemical potential µ determines the equilibrium state of the system. We choose ε ll as unit of energy - i.e. we set ε ll = 1 .\n\nThe hamiltonian determines the equilibrium state and the energy landscape of the system. However, as the system 'dries in' during the course of the solvent evaporation, the final nanoparticle configurations do not necessarily represent equilibrium structures. This implies that the system dynamics is of paramount importance. It is determined by the possible Monte Carlo moves, their relative frequencies, and the probabilities for their acceptance. Two types of moves are allowed: (i) evaporation/condensation of liquid and (ii) diffusion of nanoparticles within the liquid. A mobility M corresponds to the ratio of cycles of particle and solvent moves and reflects the physical ratio of", - "page_start": 8, - "page_end": 8, - "source_file": "1001.2669.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "How could the heart rate be estimated by means of an active inference paradigm?", - "target_page": 6, - "target_passage": "The second panel of Fig. 2 shows the Shannon surprise of an inference model that estimates the current heart rate using the two standard components of a generative model. The for- mer component is the prior, which encodes the person’s a priori probabilistic belief (i.e. probability distribution) about her “nor- mal” heart rate range; here, the prior is a Gaussian centered on 67 and has a precision of 0.11. The latter component is the likeli- hood, which encodes the probabilistic mapping between sensory (heartbeat) observations and the hidden state (heart rate); here, the likelihood is a Gaussian centered on the current heart rate with an additional bias of 15 pulses, and the panel shows the results for 10 values for precision obtained by subdividing the range [0.1,10] into equal intervals.", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "Figure 2. A simplified example of (Bayesian) inference of one's heart rate. First panel: simulated time series of heartbeat observations. Second panel: Shannon surprise of a generative model composed of a fixed prior about heart rate (a Gaussian with a mean of 67 and a precision of 0.11) and a likelihood (a Gaussian centered on the current heart rate with an additional bias of 15 pulses, with various precisions that vary between 0.47 and 10, see the legend). Third panel: Bayesian surprise, which measures the discrepancy between posterior and prior probabilities over time. Bottom panels: the two series of panels are organized in two (left and right) columns, which show the first five time steps of inference for the two cases with high precision (of 10) and low precision (of 0.1) of the likelihood, respectively. See the main text for an explanation and online article for colored version of this figure.\n\n\n\nthe current model generate significant surprise, and sometimes, the surprise can remain relatively high for long periods before the model adapts (or the world changes), especially with some parameterizations of the generative model. This is particularly relevant in this context since active inference agents strive to minimize their surprise (and the long-term average of surprise, entropy, which is a measure of uncertainty) by changing their model, or changing the world, or both.\n\nSecond, these examples illustrate the importance of precision control and the appropriate setting of precision parameters in guiding inference. Remarkably, the inference can be more or less accurate or fast using the same data, depending on the precision parameters. Note that in Fig. 2, we manipulated only the precision of the likelihood. However, it would also be possible to manipulate the precision of the prior, together or in alternative to the precision of the likelihood. Generally speaking, when the precision of the", - "page_start": 6, - "page_end": 6, - "source_file": "pubmed1.pdf" - }, - { - "text": "\n\n\n\nArticle\n\n## Introducing ActiveInference.jl : A Julia Library for Simulation and Parameter Estimation with Active Inference Models\n\n\n\nSamuel William Nehrer 1,† , Jonathan Ehrenreich Laursen 1,† , Conor Heins 2,3, * , Karl Friston 3,4 ,\n\nChristoph Mathys 5 and Peter Thestrup Waade 5\n\n- 1 School of Culture and Communication, Aarhus University, 8000 Aarhus, Denmark; 202204724@post.au.dk (S.W.N.); 202204836@post.au.dk (J.E.L.)\n- 2 Department of Collective Behaviour, Max Planck Institute of Animal Behavior, D-78457 Konstanz, Germany\n- 3 VERSES Research Lab., Los Angeles, CA 90016, USA; k.friston@ucl.ac.uk\n- 4 Queen Square Institute of Neurology, University College London, London WC1N 3BG, UK\n- 5 Interacting Minds Centre, Aarhus University, 8000 Aarhus, Denmark; chmathys@cas.au.dk (C.M.); ptw@cas.au.dk (P.T.W.)\n- * Correspondence: cheins@ab.mpg.de\n- † These authors contributed equally to this work.\n\nAbstract: We introduce a new software package for the Julia programming language, the library ActiveInference.jl . To make active inference agents with Partially Observable Markov Decision Process (POMDP) generative models available to the growing research community using Julia, we re-implemented the pymdp library for Python. ActiveInference.jl is compatible with cutting-edge Julia libraries designed for cognitive and behavioural modelling, as it is used in computational psychiatry, cognitive science and neuroscience. This means that POMDP active inference models can now be easily fit to empirically observed behaviour using sampling, as well as variational methods. In this article, we show how ActiveInference.jl makes building POMDP active inference models straightforward, and how it enables researchers to use them for simulation, as well as fitting them to data or performing a model comparison.\n\nKeywords: active inference; free energy principle; predictive processing; Markov decision process; cognitive modelling; Julia\n\nPACS: 87.15.Aa\n\nMSC: 91-08\n\nJEL Classification: C63\n\n## 1. Introduction\n\nWe introduce a novel software library for Julia, ActiveInference , which lets users produce the simulated behaviour of agents and their internal belief states with active inference (AIF) models, as well as fit such models to empirically observed behaviour. AIF [1-3] is a generally applicable formal framework for understanding and simulating intelligent behaviour that is based in neurobiology and first principles from statistical physics [4-8]. AIF treats action and perception as unified under a joint imperative: to minimise the variational free energy ( VFE ), which quantifies how well the agent's internal generative model explains incoming sensory observations. It is an upper bound on the the surprise from sensory observations, making AIF formally related to prediction error\n\n\n\nAcademic Editor: Astero Provata\n\nReceived: 25 October 2024 Revised: 2 January 2025 Accepted: 7 January 2025\n\nPublished: 12 January 2025\n\nCitation: Nehrer, S.W.; Ehrenreich Laursen, J.; Heins, C.; Friston, K.; Mathys, C.; Thestrup Waade, P. Introducing ActiveInference.jl : A Julia Library for Simulation and Parameter Estimation with Active Inference Models. Entropy 2025 , 27 , 62. https://doi.org/10.3390/e27010062\n\nCopyright: ©2025 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access article distributed under the terms and conditions of the Creative Commons Attribution (CC BY) license (https://creativecommons.org/ licenses/by/4.0/).", - "page_start": 0, - "page_end": 0, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "Equipped with a generative model like the one shown in Fig. 1, an active inference agent can continuously infer (and act upon) the state of the world and of the body, including the internal milieu, at multiple time scales. Of particular interest, here are multimodal inferences that unite exteroceptive and interoceptive sources of evidence. One example of this is the perception of faces expressing emotions. Two studies reported that", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed1.pdf" - }, - { - "text": "uncertainty about one's estimated state. This means that active inference agents tend to avoid ambiguous states, encompassing the avoidance of ambiguous places where self-localization is challenging, ambiguous social situations where safety is uncertain, and ambiguous bodily states, such as unsure feelings of fatigue. However, one apparent exception to this aversion to ambiguity arises when exploring novel states implies the opportunity to learn new things and enhance one's model; see Friston et al. (2017) for a discussion. Furthermore, and importantly, active inference agents will actively operate in the environment to reduce their ambiguity; for example, by actively seeking informative sensations that disambiguate in which location they are (e.g. by looking for traffic signs), whether their social context is safe or unsafe (e.g. by trying to understand other's intentions from their facial expressions and actions), or whether they are currently fatigued (e.g. by putting attention to one's heart), happy, or sad.\n\nThe last examples-disambiguating one's fatigue and emotional states-may seem strange if one assumes that we do have direct access to the body- and allostasis-related states (e.g. states of satiation, thirst, and fatigue) and to our emotions (e.g. we automatically know whether we are happy or sad). However, one assumption of active inference is that one's bodily and emotional states are not necessarily observable but, instead, 'hidden states' that need to be inferred on the basis of sensations (especially, but not exclusively, of interoceptive sensations from the inside of the body) and of an implicit, unconscious model of how the body functions (Barrett and Simmons 2015, Pezzulo et al. 2015, Seth and Friston 2016). In other words, the same inferential process that allows active inference agents to estimate the hidden state of the external environment (e.g. the presence or absence of an object in the environment) is also used to estimate other hidden states, such as fatigue, happiness, or sadness. This implies that one can also be wrong, or be fooled, about these states; for example, we could experience the 'interoceptive illusion' of feeling more fatigued than our physiological parameters would afford (Iodice et al. 2019).", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "participants processed faces expressing fear (but not neutral faces or faces expressing other emotions) when their heart rate was high-hence congruent with the fearful expression (Pezzulo et al. 2018, Yu et al. 2021). The generative model shown in Fig. 1 could support this kind of inference by using interoceptive information from the heart (i.e. high heart rate) as evidence that 'there might be something fearful out there' (Pezzulo 2013). Another more complex example regards emotional awareness and self-awareness-which significantly engage the brain regions involved in interoception and the representation of physiological processes (Garfinkel et al. 2013). The generative model shown in Fig. 1 might support processes of emotional awareness in a way that is neither purely bottom-up (i.e. as if interoceptive signals cause emotional awareness) nor top-down (i.e. as if emotional awareness causes interoceptive signals), but rather through a circular causality between central predictions about bodily statethat engage autonomic reflexes-and interoceptive streams-that update the predictions (Seth and Friston 2016). In this perspective, any representation that induces interoceptive predictions could be associated with emotional or affective content; crucially, this is also the case with some aspects of self-awareness (e.g. recognizing one's own face) that require integrating interoceptive streams with concurrent exteroceptive (e.g. visual) and proprioceptive cues. These examples illustrate that the generative model of Fig. 1 natively implements both the multisensory integration required to unite (for example) interoceptive and exteroceptive streams and the active aspects that are supposed to support emotional and self-processing-and the construction of an 'embodied self' (i.e. the circular causality between engaging autonomic reflexes and capturing the ensuing interoceptive signals).\n\nIn general, the accuracy of the inference of hidden bodily states, the 'embodied self,' or other aspects of the model depends on the signal-to-noise ratio of the sensations and on the quality of the model. For example, it is difficult to self-localize in a city if it is dark (low signal-to-noise ratio) or if one does not know the city well (poor model). The inference of hidden bodily and emotional states might function in an analogous manner. If the quality of the afferent interoceptive (e.g. cardiac) signals is low, or if one has a poor model of how one's body functions, then it would estimate one's bodily states such as fatigue incorrectly (which in turn would also impair its adaptive regulation of the same bodily states). Interoceptive signals could be 'too noisy' for various reasons, which might be related to physiology, inflammation, or stress. The body model can be poor in various ways, too. For example, it could poorly characterize the statistical relations between interoceptive sensations and hidden bodily states (e.g. systematically mischaracterize high heart rate as caused by hunger but not fatigue or joy).", - "page_start": 5, - "page_end": 5, - "source_file": "pubmed1.pdf" - }, - { - "text": "- 31. van de Laar, T.; ¸Senöz, ˙ I.; Özçelikkale, A.; Wymeersch, H. Chance-Constrained Active Inference. Neural Comput. 2021 , 33 , 2710-2735. [CrossRef]\n - 32. Busemeyer, J.R.; Diederich, A. Cognitive Modeling ; SAGE: Thousand Oaks, CA, USA, 2010; Google-Books-ID: R7KDF35g5LQC.\n - 33. Smith, R.; Friston, K.J.; Whyte, C.J. A step-by-step tutorial on active inference and its application to empirical data. J. Math. Psychol. 2022 , 107 , 102632. [CrossRef] [PubMed]\n - 34. Lee, M.D.; Wagenmakers, E.J. Bayesian Cognitive Modeling: A Practical Course , 1st ed.; Cambridge University Press: Cambridge, UK, 2014. [CrossRef]\n - 35. Blei, D.M.; Kucukelbir, A.; McAuliffe, J.D. Variational Inference: A Review for Statisticians. J. Am. Stat. Assoc. 2017 , 112 , 859-877. [CrossRef]\n - 36. Lattner, C.; Adve, V. LLVM: A compilation framework for lifelong program analysis & transformation. In Proceedings of the International Symposium on Code Generation and Optimization, 2004, CGO 2004, Palo Alto, CA, USA, 20-24 March 2004; pp. 75-86. [CrossRef]\n - 37. R Core Team. R: A Language and Environment for Statistical Computing ; R Foundation for Statistical Computing: Vienna, Austria, 2021.\n - 38. Carpenter, B.; Gelman, A.; Hoffman, M.D.; Lee, D.; Goodrich, B.; Betancourt, M.; Brubaker, M.; Guo, J.; Li, P.; Riddell, A. Stan: A Probabilistic Programming Language. J. Stat. Softw. 2017 , 76 , 1-32. [CrossRef] [PubMed]\n - 39. Ge, H.; Xu, K.; Ghahramani, Z. Turing: A Language for Flexible Probabilistic Inference. In Proceedings of the Twenty-First International Conference on Artificial Intelligence and Statistics (PMLR), Playa Blanca, Lanzarote, 9-11 April 2018; pp. 1682-1690. ISSN: 2640-3498.", - "page_start": 30, - "page_end": 30, - "source_file": "pubmed7_cc4.pdf" - }, - { - "text": "prior is very high, the posterior will closely reflect the prior, rendering the inference rigid and incapable of adapting to changing environmental conditions-which might be especially problematic in periods of significant changes, such as adolescence or more simply when one changes city, working environment, and friends. Furthermore, as shown in Fig. 1, hierarchical predictive coding architectures have precision values associated with every hierarchical level (whereas, for simplicity, the inference shown in Fig. 2 is not hierarchical). The correct balance of precision parameters within and across layers is crucial for accurate inference, as it ensures that the correct levels of confidence are assigned to data and prior information.\n\nFinally, and importantly, aberrant precision control (as well as various combinations of other factors discussed earlier, such as noisy bodily sensations and poor bodily mode) can render inference not just incorrect but also highly ambiguous, leaving a person in a permanent condition of uncertainty about whether one is fatigued (when considering the bodily state), happy, or sad (when considering the emotional state), what kind of person one is or what are one's desires (when considering self-models), etc. Importantly, this condition of uncertainty is not limited to perceptual inference but has a cascade effect on decision-making and action selection. Indeed, an uncertain estimate of one's state automatically implies that one has low confidence in the effects of one's plans; for example, it renders more difficult the prediction of whether a run would be too fatiguing or a party too stressful. It is exactly this kind of uncertainty (about the present and the future, the body state or the outcomes of social interactions, etc.) that active inference agents strive to avoid.\n\n## Avoiding excessive uncertainty in maladaptive ways\n\nOur previous discussion clarified that active inference agents have sophisticated (hierarchically deep, temporally extended) models of themselves that permit making inferences at multiple levels about hidden bodily states (which comprise both the classical 'body schema' and other states that are relevant for allostasis, such as hunger, thirst, and fatigue) and other states related to the emotional and embodied self. These models are essential for ensuring effective regulation and control at multiple levels, from simple reflexes to sophisticated goal-directed behaviors (Tschantz et al. 2022). However, in some cases, the aforementioned inferential process might not work properly (e.g. if the sensory channels are too noisy or are assigned excessively high or low precision). As a consequence, a person could experience an excessive or irreducible uncertainty about her bodily and emotional states or about the self, which in turn translates into a loss of confidence about which future courses of action could produce desired outcomes. Crucially, active inference agents follow the imperative to avoid such an uncertainty about the present or the future. Normally, uncertainty minimization strategies are adaptive (e.g. seeking advice if one is uncertain about the direction of the preferred restaurant). However, in some conditions, such as when a person experiences excessive and irreducible uncertainty and when the uncertainty is particularly distressing or related to fundamental life concerns, she might potentially seek 'maladaptive' ways to reduce it-or methods that reduce uncertainty at the cost of hindering fundamental imperatives of well-being and survival (see also Linson et al. 2020).\n\nIn this perspective, apparently paradoxical actions, such as food restriction and self-injurious behaviors, might be pursued", - "page_start": 7, - "page_end": 7, - "source_file": "pubmed1.pdf" - }, - { - "text": "## Discussion\n\nCurrent theories of predictive processing and active inference assume that, to steer adaptive perception and action, the brain forms internal generative models of the environment and of the body within it. Various studies reveal that the brain has rich models of the body; for example, it integrates somatosensory and proprioceptive information into a coherent representation of things like body size and limb position-i.e. a 'body schema.' More recently, this model-based perspective has been extended to interoception-and the rich sensations we constantly receive from the internal body. Theories of interoceptive processing propose that the brain continuously estimates key bodily and homeostatic variables, such as thirst or fatigue levels, perhaps forming something like an 'interoceptive schema.'\n\nA key reason for forming bodily or interoceptive models is that they permit us to exert accurate control over the variety of signals (e.g. somatosensory and interoceptive) that the body produces. Forming an accurate body schema is prominent for motor control, whereas modeling interoceptive variables (e.g. thirst) is key to keeping them under control by engaging autonomic reflexes (e.g. vasodilation) and allostatic or goal-directed actions (e.g. drinking) when they have incorrect values. The generative modeling perspective can also be extended hierarchically to consider richer models of multimodal experiences and 'embodied self' that persists in time and anchors our experiences, permitting us to select adaptive courses of action to achieve our favorite goals.\n\nWhile it seems obvious that controlling bodily variables and achieving goals are crucial for survival, this perspective poses a fundamental challenge. In control theory and active inference, 'controlling' the body ensures that the body generates the preferred outcomes with high (hedonic or pragmatic) value, e.g. safe levels for thirst and fatigue. This idea applies naturally to many of our activities that pursue some form of biologically adaptive function or well-being, such as ensuring that we keep our bodies healthy and consume good food (Sterling and Eyer 1988, Sterling 2012). However, it fails to explain why we engage in some activities that are apparently maladaptive and contradict our primary biological imperative to ensure body health. Perhaps the most puzzling examples are pathological behaviors (e.g. non-suicidal self-harm or starvation), which are common across psychopathological conditions. In these cases, the control exerted over the body and its sensations might serve the purpose of generating outcomes with high (hedonic or pragmatic) values that nevertheless run against our homeostatic and survival imperatives (e.g. pain and excessive levels of hunger).\n\nIn this article, we started with formal accounts of brain processing based on active inference to discuss the mechanisms and functional purpose of the (apparently) maladaptive ways to 'control the body' that arise in these and other psychopathological behaviors. We first discussed how we build models of the world, of our bodily and interoceptive processes, of our emotions, and of the embodied self, which provides a sense of understanding of reality and affords adaptive control at many levels, from the allostatic regulation of our physiological states to the achievement of our individual and social goals. Then, we discussed under which conditions we can become highly uncertain about our current state and the future course of action. These conditions include both contextual factors (e.g. periods of noteworthy changes or stress) and factors related to the person's internal models (e.g. poor models in which precision parameters are incorrectly set).", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed1.pdf" - }, - { - "text": "We next turned to active inference and discussed how reducing uncertainty (not just maximizing utility) is a key imperative in this framework. This implies that an active inference agent can sometimes privilege uncertainty minimization over utility maximization. In extreme conditions, such as when interoceptive uncertainty is excessive or difficult to reduce, a person could develop maladaptive strategies to deal with it, such as acting on the body to produce interoceptive sensations of pain or starvation that reduce interoceptive uncertainty.\n\nThe centrality of physiological processes and bodily information for the sense of self has been widely discussed by interoceptive research (Seth et al. 2012, Quigley et al. 2021). Here, in continuity with previous works (Barca and Pezzulo 2020), we suggest that (i) some pathological behaviors-that 'act on the body' in maladaptive ways-might be considered as strategies for modifying internal models and the sense of self when it is deficient, through bodily sensations and (ii) the sense of self can be deficient when bodily information is uncertain, and this can happen not only in clinical conditions but also during pivotal periods of developmental transition, e.g. in adolescence.\n\nThe theoretical perspective offered here leaves several important questions unaddressed. First, even if uncertainty reduction might be a central drive in self-injury behaviors, it is unclear what kinds of uncertainty (if any) specifically trigger the paradoxical behaviors. It may be only the uncertainty at deep hierarchical levels (e.g. at the level of self-models) that promotes paradoxical behaviors. Alternatively, it could be possible that it is not so much the kind of uncertainty that matters but somewhat its associated distress, which in turn could be amplified by conditions like the intolerance of uncertainty. While these and alternative hypotheses remain to be tested in future research, they might in the future lead to novel tailored interventions. Current reviews of NSSI interventions (see, e.g. Turner et al. 2014, Witt et al. 2021) outline the various treatments currently available (e.g. psychological and psychosocial interventions, pharmacological treatments, and a combination of both), but underline the need for further data on their effectiveness. The use of formal models of brain function to characterize the mechanisms of psychopathology (Friston et al. 2014, Stephan and Mathys 2014) might help conceptualize dysfunctional behaviors in operationalizable terms. In this vein, one might delineate interventions aimed at reducing the uncertainty of self-models by starting from the bodily self and the definition of self-other boundaries (if these turn out to be the critical aspects for the patient). In this endeavor, techniques such as virtual reality and robotics might help elucidate which levels of the multisensory integration process of the bodily self might be compromised (Dieguez and Lopez 2017, Tsakiris 2017, Serino et al. 2018). Virtual reality along with role-playing sessions and the use of avatars are increasingly considered effective tools for the training of clinicians who deal with individuals engaging in NSSI (Taliaferro et al. 2023). It remains to be tested whether the use of virtual reality or similar interventions-and the definition of contexts and tasks aimed at reducing the uncertainty of the bodily self-might also be viable for individuals engaging in NSSI.", - "page_start": 8, - "page_end": 8, - "source_file": "pubmed1.pdf" - }, - { - "text": "generative models, or even (deep learning-based) amortised inference models. These various extensions could provide valuable tools for using AIF models in both theoretical and applied research.\n\nAuthor Contributions: Conceptualisation, S.W.N., J.E.L. and P.T.W.; methodology, S.W.N., J.E.L. and P.T.W.; software, S.W.N., J.E.L. and P.T.W.; formal analysis, S.W.N. and J.E.L.; writing-original draft preparation, S.W.N. and J.E.L.; writing-review and editing, C.H., K.F., C.M. and P.T.W.; visualisation, S.W.N. and J.E.L.; supervision, C.M. and P.T.W.; project administration, P.T.W. All authors read and agreed to the published version of this manuscript.\n\nFunding: C.M. acknowledges funding from Aarhus Universitets Forskningsfonds (grant no. AUFFE-2019-7-10) and from the Carlsberg Foundation (grant no. CF21-0439).\n\nInstitutional Review Board Statement: Not applicable.\n\nInformed Consent Statement: Not applicable.\n\nData Availability Statement: The original data presented in this study are openly available in ActiveInferenceJuliaPaper at URL: https://osf.io/j3k5q/.\n\nConflicts of Interest: The authors declare no conflicts of interest. The funders had no role in the design of this study; in the collection, analyses or interpretation of data; in the writing of this manuscript; or in the decision to publish the results.\n\n## Abbreviations\n\nThe following abbreviations are used in this manuscript:\n\nAIF\n\nActive inference\n\nFEP\n\nFree energy principle\n\nVFE\n\nVariational free energy\n\nEFE\n\nExpected free energy\n\nMCMC\n\nMarkov Chain Monte Carlo\n\nPOMDP\n\nPartially Observed Markov Decision Process\n\n## References", - "page_start": 29, - "page_end": 29, - "source_file": "pubmed7_cc4.pdf" - } - ] - }, - { - "references": { - "source_file": "pubmed1.pdf", - "query": "At what stage of childhood does the construction of narrative identity take place?", - "target_page": 3, - "target_passage": "Among the challenges that adolescents have to face are the structuring of a “narrative identity” or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## NSSI in adolescence\n\nAdolescence is the period of developmental transition from childhood to adulthood, which might be stretched up to the early 20s due to current sociocultural changes (e.g. delays in completing education, occupational attainment, and parenthood) (Patton et al. 2018). Among the challenges that adolescents have to face are the structuring of a 'narrative identity' or self-story, featuring the development of a sense of personal identity that integrates past experiences with current, and future goals and meanings in a coherent whole over time (McAdams and McLean 2013, McLean and Lilgendahl 2019). The definition of the new boundaries of adolescents' personal identity involves significant changes in the", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed1.pdf" - }, - { - "text": "Lind M, Vanwoerden S, Penner F et al. Narrative coherence in adolescence: relations with attachment, mentalization, and psychopathology. J Pers Assess 2020; 102 :380-9.\n\nLinson A, Parr T, Friston KJ. Active inference, stressors, and psychological trauma: a neuroethological model of (mal)adaptive explore-exploit dynamics in ecological context. Behav Brain Res 2020; 380 :112421.", - "page_start": 10, - "page_end": 10, - "source_file": "pubmed1.pdf" - }, - { - "text": "reciprocity with caregivers and peers. Thus, in parallel to the negotiation of identity with caregivers (through a relative detachment from them, a renegotiation of intimacy, and the questioning of their confirmatory authority), the modifications of friendship structures-from childhood to adolescence-lay the ground for the progressive recognition of social contexts and peer relationships as the elite territories for the modulation and exploration of personal identity. The redefinition that the adolescent has to face in these territories of exploration (of the self as an individual separated from the other and of the self with the other) might pass through a phase of reduced coherence in the narration of the self and hence an increased level of uncertainty. Coherence in the self's narrative is considered a measure of well-being and has been associated with psychopathology in adulthood (Klimstra and Denissen 2017) and adolescence (Lind et al. 2020, Shiner et al. 2021). For example, narrative incoherence has been found to be associated with personality disorders in adolescents (Lind et al. 2019), where 'identity diffusion' (e.g. feelings of emptiness and being fragmented and lack of a sense of continuity over time) might be considered an expression of high levels of uncertainty of the self.\n\nEmotion-wise, a developmental trend toward an increased specificity of emotion-related maps of bodily sensations (Barca et al. 2023)-a proxy of interoceptive representations of emotions-has been reported from children aged 6years to adulthood (Hietanen et al. 2016). Pubertal changes encompass dramatic bodily and neuroendocrine system changes, comprising-but not reduced to-changes in the reproductive, adrenal, and growth axes (Cameron 2004). Thus, adolescents might face at least four sources of uncertainty: (i) the uncertainty due to physiological alterations related to bodily changes and to modification in hormonal levels leading to sexual maturity; (ii) the uncertainty in selfidentity (i.e. the structure of self-awareness) and personal identity (i.e, the narrative diachronic self) (Drummond 2021), which might be coupled with changes in body image and the development of gender identity; (iii) the uncertainty in affect regulation, with the emergence of new forms of affectivity as feelings of love and sexual attraction toward a partner; and (iv) uncertainty in the social context, with respect to their social status and role expectations in the adult society. Such high levels of uncertainty might lead to a poorly defined sense of self, with unclear boundaries and a sense of emptiness. In this context, pain becomes a possible way to recover a bodily sense of self, and self-injurious behavior might be instantiated as an attempt to reduce the rise in the levels of uncertainty in these (and potentially other) domains, toward the transition to adulthood (see Miller et al. 2020 for a closely related approach on addiction).\n\n## Active inference, interoceptive processing, and uncertainty reduction\n\nActive inference is based on the idea that in order to engage in adaptive allostatic regulation and goal-directed behavior, living organisms continuously strive to minimize the surprise of their sensations or, more formally, an upper bound to surprise: variational free energy (Parr et al. 2022). Notably, the (expected) free energy minimization processes that drive active inference jointly consider two complementary objectives. 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Psychiatric aspects of impulsivity. Am J Psychiatry 2001; 158 :1783-93.\n\nMurphy J, Viding E, Bird G. Does atypical interoception following physical change contribute to sex differences in mental illness? Psychol Rev 2019; 126 :787-9.\n\nNock MK. Self-injury. Annu Rev Clin Psychol 2010; 6 :339-63.\n\nNock MK, Joiner TE, Gordon KH et al. Non-suicidal self-injury among adolescents: diagnostic correlates and relation to suicide attempts. Psychiatry Res 2006; 144 :65-72.\n\nNock MK, Mendes WB. Physiological arousal, distress tolerance, and social problem-solving deficits among adolescent selfinjurers.. J Consult Clin Psychol 2008a; 76 :28-38.\n\nNock MK, Mendes WB. Physiological arousal, distress tolerance, and social problem-solving deficits among adolescent selfinjurers. J Consult Clin Psychol 2008b; 76 :28-38.\n\nNock MK, Prinstein MJ. A functional approach to the assessment of self-mutilative behavior. J Consult Clin Psychol 2004; 72 :885-90.\n\nNock MK, Prinstein MJ, Sterba SK. Revealing the form and function of self-injurious thoughts and behaviors: a real-time ecological assessment study among adolescents and young adults. J Abnorm Psychol 2009; 118 :816-27.\n\nOgawa JR, Sroufe LA, Weinfield NS et al. Development and the fragmented self: longitudinal study of dissociative symptomatology in a nonclinical sample. Dev Psychopathol 1997; 9 : 855-79.\n\n̆\n\n̆\n\nOsmana gao glu N, Creswell C, Dodd HF. Intolerance of uncertainty, anxiety, and worry in children and adolescents: a meta-analysis. J Affect Disord 2018; 225 :80-90.\n\nPaluska SA, Schwenk TL. Physical activity and mental health: current concepts. Sports Med 2000; 29 :167-80.\n\nParr T, Pezzulo G, Friston KJ. Active Inference. The Free Energy Principle in Mind, Body, and Behaviour . Cambridge, Massachusetts, United States: The MIT Press, 2022.\n\nPatton GC, Olsson CA, Skirbekk V et al. Adolescence and the next generation. Nature 2018; 554 :458-466.\n\nPaulus MP, Feinstein JS, Khalsa SS. An active inference approach to interoceptive psychopathology. Annu Rev Clin Psychol 2019; 15 :97-122.\n\nPezzulo G. Why do you fear the Bogeyman? An embodied predictive coding model of perceptual inference. Cogn Affect Behav Neurosci 2013; 14 :902-11.\n\nPezzulo G, Barca L, Friston KJ. Active inference and cognitiveemotional interactions in the brain. Behav Brain Sci 2015; 38 :e85.\n\nPezzulo G, Iodice P, Barca L\n\net\n\nal.\n\nIncreased heart rate after exercise", - "page_start": 11, - "page_end": 11, - "source_file": "pubmed1.pdf" - }, - { - "text": "and rephrased and asked follow-up questions to clarify and con /uniFB01 rm the correct understanding of participants ' answers.\n\nAs similar themes arose repeatedly and no new themes emerged in the /uniFB01 nal interviews, data saturation was achieved (23).\n\n## 2.7 Analysis\n\nThe transcribed material was analyzed using systematic text condensation (STC) (30) and was organized utilizing NVivo (version 1.7.1). STC is a method for cross-case analysis inspired by phenomenology. It involves four-steps: (1) identi /uniFB01 cation overall themes from the empirical material, (2) extraction of meaning units from the text which were then coded into groups, (3) condensation of all meaning units within the subgroups into an arti /uniFB01 cial quotation, that summarize and represents participants ' voices, (4) recontextualization of the material into categories, presented as analytical texts. The process is iterative, resulting in continuous movement between the transcripts and within different steps of the analysis. An example of the STC process is illustrated in Figure 1.\n\nThe /uniFB01 rst author (SSHD) transcribed the interviews and read all material several times, while BN and ECA read most of the interviews before preliminary themes were agreed on. SSHD\n\nidenti /uniFB01 ed meaning units adhering to these themes and coded them into groups. Condensates of the subgroups were written by SSHD and discussed by all researchers. SSHD then recontextualized the material by forming categories described as analytical texts supplemented by quotes, a process that was discussed and revised several times by all authors. All authors contributed to writing the manuscript. Enactive theory was used to interpret the results, aiming at extracting new knowledge beyond what the informants hadprovided(28).\n\n## 3 Results\n\nParticipants were interviewed one-on-one by the /uniFB01 rst author (SSHD) in November and December 2021 (mean = 14 days postoutdoor group). The time and place of the interviews were agreed upon according to participants ' preferences (undisturbed of /uniFB01 ce ( n = 14), participant ' s home ( n = 1)). None dropped out. The interviews lasted between 40 and 70 min (mean = 54, total = 822) and were audio-recorded.\n\nThe results are presented as four categories summarized in Figure 2 and described below as analytic texts and illustrative quotes referenced with the participant ID and EDSS score.\n\nFIGURE 1\n\n\n\nExample of the analysis process (excerpts).", - "page_start": 4, - "page_end": 4, - "source_file": "pubmed13.pdf" - }, - { - "text": "During infancy, a child starts making sense of her internal experiences through the information she gets from the external world, most notably from caregivers whose behavior has a fundamental regulatory function shaping emotional development, stress physiology, and refinement of limbic circuitry (Gee 2016). In addition to the quality of caregivers' response to the infant's need for proximity, its 'predictability' supports the development of emotions' regulatory capacity (Gee and Cohodes 2021; Wu and Feng 2020) and a cohesive sense of self (Arciero and Bondolfi 2009), increases prosociality (Deneault et al. 2023), and influences the development of social brain structure (see Ilyka et al. 2021 for a review). Self-report assessment of exposure to unpredictability during early life appears to predict symptoms of anxiety, depression, and anhedonia in adulthood (Glynn et al. 2019). Evidence from cross-species studies indicates that the predictability of caregivers' behavior in rodents may specifically influence the offspring's development of corticolimbic circuitry involved in emotion-related functioning (Glynn and Baram 2019). Rodents exposed to unpredictable maternal care exhibit atypical amygdala functioning (Malter Cohen et al. 2013) and weaker connectivity with the medial prefrontal cortex (Guadagno et al. 2018).\n\nAbraham et al. (2019) evaluated a number of features of the neurobiological interoceptive circuit (e.g. the functionality of the amygdala, insula, and oxytocinergic system) in parents and children over the first 6 years of parenthood. Results revealed a critical association between parental interoceptive sensitivity-indexed, e.g. by increased bilateral activation of the anterior insula in response to a video of his/her interacting with his/her infantthe consolidation of the child's interoceptive circuit and mental health. Taken together, thus, consistent evidence indicates that parental ability to respond appropriately to the children's needs and bodily signals supports the child's ability to adequately represent his/her internal bodily states, concurring in the development of self-processes (Fotopoulou and Tsakiris 2017, Ciaunica et al. 2021a, 2021b). The degree of predictability of caregivers' response appears to be critical for the development of affect regulation and a cohesive sense of the self (Ilyka et al. 2021). When caregivers' behavior is less reliable, children have more difficulties in distinguishing their own internal states, making self-other distinctions (Ogawa et al. 1997, Dutra et al. 2009), and-in the most severe cases-developing an integrated sense of the self (Liotti 2004, 2006).\n\nAs a consequence of these or other deficits in developing appropriate models of emotional and self-models, a person might experience significant interoceptive uncertainty and perceive her own internal states in confused and uncomfortable ways later in life. Suppose that the interoceptive channels are unreliable and the internal models rooted in bodily experiences are poor. In that case, a person might construe a sense of personal stability through external, non-interoceptive signals, such as feedback from others and from the world, rather than via interoceptive signals. Engaging in social interactions, in which we experience affective states relevant to our self-confirmation (e.g. a sense of acceptance and kindness), might be particularly challenging for this person (Guidano 1987, Arciero and Bondolfi 2009). While interacting with others, she might experience ambiguous bodily and emotional states. She might be unable to reduce this uncertainty using the other as an external point of reference since", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed1.pdf" - }, - { - "text": "Extending this idea even further, one can assume that certain emotional states, as well as self-awareness and the (embodied) sense of self-and the feeling of continually being the same person-could be constructed similarly: it would be the result of an inferential process that integrates bodily sensations and other experiences over time (Gu et al. 2013, Seth 2013, Stephan et al. 2016, Barrett 2017). Figure 1 illustrates graphically this perspective by showing a (schematic) hierarchical generative model that links (exteroceptive, interoceptive, and proprioceptive) sensations at lower levels with multimodal models of hidden bodily states, such as fatigue and hunger at intermediate layers, and, finally, with temporally extended, integrative models of the emotional and embodied self at the higher hierarchical level. The hierarchical generative model recapitulates a simple predictive coding architecture, which includes various putative brain areas or networks (gray ovals) arranged hierarchically. In the schematic, networks for unimodal (exteroceptive, proprioceptive, and interoceptive) processing are situated at the lowest hierarchical level, multimodal networks are at an intermediate level, and networks for processing a persistent model of the self are at the highest level. Note that this simple schematic is not supposed to recapitulate brain anatomy but to illustrate the basic principles of hierarchical generative models and predictive coding; (for a discussion of the mapping between predictive coding networks and brain anatomy, see Parr et al. 2022). Each network includes cells encoding predictions (black nodes) and prediction errors (red nodes). These units", - "page_start": 3, - "page_end": 3, - "source_file": "pubmed1.pdf" - }, - { - "text": "| [102] Francesca Polletta. 1998. Contending stories: Narrative in social movements. Qualitative sociology 21, 4 (1998), 419-446. [103] Vinodkumar Prabhakaran, Ben Hutchinson, and Margaret Mitchell. 2019. Per- |\n| turbation Sensitivity Analysis to Detect Unintended Model Biases. In Proceed- ings of the 2019 Conference on Empirical Methods in Natural Language Process- |\n| arXiv:2003.08271 [cs.CL] |\n| [106] Alec Radford, Jeffrey Wu, Rewon Child, David Luan, Dario Amodei, and Ilya Sutskever. 2019. Language models are unsupervised multitask learners. Blog |\n| 21, 140 (2020), 1-67. |", - "page_start": 12, - "page_end": 12, - "source_file": "arxiv5_ccby4license.pdf" - }, - { - "text": "To deepen our understanding of what the participants perceive as meaningful, we turn to a theoretical perspective that integrates bodily capacities with the construction of meaning. Enactive theory emphasizes that making sense of the world depends essentially on the biological (living) body and the phenomenological (lived or experienced) body (19), which implies that the body is viewed as a neurobiological organism that is concurrently experiencing, expressing and social (embodiment) (20). Thus, what is experienced by an individual during an exercise intervention is constituted by her sensorimotor repertoire for perception and action in interactions with the requirements of the task and the context (21). From this perspective, dysfunctions related to MS, such as sensorimotor impairments, can in /uniFB02 uence how individuals with MS interpret and understand their participation in a PA intervention. Moreover, the notion of ' participatory sensemaking ' (22) extends the body into the social domain, enabling an understanding of how the interaction processes between two embodied individuals affect shared and individual meaning-making. These concepts may illuminate pwMS ' s experiences and direct the focus toward bodily, contextual, and interactional aspects that may generate new insights regarding sensorimotor exercise and high-intensity training as part of PA.\n\nThe aim of this study was to explore participants ' experiences of the content, delivery and setting of a new outdoor group intervention combining high-intensity training and detailed exercises to generate new knowledge about important aspects of exercise interventions for pwMS with low disability.", - "page_start": 1, - "page_end": 1, - "source_file": "pubmed13.pdf" - }, - { - "text": "the affectivity attributed to the others might also be perceived as vague and misinterpreted (e.g. 'Is he/she interested in me or not?' 'Am I a person worthy of attention and love from others?'). Bodily illusions, such as the 'rubber hand illusion' (Suzuki et al. 2013, Crucianelli et al. 2018) and the 'enfacement illusion' (Sforza et al. 2010, Tajadura-Jiménez et al. 2012), provide compelling evidence for the malleability of self-other boundaries as a function of bodily information and of interoceptive sensibility.\n\nDealing with these ambiguous situations could be particularly challenging and distressing for a person with no adaptive strategies to reduce uncertainty. Therefore, in these (admittedly extreme) conditions, even maladaptive strategies such as starvation that reduce uncertainty and render bodily and interoceptive stimuli more salient might become more appealing (see also Linson et al. 2020). In other words, while starvation would still be considered paradoxical-in the sense that it runs against the 'utilitarian' imperative of ensuring well-being and survival-it might play a functional role for an organism that simultaneously tries to 'maximize utility and minimize uncertainty,' as assumed by active inference.\n\nIn this article, we propose that NSSI and other kinds of paradoxical behaviors might also be conceptualized in similar ways, i.e. as other cases in which a person intentionally changes her bodily and interoceptive sensations, in order to reduce excessive bodily and interoceptive uncertainty (but also more broadly to modulate affective and physiological states that are otherwise dysregulated, e.g. to decrease the excessive intensity of bodily sensations in hyperarousal).\n\nIn the next sections, we first discuss NSSI behaviors by focusing on the fact that they might occur in non-clinical individuals. We will highlight that this could be not only especially the case during adolescence-a period of life during which people experience various kinds of uncertainties (e.g. their bodies, the self, their social status, and interpersonal relationships), but also more speculatively during other periods of life associated with substantial changes and uncertainty, such as the perimenopause-menopause transition period in women. Then, in the subsequent section, we introduce the main tenets of active inference by focusing on its proposed mechanisms for interoceptive processing and uncertainty reduction. Finally, we discuss how the active inference framework might help conceptualize NSSI as a possible strategy to reduce uncertainty; for example, the uncertainty that some (non-clinical populations of) adolescents might strive to cope with during their transition to adulthood.\n\n## Paradoxical behaviors: the case of NSSI\n\n'Self-injury behaviors' is an umbrella term that includes a wide range of behaviors (and intentions), including suicide attempts, superficial cuts, and medication withdrawals (Skegg 2005, Nock 2010). We focus on NSSI behaviors as the direct, deliberate destruction of body tissue without lethal intent (e.g. cutting oneself). A distinction is also made between NSSI performed stereotypically in the context of developmental disabilities (e.g. head banging) and major injuries often observed in psychotic disorders. The most frequent examples of NSSI include cutting the skin with a sharp object (e.g. a knife, razor blade, or needle) and skin burn, usually with a cigarette (Khanipour et al. 2016). Patients often injure themselves, in a single act, by inflicting multiple injuries at the same body site, usually in areas that are easily hidden but accessible (e.g. forearms and anterior thighs). The behavior is often repeated, resulting in extensive scarring patterns. The age", - "page_start": 2, - "page_end": 2, - "source_file": "pubmed1.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was the indicator related to increasing Nissan's research and development activities in terms of publication of scientific articles in 2004?", - "target_page": 46, - "target_passage": "And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. ", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\nTECHNOLOGY\n\n## Pursuing Value Through Technological Excellence\n\n'I have two prime objectives. The first is to realize our corporate vision, 'Enriching people's lives,' from an engineering standpoint. The second is to create a future vision for people working in R&D. Research and development is all about providing practical value to the customer via technological excellence, which in turn creates value for our shareholders. Nissan has made a major commitment to technological excellence so that we can accomplish these objectives.\n\n## Research and Development\n\nNissan's investment in R&D has been rising. In fiscal 2004 we devoted approximately ¥400 billion to it, equivalent to 4.6 percent of our turnover. We estimate that our financial commitment to R&D will continue to range between 4.5 and 5 percent. R&D investments take a lot of time to pay off, of course, so it's difficult to evaluate our evolution over the short term. Given our expanded output, however, I believe that we are headed in the right direction.\n\nFor example, the number of patents we have generated is growing quickly, exceeding 4,000 in fiscal 2003-more than twice the fiscal 1999 figure. And the number of research papers we present at societies such as The Japan Society of Mechanical Engineers rose dramatically in fiscal 2004. These are direct results of our commitment to research. We are also generating more new technologies related to safety and the environment, such as the Around View Monitor and the lane-keeping system.\n\n\n\nRear active steering\n\n\n\nMITSUHIKO YAMASHITA Executive Vice President\n\n\n\nWe have succeeded in shortening our production pipeline, too, using a new vehicle development process called V3P that our engineers devised over the past three years. V3P, which stands for Value-up innovation of Product, Process, and Program, has helped us cut our development time almost in half, from 20 months to just 10.5 months. I believe this makes Nissan the world benchmark in development. That improvement is having a major effect on the flexibility and execution of R&D at Nissan, and will ultimately boost the company's profitability.\n\nThe number of new products we have brought to market over the past three years is equally significantmore than thirty new vehicles. That's an impressive engineering achievement, and the reason you are seeing so many new Nissan models on the road.\n\nOur R&D infrastructure, however, is still in need of expansion. We've therefore begun building new facilities at the Nissan Technical Center, NTC, and at the Nissan Advanced Technical Center, NATC, both of which are in Japan. These additions represent a major investment, and show Nissan's dedication to maintaining and enhancing its technological skills.\n\nOur technology base is in Japan, where we have some ten thousand people involved in R&D, but we also have two major centers in North America and Europe, and smaller operations in Taiwan, China, Thailand, South Africa and Brazil. In the past, these entities were mostly standalone operations, but today there are many more joint projects\n\nIntelligent cruise control\n\n\n\nShock-absorbing body, to reduce pedestrian injuries", - "page_start": 45, - "page_end": 45, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## FISCAL YEAR 2004 FINANCIAL REVIEW\n\nNISSAN REPORTED A RECORD YEAR IN TERMS OF REVENUES, OPERATING INCOME, NET INCOME, SALES AND PRODUCTION VOLUME IN FISCAL 2004. NISSAN ACHIEVED TWO OF ITS THREE COMMITMENTS FOR NISSAN 180: AN 8 PERCENT OPERATING PROFIT MARGIN AND ZERO NET AUTOMOTIVE DEBT. THE REMAINING COMMITMENT IS THE ACHIEVEMENT OF ONE MILLION ADDITIONAL UNIT SALES. AT MID-YEAR 2005, GLOBAL SALES AT 1,809,000 UNITS WERE SLIGHTLY AHEAD OF THE COMMITMENT TO REACH 3,597,000 UNITS BY THE END OF SEPTEMBER 2005.\n\n## Net Sales\n\nConsolidated net sales came to ¥8,576.3 billion, up 15.4 percent from last year. A higher volume and mix had a positive impact of ¥707.0 billion. Movements in foreign exchange rates produced a negative impact of ¥173.0 billion. Changes in the scope of consolidation, including Dongfeng Motor and Yulon Nissan Motor, raised revenues by ¥432.0 billion.\n\n## Operating Income\n\nConsolidated operating profit improved by 4.4 percent from last year to a record ¥861.2 billion. This resulted in an operating profit margin of 10.0 percent. Operating profit was affected by the following factors:\n\n - · The effect of foreign exchange rates produced a ¥78 billion negative impact for the full year. The depreciation of the U.S. dollar against the yen resulted in a negative impact of ¥74 billion, with an additional ¥13 billion from other currencies. The appreciation of the euro resulted in a positive impact of ¥9 billion.\n - · The change in the scope of consolidation produced a positive impact of ¥31 billion. This was primarily from the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n - · The impact of the higher volume and mix contributed ¥284 billion. This was mainly driven by an increase in U.S. sales volume.\n - · Selling expenses increased by ¥114 billion, also mainly due to the increase of sales in the U.S.\n - · The improvement in purchasing costs amounted to ¥131 billion.\n - · Product enrichment and the cost of regulations had a negative impact of ¥92 billion.\n - · An additional ¥44 billion was allocated to R&D to reinforce product and technology development.\n - · Cost reductions from manufacturing efficiencies were offset by costs associated with expanding the Canton plant's capacity, which resulted in a ¥15 billion increase in manufacturing and logistics expenses.\n - · Warranty costs increased by ¥41 billion, partly due to greater volume.\n - · General, administrative and other expenses increased by ¥25.7 billion.\n\nBy region, operating profits in Japan came to ¥341.1 billion, a decrease of 3.2 percent compared to last year. This was mainly due to unfavorable exchange rate fluctuations and an increase in R&D expenses, which reached a record level.\n\nDue to higher volumes, profitability in the U.S. and Canada increased 7.9 percent from last year and totaled ¥379.7 billion.\n\nOperating profit in Europe was ¥56 billion, an increase of 13.8 percent compared to last year, owing to a better mix and higher contributions from Russia.\n\nIn General Overseas Markets, including Mexico, operating profits came to ¥84.8 billion, an increase of 28.5 percent compared to last year. This was primarily due to the consolidation of Dongfeng Motor and Yulon Nissan Motor.\n\nInter-regional eliminations were negative ¥0.4 billion.", - "page_start": 13, - "page_end": 13, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "NORTH AMERICA\n\n\n\n## Growing in Areas of Expansion\n\nJED CONNELLY Senior Vice President Nissan North America\n\n\n\n'We had a terrific year in North America; sales for calendar year 2004 grew by 24.7 percent, and that growth that came in a flat U.S. market. The auto industry here only rose by about 237,000 vehicles, while Nissan was up by 191,000 cars. It was a strong year with a rich mix of products. The Altima continues to be a core car\n\nfor us, and our most important car in terms of volume. We sell over 200,000 Altimas a year, at a rate of 20,000 units per month-outstanding for a car so far along in its lifecycle. The Infiniti has also been phenomenal over the past few years. The G35 sedan and coupe continue to be the icons of the brand, driving both volume and profit.\n\nOur success always comes down to the product. We had great products from top to bottom,\n\nthroughout the lineup and in both divisions. We were also very intelligent, I believe, in the way we price our vehicles-very close to the transaction price, and with limited reliance on incentives. That's been our strategy for four years, and it works. Customers understand that we provide a great product at a fair price. The other key to our success has been a very consistent marketing message. The SHIFT\\_ campaign is consistent and has been in place for some time now, and it's starting to gain traction with the public. Consumers look at Nissan products and our dealerships and say, 'Hey, something really is going on at Nissan!'\n\nIn a year full of successes, the one thing we would like to have handled better was the Quest. We had some initial quality issues, and some trim mix issues. We've corrected\n\nthese, however, and repackaged the Quest to give people their most popular options. We've also made great strides in quality and on other aspects get it right.\n\nFor fiscal 2005 we have a volume growth target of 3.3 percent, but in the first three months of this period we were actually up by 18 percent! We launched a few new products at the end of the last year, so it's probably not realistic to expect that kind of volume for the whole year, but it makes us very confident of reaching our target.\n\nWe won't have any completely new products in fiscal 2005. That means that, while we will have solid, enviable growth, it won't translate into the spectacular numbers we've had over the past four years. The Altima will continue to drive our growth-it's in its fifth year, but still a remarkable performer. We've gotten a good boost in the market from the Pathfinder, which was relaunched last fall. We also expect to make some inroads with the Frontier, which is outperforming its competitors-it's clearly the best truck in the mid-size truck segment. This is, however, a difficult segment at the moment.\n\nWe have a great opportunity to build on the strengths that we've demonstrated in North America over the past four years. We have solid growth, and we continue to establish the Nissan brand. We have new models that continue to gain strength, such as the Murano, which has done wonderful things for Nissan's image in the market. On the Infiniti side, we just launched the M45, the mid-size luxury sedan that competes with the BMW 5 series. In the first three months after its launch, the M45 is doing very well. As we continue to establish Nissan brand recognition, we also will continue to define Infiniti, because now we're strong with the M45, strong in the luxury crossover market with the FX, and with the M we have a luxury sedan that can compete with anything in its class. Infiniti is strong all across the board.\n\nNot having a new product launch in fiscal year 2005 might be seen as a risk, but the current models are strong and selling well, and we'll have a host of new models in 2006. Most of our risks in the coming year are from", - "page_start": 63, - "page_end": 63, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\n## Automotive Debt:\n\nDespite higher levels incurred for capital expenditures and R&D, cash generated from operating activities in the automotive division eliminated net automotive debt. Nissan held a ¥205.8 billion yen net cash position at the close of fiscal 2004 in this division.\n\n## Rating\n\nRegarding Nissan's long-term credit rating, R&I upgraded Nissan from A- to A on May 11, 2005. S&P upgraded their rating from BBB to BBB+ on July 20, 2004, and Moody's upgraded from Baa3 to Baa1 on January 29, 2004.\n\n## Investment Policy\n\nCapital expenditures increased by ¥50.2 billion to ¥477.5 billion, representing 5.6 percent of net revenue. This increase included the Canton plant expansion. R&D expenditures increased by ¥43.8 billion to ¥398.1 billion. This increase went to fund new technologies and product development. Our R&D resources are focused on projects that add value to our customers and that will deliver an expected return, in both the short and long term.\n\n## Dividend\n\nAt the annual general meeting of shareholders on June 21, 2005, the company proposed increasing its dividend to ¥24 per share in 2004, up from ¥19 in 2003. In the first year of the NISSAN Value-up dividend policy, the Company plans to increase the per-share dividend to ¥29 in 2005. By the end of NISSAN Value-up in March 2008, Nissan plans to pay an annual dividend of no less than ¥40 per share.\n\n## Return on Invested Capital (ROIC)\n\nNissan's investments are made within the strict guidelines of its automotive operating ROIC. Based on these guidelines, Nissan reached 20.1 percent of ROIC on a consistent basis as of fiscal 2003.\n\n## Dividend Policy\n\n\n\n*Forecast", - "page_start": 15, - "page_end": 15, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## FISCAL YEAR 2004 SHARE PERFORMANCE\n\nDESPITE NISSAN'S RECORD OPERATING RESULT IN FISCAL 2004, ITS STOCK PERFORMANCE RETURN WAS NEGATIVE AND LOWER THAN THE TOPIX INDEX. THE INVESTOR RELATIONS TEAM WAS STRENGTHENED AT THE START OF FISCAL 2005 TO BETTER ADDRESS THE NEEDS OF INVESTORS AND ENHANCE THEIR UNDERSTANDING OF NISSAN'S PERFORMANCE. INVESTORS WILL NOW BE ABLE TO GAIN A MORE IN-DEPTH VIEW OF THE COMPANY'S OPERATIONS AND PERFORMANCE INDICATORS.\n\n## Share Performance in Fiscal 2004\n\nNissan's share price began at ¥1,143 at the beginning of fiscal 2004 and ended the fiscal year at ¥1,099, generating a negative return of 3.85 percent. Total shareholder return (TSR) was -1.67 percent, while the dividend yield came to 2.18 percent (¥24 per share dividend, divided by the ¥1,099 closing price). Adverse movements in foreign exchange rates and commodity price hikes adversely affected Nissan's profitability, which was reflected in the share price. In addition, specific events relating directly to the company also had a negative impact. Later in this report, corporate officers will explain what actions Nissan has undertaken to ensure better performance.\n\n## Payout Policy\n\nNissan announced its NISSAN Value-Up three-year dividend policy, covering the period from fiscal 2005 to fiscal 2007, at the annual general meeting of shareholders on June 23, 2004. Nissan proposes a long-term dividend policy to provide more visibility and improve transparency into the ways in which Nissan rewards its shareholders. Nissan believes that a long-term dividend policy reduces uncertainty for investors who already own or are considering acquiring Nissan stock.\n\n## Fiscal Year 2004 Share Performance\n\n(Index: April 1, 2004=100)\n\n\n\n## IR Activities\n\nUnder NISSAN Value-Up, the IR team's performance will be evaluated based on the price-earnings ratio (PER) and volatility relative to our major competitors. PER is used to measure how successfully the IR team manages market expectations about Nissan in order to maintain the Nissan share price close to an intrinsic value. The other measure, volatility, is used to measure the risk investors perceive when considering Nissan stock. If Nissan can successfully reduce volatility, the minimum return required by investors should decline. The IR team believes that a strengthening of disclosure activities is required to improve both measures. The team plans to disclose not only financial results but also more forward-looking information about Nissan fundamentals such as technology and product. Such forward-looking information helps investors to forecast future performance more precisely and reduces uncertainty about the future. As a consequence, Nissan will increase the number of investor conferences, events, and teleconferences during fiscal 2005.\n\n## Five-Year Share Performance\n\n", - "page_start": 16, - "page_end": 16, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Nissan Annual Report 2004\n\nc3", - "page_start": 112, - "page_end": 112, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "Volume: Nissan will achieve global sales of 4.2 million units in fiscal 2008-an increase of 812,000 units over fiscal 2004.\n\nROIC: Nissan will achieve a 20 percent or higher return on invested capital on average over the course of the plan, excluding cash on hand.\n\nTo meet this commitment, over the NISSAN Value-Up period we will launch 28 new products, including 10 models that are highly innovative in their concept and benefits.\n\nOur investment in advanced technology continues. From fiscal 2002 to 2005 we have increased spending on research and development by 50 percent. Over the next three years we will invest a further 5 percent of net sales annually, creating new and exciting technologies to benefit our customers.\n\nDuring NISSAN Value-Up we will pursue several key business opportunities:\n\n - · Our Infiniti luxury brand will extend its reach into new markets such as China and Russia and continue to establish its credibility as a Tier-1 luxury player.\n - · We will develop our Light Commercial Vehicle business into a fully competitive global operation through new market and product entries.\n - · We will take a more efficient global sourcing approach to maximize our opportunities and minimize our overall costs as we grow. Our engineering, production and purchasing functions will continue their acceleration towards being fully integrated global operations.\n - · We will continue to invest in new and emerging markets, including China, India and Russia.\n\nNISSAN Value-Up also delivers increased value for our shareholders through a clear and well-defined dividend strategy. By the end of the plan period, we will pay an annual dividend of no less than ¥40 per share, a 66 percent increase over fiscal 2004.\n\n## Share price performance\n\nWhat should investors expect from Nissan's share price?\n\nOver the long-term, share prices reflect fundamentals. But in the short-term share prices are driven by performance against expectations.\n\nIn Nissan's case, recent share price trends signal market expectations that greater uncertainty will result in lower growth. So our challenge is to both manage those expectations and to exceed them. This supports our belief in a high level of disclosure and transparency.\n\nOur business plans and commitments, and our ability to communicate our strategy clearly, are the most effective means to convey transparency. But we recognize that financial announcements alone are no longer sufficient communication for the markets. We need to provide more forward-looking information and to avoid surprises that create uncertainty for shareholders and investors.\n\nWe intend to serve the professional investment community better in fiscal 2005. We will also extend our welcome to individual investors-whose numbers grew by 51,323 in fiscal 2004, increasing our list to 193,000 shareholders.\n\nThat growing interest in Nissan was apparent in the turnout of more than 1,800 people at our June 21 shareholders' meeting in Yokohama. Questions from the shareholders were many and varied, but it was encouraging to hear in each one a passionate commitment to Nissan.\n\nThis year, and in the future, I hope we merit such support from all our shareholders as we create lasting value in a transparent way.\n\nCarlos Ghosn President and Chief Executive Officer\n\n", - "page_start": 4, - "page_end": 4, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## PERFORMANCE\n\n## The recovery story is complete\n\nFiscal 2004 was a tough year, full of both anticipated and unexpected risks, but Nissan lived up to all the challenges. We had a record year in revenues, operating profit, net income, sales volume and production.\n\n## Sales performance\n\nGlobal sales came to 3,388,000 units, which exceeded our forecast of 3,380,000 units. This record level represents an increase of 10.8 percent, or 331,000 units, over fiscal 2003, and is 281,000 units more than the previous record level set in 1990. In fiscal 2004, we released nine all-new models globally.\n\nAlong with record sales, we achieved a global production record. Nissan's manufacturing plants turned out 3,378,000 units, or 293,000 units more than the previous record.\n\n## Financial performance\n\n - · Consolidated net revenues came to 8 trillion ¥576.3 billion, up 15.4 percent from last year.\n - · Consolidated operating profit improved by 4.4 percent to a record ¥861.2 billion. As a percentage of net revenue, our operating profit margin came to 10.0 percent.\n - · Net income reached ¥512.3 billion, an increase of ¥8.6 billion.\n\n## Nissan 180 commitments\n\nFiscal 2004 marked the end of our NISSAN 180 business plan. Obviously, NISSAN 180 cannot be closed completely until the end of September 2005, but we know that we have already delivered two of the plan's three critical commitments.\n\n - · We committed to an 8 percent operating profit margin, and our margin has been at or above 10 percent for every year of NISSAN 180.\n - · We committed to zero debt, and today we have more than ¥200 billion in net cash under the new and more demanding accounting standards.\n - · Our only remaining commitment is to achieve one million additional sales. Even here we are in reasonably good shape. At the midpoint of the measurement period we are at 1,809,000 units, which is a slight advance compared to our commitment to reach 3,597,000 units by the end of September 2005.", - "page_start": 7, - "page_end": 7, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Looking to the New Fiscal Year\n\nNissan will continue to grow in fiscal 2005. Even assuming a relatively flat total industry volume of 61 million units globally, Nissan's sales are forecast to come to 3,618,000 units, a 6.8 percent increase over the prior year.\n\nWorldwide, we will launch six all-new models-five in Japan, one in Europe-leading to twenty regional product events.\n\n## Our sales objectives\n\n - · Japan: 933,000 units, a 10 percent increase over last year\n - · U.S.: 1,047,000 units, an increase of 3.3 percent\n - · Europe: 550,000 units, a 1.1 percent increase over last year\n - · General Overseas Markets: 1,088,000 units, a 10.7 percent increase\n\n## Our financial outlook\n\nAny new fiscal year brings risks and opportunities, and 2005 brings very high levels of uncertainty and risks-volatility in exchange rates, higher interest rates, higher commodity prices, higher energy prices, higher incentives and uncertainty about growth in the U.S. and Japan. The opportunity is in following through on the NISSAN Value-Up plan quickly and effectively.\n\nIn light of these factors, our forecast for fiscal 2005 is as follows. This is based on a foreign exchange rate assumption for the year of ¥105 per dollar and ¥130 per euro:\n\n - · Net revenue is predicted to be ¥9 trillion, up 4.9 percent.\n - · Operating profit is expected to be ¥870 billion, up 1 percent.\n - · Ordinary profit is expected to reach ¥860 billion, up 0.5 percent.\n - · Net income is predicted to be ¥517 billion, up 0.9 percent.\n - · Capital expenditures are expected to reach ¥540 billion, up 13.1 percent.\n - · R&D expenses are forecast to reach ¥450 billion, or 5 percent of net sales, up 13.0 percent.\n - · ROIC is expected to remain at or above 20 percent.", - "page_start": 9, - "page_end": 9, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## Contents\n\n| Financial Highlights | 1 |\n|-----------------------------------|-----|\n| Letter from the President and CEO | 2 |\n| Letter from the COO | 4 |\n| Executives | 5 |\n| Performance | 6 |\n| Who We Are | 16 |\n| Our Way | 18 |\n| Automobiles | 22 |\n| Sales Finance | 28 |\n| Industrial Machinery | |\n| and Marine Business | 30 |\n| Renault-Nissan Alliance | 31 |\n| Our Work | 32 |\n| Planning | 34 |\n| Brand | 37 |\n| Design | 38 |\n| Marketing | 40 |\n| Communications | 43 |\n| Technology | 44 |\n| Purchasing | 48 |\n| Quality | 49 |\n| Manufacturing | 50 |\n| Control | 53 |\n| Finance | 54 |\n| Human resource | 56 |\n| Our World | 58 |\n| Japan | 60 |\n| Europe | 61 |\n| North America | 62 |\n| China | 64 |\n| General Overseas Markets | 66 |\n| Financial Section | 68 |\n| Corporate Data | 106 |\n| Subsidiaries and Affiliates | 106 |\n| Corporate Officers | 109 |\n\nThis Annual Report contains forward-looking statements on Nissan's future plans and targets, and related operating investment, product planning and production targets. Please note that there can be no assurance that these targets and plans will actually be achieved. Achieving them will depend on many factors, including not only Nissan's activities and development, but on the dynamics of the automobile industry worldwide and the global economy.\n\n## Vision\n\nNissan: Enriching people's lives\n\n## Mission\n\nNissan provides unique and innovative automotive products and services that deliver superior measurable values to all stakeholders* in alliance with Renault.\n\n*Our stakeholders include customers, shareholders, employees, dealers, suppliers, as well as the communities where we work and operate.\n\nThis Annual Report presents financial results for the fiscal period ending March 31, 2005. The report also provides shareholders with insight to Nissan's management team. Through one-onone interviews, various members of executive management, including Carlos Ghosn, President and Chief Executive Officer, discuss the philosophy and direction of Nissan.\n\n\n\n## Our Websites\n\nCorporate Information\n\nhttp://www.nissan-global.com/EN/COMPANY/\n\nhttp://www.nissan-global.com/EN/IR/ IR Information\n\nhttp://www.nissan-global.com/EN/PLAN/ Environment, Design, Safety and Technology Information\n\nhttp://www.nissan-global.com/EN/GLOBAL/ Product Information (by Country)\n\nhttp://www.nissan.co.jp/ Product Information (Japan)\n\nhttp://www.nissan-global.com/EN/COMPANY/CITIZENSHIP/ Corporate Citizenship Information", - "page_start": 1, - "page_end": 1, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "OTC_NSANY_2004.pdf", - "query": "What was Nissan's vehicle production in Mexico in 2003?", - "target_page": 72, - "target_passage": "308,322", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "## AUTOMOBILES\n\n## Nissan\n\n\n\n## Exceeding expectations -the Nissan automobile\n\nAt the center of everything we do stands the Nissan automobile. Our vehicles are the most tangible expression of our brand and the values of our company. We make cars that both inspire passion and exceed the expectations of our customers. Through bold and thoughtful designs, innovative technologies, and a richer and more rewarding driving experience, we are defining our unique place in the auto industry.\n\nOur product development philosophy differs from that which many of our competitors follow. Rather than focus on what the competition is providing, we concentrate on what they do not. We listen to drivers to discover their unmet needs and desires, and follow the most promising threads of emerging trends. Our designs are bold, geared to electrify and inspire. We see little point in building vehicles that please everyone but excite no one.\n\nThe appeal of a Nissan goes much deeper than the fine lines of its body and the gleam of its paint. We make some of the world's most advanced high-performance engines and transmissions. From our renowned VQ engine series to the latest in high technology, continuously variable transmissions (CVT), we blend driving pleasure with safety, fuel efficiency, and real-world environmental solutions.\n\nNissan has a long history of leadership and innovation in the automotive industry. We began our quest to create the best cars in the world in 1933, when the company was founded in Yokohama. The first Datsun passenger car rolled off the assembly line two years later. In the years since, we have fashioned a reputation for bold and innovative products. We were the first company to design, manufacture and export a small pickup truck from Japan to the United States, and to build and export a sports sedan, the Datsun 510. And we were the first to produce a true sports car that was also affordable, the Z. Today, we build equally exceptional vehicles in factories throughout the world that consistently rank in the top tier for efficiency, productivity and quality.\n\nIn the future, we will take the Nissan brand into new segments and markets. We will accelerate the pace of automotive evolution. And our products will continue to define our brand with clarity and consistency that brings lasting value to all our stakeholders.", - "page_start": 23, - "page_end": 23, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "OUR WORLD\n\nNISSAN HAS A GLOBAL PRESENCE. BORN IN JAPAN, WE ARE PERFECTLY AT HOME IN THE U.S., THE UK, SPAIN, THAILAND, CHINA, EGYPT, BRAZIL AND WELL OVER 150 OTHER NATIONS WHERE NISSAN CARS AND THEIR COMPONENT PARTS ARE PRODUCED, SOLD AND DRIVEN. WITH NISSAN, DRIVING PLEASURE IS A SENSATION THAT KNOWS NO BORDERS. THIS IS THE NISSAN SHIFT\\_\n\n\n\n\n\n", - "page_start": 59, - "page_end": 59, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "NORTH AMERICA\n\n\n\n## Growing in Areas of Expansion\n\nJED CONNELLY Senior Vice President Nissan North America\n\n\n\n'We had a terrific year in North America; sales for calendar year 2004 grew by 24.7 percent, and that growth that came in a flat U.S. market. The auto industry here only rose by about 237,000 vehicles, while Nissan was up by 191,000 cars. It was a strong year with a rich mix of products. The Altima continues to be a core car\n\nfor us, and our most important car in terms of volume. We sell over 200,000 Altimas a year, at a rate of 20,000 units per month-outstanding for a car so far along in its lifecycle. The Infiniti has also been phenomenal over the past few years. The G35 sedan and coupe continue to be the icons of the brand, driving both volume and profit.\n\nOur success always comes down to the product. We had great products from top to bottom,\n\nthroughout the lineup and in both divisions. We were also very intelligent, I believe, in the way we price our vehicles-very close to the transaction price, and with limited reliance on incentives. That's been our strategy for four years, and it works. Customers understand that we provide a great product at a fair price. The other key to our success has been a very consistent marketing message. The SHIFT\\_ campaign is consistent and has been in place for some time now, and it's starting to gain traction with the public. Consumers look at Nissan products and our dealerships and say, 'Hey, something really is going on at Nissan!'\n\nIn a year full of successes, the one thing we would like to have handled better was the Quest. We had some initial quality issues, and some trim mix issues. We've corrected\n\nthese, however, and repackaged the Quest to give people their most popular options. We've also made great strides in quality and on other aspects get it right.\n\nFor fiscal 2005 we have a volume growth target of 3.3 percent, but in the first three months of this period we were actually up by 18 percent! We launched a few new products at the end of the last year, so it's probably not realistic to expect that kind of volume for the whole year, but it makes us very confident of reaching our target.\n\nWe won't have any completely new products in fiscal 2005. That means that, while we will have solid, enviable growth, it won't translate into the spectacular numbers we've had over the past four years. The Altima will continue to drive our growth-it's in its fifth year, but still a remarkable performer. We've gotten a good boost in the market from the Pathfinder, which was relaunched last fall. We also expect to make some inroads with the Frontier, which is outperforming its competitors-it's clearly the best truck in the mid-size truck segment. This is, however, a difficult segment at the moment.\n\nWe have a great opportunity to build on the strengths that we've demonstrated in North America over the past four years. We have solid growth, and we continue to establish the Nissan brand. We have new models that continue to gain strength, such as the Murano, which has done wonderful things for Nissan's image in the market. On the Infiniti side, we just launched the M45, the mid-size luxury sedan that competes with the BMW 5 series. In the first three months after its launch, the M45 is doing very well. As we continue to establish Nissan brand recognition, we also will continue to define Infiniti, because now we're strong with the M45, strong in the luxury crossover market with the FX, and with the M we have a luxury sedan that can compete with anything in its class. Infiniti is strong all across the board.\n\nNot having a new product launch in fiscal year 2005 might be seen as a risk, but the current models are strong and selling well, and we'll have a host of new models in 2006. Most of our risks in the coming year are from", - "page_start": 63, - "page_end": 63, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "| China | | | | |\n| Nissan Motor (China) Ltd. | Hong Kong | Automobile sales | HK$16 | 100.00 |\n| Dongfeng Motor Co., Ltd. | Hubei | Manufacture and sales of automobiles and parts | RMB16,700 | 50.00 |\n| Taiwan | | | | |\n| Yulon Nissan Motor Co., Ltd. | Miao Li Hsien | Manufacture and sales of automobiles and parts | NT$3,000 | 40.00 |\n| Thailand | | | | |\n| Siam Nissan Automobile Co., Ltd. | Samuthprakarn | Manufacture and sales of automobiles and parts | THB1,931 | 75.00 |\n| Other consolidated subsidiaries | 156 companies | | | |\n| Total consolidated subsidiaries | 200 companies | | | |", - "page_start": 108, - "page_end": 108, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "\n\nMiddle East, Africa, Latin America and the Caribbean\n\n## Growing with Profit, not at Its Expense\n\nSHOICHI MIYATANI Vice President\n\n\n\n'Within the General Overseas Markets, or GOM, I'm responsible for Nissan business in nearly 110 countries, about 90 of which have Nissan national sales companies. It's a very diverse composition of small and large nations, and many languages and cultures.\n\nIn fiscal 2004 we met all our targets for sales and\n\nprofit. Out of Nissan's total unit sales of approximately 3.4 million vehicles, for example, GOM accounted for 678,000 units. We contribute to Nissan's performance in both volume expansion and profitability. And the operating profit margin for GOM is better than the corporate average.\n\nThe strongest regions in my territory were several African nations, such as South Africa, and Latin America. Our success was due in part to general market strength, but the continuing appeal of the Nissan Pickup in South Africa and Latin America was also a key. Aside from the Middle East, where larger vehicles like the Armada are preferred, sales for the Pickup and the X-TRAIL have been consistently strong in all markets. We produce the Pickup in South Africa and currently sell over 40,000 vehicles there every year; our market share is around 9 percent. In addition to Africa, the vehicles produced here will be sold in Europe, Australia and New Zealand starting at the beginning of 2006. In 2005, in the Middle East, we are already seeing significant increases in volume due to the launch of Infiniti and the introduction of new Nissan models in the latter half of 2004.\n\nThere are several risks associated with a diverse territory like ours, including political issues, economic issues, and a range of other external factors. At Nissan,\n\nour policy is to stay flexible and adapt to the situation. For example, we had initially planned to supply Pathfinder vehicles to the Middle East from Spain. However, the rise in the euro raised costs, so we quickly shifted production to the U.S. Because our job is so diversified, we felt we needed more strategic thinking within GOM. For this reason we established the GOM Plan Department, which is a cross-functional unit comprised of various departments, such as Manufacturing, Purchasing, and Engineering. This department is responsible for functions formerly performed by Marketing and Sales.\n\nSince we did not roll out many new models in our region, we had to upgrade our network structure to increase sales. The next new core model for us is the Tiida, which enjoyed a successful launch in China. It's a critical launch for us; through 2005 and 2006 we will complete the introduction of the model in all markets. The new model introductions will give us added strength in the markets during the NISSAN Value-Up period.\n\nAnother important development this year was the start of production of the Nissan Pickup in Egypt. Many in the industry doubted we would succeed, but we achieved our targets for quality. Vehicles produced here will also be exported to other countries in the region.\n\nEurope is a tough market, as is Japan. If Nissan becomes too dependent on its major markets like North America, there is an inherent risk, and GOM helps minimize that risk. The markets we represent will contribute substantially to Nissan's total profit. Our focus now is on deepening the foundations of our business. A few years ago, for instance, we designed six activities that all the national sales companies are required to carry out. In 2005, we'll establish even more advanced activities. We constantly review their performance and, if necessary, take aggressive actions, including replacing companies whose performance is consistently unsatisfactory. That is why our activities will expand with profit, not at its expense. The General Overseas Markets are where Nissan will really be growing.'", - "page_start": 68, - "page_end": 68, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "MANUFACTURING\n\n## Building on World-Class Productivity and Efficiency\n\n'By following the Nissan Production Way and the principle of doukiseisan -meaning synchronization with the customer-manufacturing at Nissan remains flexible and integrated, and keeps lead times short. The Nissan Production Way incorporates integration at the supplier, global and logistic levels. That is why we remain the most productive manufacturer in the world.\n\nWe've also become much more efficient, as our utilization rates show. In Japan, we were operating at 54 percent of capacity in 1999. In fiscal 2004 that figure increased to 86 percent, which is just about the maximum possible. During NISSAN Value-Up, we will increase our global utilization rate from approximately 74 percent to over 80 percent. We will not achieve that target by closing facilities, either. In fact, we've opened new plants in the U.S. and China, and increased capacity at our other facilities.\n\nManufacturing achieved a series of milestones during NISSAN 180. One of the biggest was opening the Canton plant in the U.S., which got up to speed quickly, launching five new vehicles in a period of just eight months. We built two plants in China, and restarted operations in Egypt. We dramatically expanded the Decherd, Tennessee engine plant in the U.S., and all engines for North America are now built at Decherd or at our plant in Mexico.\n\nWe also commenced cross-production with Renault: Nissan began building Renault's Platina in Mexico and its Traffic in Spain, while Renault began building our Pickup and Xterra at its factory in Brazil. We also started production of common engines with Renault, with our subsidiary Aichi Kikai and the Yokohama plant producing the four-cylinder engines used in our new Tiida, Note and Lafesta models. In Japan, we launched six new models in just six months-the Murano, Fuga, Lafesta, Tiida, Tiida Latio and Note. We also launched three vehicles-the Tiida, Teana and Tiida Latio-in China.\n\nWhile we were successful in Japan and China, we did have quality issues at the Canton facility. This was\n\nTADAO TAKAHASHI Executive Vice President\n\n\n\nunfortunate, since it affected our ratings in the J. D. Power and Associates Initial Quality Study. We've since taken effective measures to resolve these problems. More importantly, we learned from them. We created new systems and new approaches to quality, which we then applied in Japan and to the new factories in China. Incidentally, the factories in China opened with no significant quality issues. This highlights one of our 'neverending' quests at Nissan, which is to identify problems and rapidly get solutions for them in place.\n\nWe do not rely solely on external quality evaluations. In cooperation with Renault, we created AVES, the Alliance Vehicle Evaluation System. AVES is a sophisticated process involving two people taking four to five hours to evaluate a vehicle. Because it is time-intensive, we also devised a short version of AVES that only takes an hour and can be done at the factory.\n\nThe second major area of focus is logistics, which is becoming more complicated. We send engine parts to the U.S., and soon we will be shipping more parts from leading competitive countries, or LCCs. During 2004, we encountered cargo-handling problems on the U.S. West Coast, which highlighted the need for a more sophisticated tracking system. If we had had such a system in place, we could have anticipated those problems and made the necessary adjustments.", - "page_start": 51, - "page_end": 51, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## FINANCIAL HIGHLIGHTS\n\nNissan Motor Co., Ltd. And Consolidated Subsidiaries Fiscal years 2004, 2003, 2002, 2001 and 2000\n\n| | Millions of yen | Millions of yen | (except per share amounts and number of employees) | Millions of yen | Millions of yen | Millions of U.S. dollars (Note 1) (except per share amounts) |\n|--------------------------------------------|--------------------|--------------------|------------------------------------------------------|--------------------|--------------------|-----------------------------------------------------------------|\n| For the years ended | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2002 Mar. 31, 2003 | 2001 Mar. 31, 2002 | 2000 Mar. 31, 2001 | 2004 Mar. 31, 2005 |\n| Net sales | ¥8,576,277 | ¥7,429,219 | ¥6,828,588 | ¥6,196,241 | ¥6,089,620 | $80,152 |\n| Operating income | 861,160 | 824,855 | 737,230 | 489,215 | 290,314 | 8,048 |\n| Net income | 512,281 | 503,667 | 495,165 | 372,262 | 331,075 | 4,788 |\n| Net income per share (Note 2) | 125.16 | 122.02 | 117.75 | 92.61 | 83.53 | 1.17 |\n| Cash dividends paid (Note 3) | 94,236 | 74,594 | 50,800 | 27,841 | 0 | 881 |\n| Shareholder's equity | ¥2,465,750 | ¥2,023,994 | ¥1,808,304 | ¥1,620,822 | ¥ 957,939 | $23,044 |\n| Total assets | 9,848,523 | 7,859,856 | 7,349,183 | 7,215,005 | 6,451,243 | 92,042 |\n| Net consolidated automotive debt (Note 4) | (205,791) | 13,603 | 107,952 | 431,714 | 952,657 | (1,923) |\n| Number of employees | 183,607 | 123,748 | 127,625 | 125,099 | 133,833 | |\n\n- Notes: 1. Unless indicated otherwise, all dollar figures herein refer to U.S. currency. Yen amounts have been translated into U.S. dollars, for convenience only, at ¥107 = $1, the approximate exchange rate on March 31, 2005.\n- 2. Net income per share amounts are based on the weighted average number of shares of common stock outstanding during each year. Figures for net income per share are in exact yen and U.S. dollars.\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.", - "page_start": 2, - "page_end": 2, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "| Nissan Chuo Parts Sales Co., Ltd. | Yokohama, Kanagawa | Sales of automobile repair parts | ¥545 | 80.61 |\n| US | | | | |\n| Nissan North America, Inc. | Gardena, California | Management of North American subsidiaries, manufacture and sales of automobiles and parts | $1,791 | 100.00 |\n| Nissan Motor Acceptance Corporation | Torrance California | Finance of wholesale and retail automobile sales in US | $499 | 100.00 |\n| Nissan Motor Corporation in Hawaii, Ltd. | Honolulu, Hawaii | Sales of automobiles and parts | $6 | 100.00 |\n| Nissan Capital of America, Inc. | Torrance, California | Financing for group companies | $1 | 100.00 |\n| Nissan Technical Center North America, Inc. | Farmington Hills Michigan | Research and development, testing | $16 | 100.00 |\n| Nissan Motor Insurance Corporation | Honolulu, Hawaii | Casualty insurance | $10 | 100.00 |\n| Nissan Forklift Co., North America | Marengo, Illinois | Manufacture and sales of forklifts and parts | $34 | 100.00 |\n| Canada | | | | |\n| Nissan Canada, Inc. | Mississauga, Ontario | Sales of automobiles and parts | CAN$68 | 100.00 |\n| Mexico | | | | |\n| Nissan Mexicana, S.A. de C.V. | Mexico D.F. | Manufacture and sales of automobiles and parts | P17,056 | 100.00 |", - "page_start": 107, - "page_end": 107, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## NON-CONSOLIDATED FIVE-YEAR SUMMARY\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries Fiscal years 2004, 2003, 2002, 2001 and 2000\n\n| | Millions of yen | Millions of yen | (except per share amounts and number of employees) | Millions of yen | Millions of yen | Millions of U.S. dollars (Note 1) (except per share amounts) |\n|---------------------------------|--------------------|--------------------|------------------------------------------------------|--------------------|--------------------|-----------------------------------------------------------------|\n| For the years ended | 2004 Mar. 31, 2005 | 2003 Mar. 31, 2004 | 2002 Mar. 31, 2003 | 2001 Mar. 31, 2002 | 2000 Mar. 31, 2001 | 2004 Mar. 31, 2005 |\n| Net sales | ¥3,718,720 | ¥3,480,290 | ¥3,419,068 | ¥3,019,860 | ¥2,980,130 | $ 34,754 |\n| Operating income | 231,764 | 245,836 | 316,059 | 242,279 | 127,762 | 2,166 |\n| Net income | 102,415 | 80,713 | 72,869 | 183,449 | 187,485 | 957 |\n| Net income per share (Note 2) | 23.24 | 18.15 | 16.09 | 45.61 | 47.14 | 0.22 |\n| Cash dividends paid (Note 3-4) | 24.00 | 19.00 | 14.00 | 8.00 | 7.00 | 0.22 |\n| Shareholder's equity | ¥1,685,893 | ¥1,709,705 | ¥1,798,716 | ¥1,829,052 | ¥1,450,159 | $ 15,756 |\n| Total assets | 3,981,914 | 4,055,579 | 3,933,993 | 3,915,031 | 3,576,466 | 37,214 |\n| Long-term debt | 489,151 | 653,392 | 902,118 | 942,518 | 798,009 | 4,572 |\n| Depreciation and amortization | 102,145 | 115,180 | 56,760 | 56,265 | 49,074 | 954,626 |\n| Number of employees | 32,177 | 31,389 | 31,128 | 30,365 | 30,747 | |\n\nNumber of shares outstanding as of March 31, 2005: 4,520,715,112.", - "page_start": 106, - "page_end": 106, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "## CONSOLIDATED STATEMENTS OF CASH FLOWS\n\nNissan Motor Co., Ltd. and Consolidated Subsidiaries Fiscal years 2004, 2003 and 2002", - "page_start": 77, - "page_end": 77, - "source_file": "OTC_NSANY_2004.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "Why did Sundance Energy's oil sales improve in 2014?", - "target_page": 18, - "target_passage": "The increase in oil revenues was the result of increased oil production volumes ($81.3 million) offset by a decrease in product pricing ($15.7 million). ", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "CHAIRMAN'S LETTER\n\n\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## Dear Fellow Shareholders,\n\nI am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## A year of growing production, cash flow and reserves\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n## The Eagle Ford - driving value and production growth", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "CEO'S REPORT\n\n\n\n## Dear Fellow Shareholders,\n\n2014 Review -2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 |\n|---------------------------------------------|------------------------------------------------------|---------------------------------------------|---------------------------------------------|\n| | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE |\n| YEAR | IN 2P PV10 (NET ASSET VALUE) PER DEBT ADJUSTED SHARE | IN SUNDANCE PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford acreage where we continue to pursue operational and drilling efficiencies, opportunities to further improve well economics by improving recoveries and reducing costs. In 2014 this included a switch to pad drilling with zipper fracs and new completion techniques that have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance at 7,850 - 8,500 BOEPD, an increase from the previous year of some 13 - 17 percent, but a target that we believe is achievable while maintaining acceptable levels of liquidity given our demonstrated abilities and growing footprint in the Eagle Ford.\n\n## Safety and Environment\n\nSundance has a strong culture throughout the organisation of ensuring that high standards of safety are maintained and that our operations are conducted in an environmentally responsible way. During 2014 our comprehensive safety program was enhanced and further improvements will be a strong focus throughout 2015.\n\n## A strong financial position\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or bolt-on acquisitions in our core Eagle Ford focus area within our current, conservative balance sheet parameters.\n\n## Positive outlook for 2015\n\nDespite the current oil pricing scenario, Sundance's medium-to-long term growth trajectory looks very positive.\n\nWe can demonstrate this through:\n\n- · A track record of capital efficient growth\n- · A track record of value creation\n- · Being a low cost/high margin operator\n- · Having top tier Eagle Ford assets with an extensive drilling inventory\n- · Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, and with the increasing interest and support from institutional and retail investors. I believe that Sundance will deliver significant long-term value from our assets for our shareholders.\n\n## Thank you for your support\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued contribution of the Board of Directors, management team and all staff and contractors of the Company in helping us achieve our strategic goals. I am confident that we have the right team and excellent assets in place to execute our clear and focused strategy that we expect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your strong support of the Company throughout the year. We are committed to delivering long-term value for our shareholders and I look forward to reporting over the rest of the coming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n\n\nMIKE HANNELL\n\nChairman\n\nThe Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "FINANCIAL OVERVIEW\n\n\n\nThrough our emphasis on operating and G&A cost control initiatives, the Company's record oil and natural gas sales translated to best-in-class Adjusted EBITDAX Margin (79 percent) among peers our size and a full 10 absolute percentage points higher than the average of our entire peer group.\n\nAs a result of its significant production increase, the Company's 2014 oil, NGL and natural gas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase compared to $85.3 million in 2013.\n\nREVENUE (US$000s) AND PRODUCTION (Boe/d)\n\n\n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 million (79 percent of revenue); a 140 percent increase compared to $52.6 million (62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth compared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth.\n\n## ADJUSTED EBITDAX AND MARGIN\n\n\n\n-\n\n-\n\nADJUSTED EBITDAX MARGIN (%)\n\nThis Adjusted EBITDAX (generally a good proxy for our operating cash flow) increase was primarily the result of increased revenue and the following cost controlled operating expenses:\n\n - · Lease operating expenses increased only slightly (12 percent), despite significant production increases (108 percent). As a result of several changes in its field operations and economies of scale, the Company has realized improvement in its lease operating costs per barrel.\n - · Production taxes also only increased slightly (11 percent), despite significant revenue increase (87 percent). Through a series of strategic dispositions, the Company has shifted its state production mix from primarily high severance tax rate\n\njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions (states of Texas and Oklahoma).\n\n - · General and administrative expenses remained relatively flat compared to prior year. This is primarily due to the fact that the Company began ramping up staffing in 2013 as it expected development growth in late 2013 and 2014.", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "EAGLE FORD\n\n\n\n## The Eagle Ford continues to have one of the highest internal rates of return of any of the US unconventional resource plays.\n\nBecause of its relatively low operating costs, the Eagle Ford to remains profitable during current oil commodity pricing conditions. Sundance has quickly transformed the Eagle Ford position acquired in its merger with Texon Petroleum Ltd to its most valuable asset in its portfolio through development and growing its drilling inventory.\n\n## NET EAGLE FORD DRILLING LOCATIONS\n\n(excluding contingent resources)\n\n\n\n■\n\nPROVED\n\n - ■ PROBABLE AND POSSIBLE\n - --DRILLING INVENTORY (YEARS)\n\nIn 2014, the Company brought 35 gross (26.1 net) Eagle Ford wells into\n\n## EAGLE FORD\n\nAs at and for the Year Ended 31 December 2014\n\n| Production (boe) | 1,696,549 |\n|---------------------------------------|-------------|\n| Production (BOEPD) | 4,648 |\n| Liquids % of sales | 91% |\n| Exit Rate (BOEPD) | 8,177 |\n| D&P Capital Invested | $ 244,134 |\n| E&E Capital Invested and Acquisitions | $ 59,903 |\n| Gross producing wells | 77 |\n| Net Producing wells | 53.8 |\n| Gross Wells in Progress | 19 |\n| Net Wells in Progress | 10.6 |\n| Net Acres | 26,160 |\n\nproduction by D&P investments of $244 million. Through $26 million of direct mineral leases and $36 million of acquisitions in 2014, the Company increased its Eagle Ford acreage position to 20,742 net acres, which represents 153.7 net undrilled 3P Reserves locations.\n\nSince its entrance into the Eagle Ford in March 2013, the Company has:\n\n - · increased its production over 10x to a 2014 exit rate of 8,177 BOEPD (a 290 percent CAGR);\n - · increased 1P Constant Case Reserves by 10x to 18,132 MBOE (PV10 of $449.3 million (an 18x increase));\n - · increased its acreage to approximately 33,000 net acres, primarily in the volatile oil and condensate window of the Eagle Ford (includes 14,180 net acres acquired in January 2015 and excludes 5,418 net acres targeting the Georgetown Formation in neighboring Maverick County);\n\n## EAGLE FORD CONSTANT CASE RESERVES\n\n| 1P Reserves (mboe) | 18,131.9 |\n|------------------------------------|-----------------|\n| 3P Reserves (mboe) | 100,404.1 |\n| 1P Reserves (PV10 ($000s)) | $ 449,287.5 |\n| 3P Reserves (PV10 ($000s)) | $ 1,202,313.1 |\n| Net 1P Reserves Drilling Locations | 42.6 |\n| Net 3P Reserves Drilling Locations | 153.7 |\n\n", - "page_start": 11, - "page_end": 11, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## Corporate Overview and Strategy\n\nSundance Energy Australia Limited (ASX: SEA) is an onshore oil and natural gas company focused on the exploration, development and production of large, repeatable resource plays in North America. The Company's oil and natural gas properties are located in premier U.S. oil and natural gas basins, and its current operational activities are focused in south Texas targeting the Eagle Ford formation (''Eagle Ford'') and north central Oklahoma targeting the Mississippian and Woodford formations (''Mississippian/Woodford'').\n\nThe Company utilises its U.S.-based management and technical team to appraise, develop, produce and grow its portfolio of assets. The Company's strategy focuses on generating cash flow from its existing production base, developing assets where it is the operator and has high working interests, exploring for additional resources within its existing basins and pursuing strategic merger and acquisition opportunities, which positions it to control the pace of its development and the allocation of capital resources.\n\n## Contents\n\n| Performance Summary .......................................................1 |\n|---------------------------------------------------------------------------------------|\n| Chairman's Letter................................................................2 |\n| Managing Director's Letter..................................................4 |\n| Financial Overview.............................................................6 |\n| Operations Overview..........................................................8 |\n| Eagle Ford.........................................................................10 |\n| Greater Anadarko .............................................................12 |\n| Directors' Report...............................................................15 |\n| Remuneration Report .......................................................28 |\n| Auditor's Independence Declaration.................................45 |\n| Corporate Governance......................................................46 |\n| Financial Information.......................................................54 |\n| Directors' Declaration .....................................................106 |\n| Auditor's Report..............................................................107 |\n| Additional Information...................................................109 |\n| Corporate Information....................................................111 |\n| Forward-Looking Statements .........................................111 |\n| Competent Persons Statement........................................111 |\n\n## Abbreviations & Definitions\n\n1P Reserves -proved reserves which have at least a 90% probability that the quantities actually recovered will equal or exceed the estimate\n\n2P Reserves -proved plus probable reserves which have at least a 50% probability that the quantities actually recovered will equal or exceed the estimate\n\n3P Reserves -proved plus probable plus possible reserves which have at least a 10% probability that the quantities actually recovered will equal or exceed the estimate\n\nEnterprise Value or EV -market capitalisation less cash plus debt\n\nPV10 -discounted cash flows of the Company's reserves using a 10% discount factor\n\nBbl -one barrel of oil\n\nBOE -a barrel of oil equivalent, using the ratio of six Mcf of natural gas to one Bbl of crude oil\n\nBOEPD -barrels of oil equivalent per day\n\nConstant Case -the reserve report case using first of month average pricing for the trailing 12 months held constant throughout the life of the reserves as prescribed by the US Securities and Exchange Commission (SEC)", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## COSTS PER BARREL OF OIL EQUIVALENT\n\n\n\nIn addition to the significantly improved operating profitability, the Company exited two non-core basins which resulted in a gain on sales of non-current assets of $50.3 million. The DJ and Bakken dispositions that occurred in 2014 are further proving the Company's track-record of large opportunistic dispositions that result in a high internal rate of return; allowing the Company to reinvest proceeds in basins with higher risk-adjusted\n\nreturns. Since 2007, the Company disposed of six prospects or basins with an aggregate transaction value of nearly $400 million. These dispositions had a transaction value weighted return of 83 percent. The 2014 DJ disposition (transaction value of $113 million) yielded the Company's highest internal rate of return to date of 104 percent.\n\nAs a result of the increased revenue, cost controlled operating and G&A expenses and gain on sales, offset by the Company's non-cash impairment of $71.2 million (due to the depressed oil commodity pricing at year-end), the Company reported profits before income tax for the year of $14.5 million.\n\n## INTERNAL RATE OF RETURN AND TRANSACTION VALUES\n\nGOLIATH\n\n\n\nAs mentioned above, the Company's Adjusted EBITDAX for the period ($126.4 million) approximates its operating cash flow of $128.1 million. This operating cash flow, along with i) net proceeds from the disposition of the DJ and Bakken basins ($118.8 million), ii) net proceeds from issuance of equity ($68.7 million) and iii) net debt draws ($100.0 million) were the Company's primary sources of cash (collectively $415.6 million), funding $437.2 million of cash uses including, i) development expenditures ($362.0 million), ii) exploration expenditures ($39.6 million) and iii) an acquisition of primarily undeveloped acreage in the Eagle Ford ($35.6 million).\n\nDespite the Company's robust 2014 drilling and completion program, it continued to preserve liquidity with $69.2 million of cash and equivalents and $15.0 million of undrawn borrowing capacity at year-end. The Company also maintains a low-leverage model with outstanding principal of $130.0 million at year-end, which represents 1.0x the Company's 2014 Adjusted EBITDAX. The Company ranks among the lowest of its peers in this leverage metric, a full 272 absolute basis points below the mean of its peers (3.8x).", - "page_start": 8, - "page_end": 8, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## The Eagle Ford - driving value and production growth\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the basin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 which includes the acquisition of approximately 18,000 net acreage in 2014. By the end of the first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence in this prolific oil and gas region has been driving significant value for the Company and our shareholders, and continues to form our priority focus for development and acreage growth in the coming years.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "\n\n## Opinion\n\n## In our opinion:\n\n - a. the financial report of Sundance Energy Australia is in accordance with the Corporations Act 2001 , including:\n - i giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n - ii complying with Australian Accounting Standards and the Corporations Regulations 2001 ; and\n - b. the financial report also complies with International Financial Reporting Standards issued by the IASB as disclosed in Note 1.\n\n## Report on the remuneration report\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 December 2014. The directors of the company are responsible for the preparation and presentation of the Remuneration Report in accordance with section 300A of the Corporations Act 2001 . Our responsibility is to express an opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing Standards.\n\n## Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December 2014, complies with section 300A of the Corporations Act 2001 .\n\n\n\nErnst & Young\n\n\n\nMichael Elliott Partner Sydney 31 March 2015", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "\n\nGREATER ANADARKO\n\n## The Company and offset operators continue to have success in the Greater Anadarko Basin.\n\nDuring 2014, the Company increased its production to 1,460 BOEPD; a 957 BOEPD (190 percent) increase compared to 503 BOEPD of production in 2013.\n\nIn 2014, the Company brought 40 gross (16.6 net) Greater Anadarko wells into production by D&P investments of $79.9 million. The Company maintained a strong acreage position of 40,937 net acres, with 259.3 net 3P Reserves drilling locations (over six years of drilling inventory assuming a two-rig program drilling 18 wells/year).\n\n## NET GREATER ANADARKO DRILLING LOCATIONS\n\n(excluding contingent resources)\n\n\n\n■\n\n■\n\nPROVED\n\nPROBABLE AND POSSIBLE\n\n--DRILLING INVENTORY (YEARS)\n\nAs at 31 December 2014, the Company's Greater Anadarko 1P\n\n## GREATER ANADARKO\n\nAs at and for the Year Ended 31 December 2014\n\n| Production (boe) | 532,916 |\n|-------------------------|-----------|\n| Production (BOEPD) | 1,460 |\n| Liquids % of sales | 78% |\n| Exit Rate (BOEPD) | 1,257 |\n| D&P Capital Invested | $ 79,851 |\n| E&E Capital Invested | $ 12,561 |\n| Gross producing wells | 65 |\n| Net Producing wells | 27.5 |\n| Gross Wells in Progress | 5 |\n| Net Wells in Progress | 3.1 |\n| Net Acres | 40,937 |\n\nReserves increased to 7,849 MBOE (PV10 of $82.4 million); a 3,445 MBOE (78 percent) increase compared to 4,404 MBOE (PV10 of $66.7 million) at 31 December 2013.\n\n## GREATER ANADARKO CONSTANT CARE RESERVES\n\nAs at and for the Year Ended 31 December 2014\n\n| 1P Reserves (mboe) | 7,849.4 |\n|------------------------------------|---------------|\n| 3P Reserves (mboe) | 47,318.7 |\n| 1P Reserves (PV10 ($000s)) | $ 82,447.5 |\n| 3P Reserves (PV10 ($000s)) | $ 282,913.8 |\n| Net 1P Reserves Drilling Locations | 41.8 |\n| Net 3P Reserves Drilling Locations | 259.3 |\n\n", - "page_start": 13, - "page_end": 13, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I heard that Sundance Energy has acquired land in South Texas in July 2014, where is it?", - "target_page": 21, - "target_passage": "In July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas", - "chunk_present": { - "presence": true, - "index": 8 - } - }, - "top_chunk": [ - { - "text": "## Corporate Overview and Strategy\n\nSundance Energy Australia Limited (ASX: SEA) is an onshore oil and natural gas company focused on the exploration, development and production of large, repeatable resource plays in North America. The Company's oil and natural gas properties are located in premier U.S. oil and natural gas basins, and its current operational activities are focused in south Texas targeting the Eagle Ford formation (''Eagle Ford'') and north central Oklahoma targeting the Mississippian and Woodford formations (''Mississippian/Woodford'').\n\nThe Company utilises its U.S.-based management and technical team to appraise, develop, produce and grow its portfolio of assets. The Company's strategy focuses on generating cash flow from its existing production base, developing assets where it is the operator and has high working interests, exploring for additional resources within its existing basins and pursuing strategic merger and acquisition opportunities, which positions it to control the pace of its development and the allocation of capital resources.\n\n## Contents\n\n| Performance Summary .......................................................1 |\n|---------------------------------------------------------------------------------------|\n| Chairman's Letter................................................................2 |\n| Managing Director's Letter..................................................4 |\n| Financial Overview.............................................................6 |\n| Operations Overview..........................................................8 |\n| Eagle Ford.........................................................................10 |\n| Greater Anadarko .............................................................12 |\n| Directors' Report...............................................................15 |\n| Remuneration Report .......................................................28 |\n| Auditor's Independence Declaration.................................45 |\n| Corporate Governance......................................................46 |\n| Financial Information.......................................................54 |\n| Directors' Declaration .....................................................106 |\n| Auditor's Report..............................................................107 |\n| Additional Information...................................................109 |\n| Corporate Information....................................................111 |\n| Forward-Looking Statements .........................................111 |\n| Competent Persons Statement........................................111 |\n\n## Abbreviations & Definitions\n\n1P Reserves -proved reserves which have at least a 90% probability that the quantities actually recovered will equal or exceed the estimate\n\n2P Reserves -proved plus probable reserves which have at least a 50% probability that the quantities actually recovered will equal or exceed the estimate\n\n3P Reserves -proved plus probable plus possible reserves which have at least a 10% probability that the quantities actually recovered will equal or exceed the estimate\n\nEnterprise Value or EV -market capitalisation less cash plus debt\n\nPV10 -discounted cash flows of the Company's reserves using a 10% discount factor\n\nBbl -one barrel of oil\n\nBOE -a barrel of oil equivalent, using the ratio of six Mcf of natural gas to one Bbl of crude oil\n\nBOEPD -barrels of oil equivalent per day\n\nConstant Case -the reserve report case using first of month average pricing for the trailing 12 months held constant throughout the life of the reserves as prescribed by the US Securities and Exchange Commission (SEC)", - "page_start": 1, - "page_end": 1, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## Sundance Energy Australia Limited\n\nABN 76 112 202 883\n\n## Directors\n\nMichael D. Hannell- Chairman Eric McCrady- Managing Director and CEO Damien A. Hannes- Non-Executive Director Neville W. Martin- Non-Executive Director Weldon Holcombe- Non-Executive Director\n\n## Company Secretary\n\nDamien Connor\n\n## Registered Office\n\n32 Beulah Road\n\nNorwood SA 5067\n\nPhone: (61 8) 8363 0388\n\nFax: (61 8) 8132 0766\n\nWebsite: www.sundanceenergy.com.au\n\n## Corporate Headquarters\n\n## Sundance Energy, Inc.\n\n633 17th Street, Suite 1950\n\nDenver, CO 80202 USA\n\nPhone: (303) 543-5700\n\nFax: (303) 543-5701\n\nWebsite: www.sundanceenergy.net\n\n## Auditors\n\nErnst & Young Ernst & Young Centre 680 George Street Sydney NSW 2000\n\n## Australian Legal Advisors\n\nBaker & McKenzie Level 27, AMP Centre 50 Bridge Street Sydney, NSW 2000 Australia\n\n## Bankers\n\nNational Australia Bank Limited-Australia Wells Fargo-United States\n\n## Share Registry\n\nComputershare Investor Services Pty Ltd Level 5, 115 Grenfell Street\n\nAdelaide SA 5000\n\n## Securities Exchange Listing\n\nAustralian Securities Exchange (ASX)\n\nASX Code: SEA\n\n## Forward-Looking Statements\n\nThis Annual Report includes forward-looking statements. These statements relate to Sundance's expectations, beliefs, intentions or strategies regarding the future. These statements can be identified by the use of words like 'anticipate', 'believe', 'intend', 'estimate', 'expect', 'may', 'plan', 'project', 'will', 'should', 'seek' and similar words or expressions containing same. The forward-looking statements reflect the Company's views and assumptions with respect to future events as of the date of this presentation and are subject to a variety of unpredictable risks, uncertainties, and other unknowns. Actual and future results and trends could differ materially from those set forth in such statements due to various factors, many of which are beyond our ability to control or predict. Given these uncertainties, no one should place undue reliance on any forward-looking statements attributable to Sundance, or any of its affiliates or persons acting on its behalf. Although every effort has been made to ensure this report sets forth a fair and accurate view, we do not undertake any obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.\n\n## Competent Persons Statement\n\nThis report contains information on Sundance Energy's reserves and resources which has been reviewed by David Ramsden-Wood, Professional Engineer, who is licensed in Alberta, Canada and is qualified in accordance with ASX Listing Rule 5.11 and has consented to the inclusion of this information in the form and context in which it appears.\n\nDESIGN BY:\n\nMark Mulvany Graphic Design (Denver, CO)\n\nPHOTOGRAPHY BY:", - "page_start": 112, - "page_end": 112, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "CHAIRMAN'S LETTER\n\n\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## Dear Fellow Shareholders,\n\nI am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## A year of growing production, cash flow and reserves\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n## The Eagle Ford - driving value and production growth", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## Information on Directors\n\n## Michael Damer Hannell\n\nChairman, BSc Eng (Hons), FIEAust\n\n## Experience\n\nMike has been a Director of Sundance since March 2006 and chairman of our board of directors since December 2008. Mr. Hannell has over 45 years of experience in the oil and gas industry, initially in the downstream sector and subsequently in the upstream sector. His extensive experience has been in a wide range of design and construction, engineering, operations, exploration and development, marketing and commercial, financial and corporate areas in the United States, United Kingdom, continental Europe and Australia at the senior executive level with Mobil Oil (now Exxon) and Santos Ltd. Mr. Hannell recently finished his term as the chairman of Rees Operations Pty Ltd (doing business as Milford Industries Pty Ltd), an Australian automotive components and transportation container manufacturer and supplier. He has also held a number of other board appointments including the chairman of Sydac Pty Ltd, a designer and producer of simulation training products for industry. Mr. Hannell has also served on a number of not-for-profit boards, with appointments as president of the Adelaide-based Chamber of Mines and Energy, president of Business SA (formerly the South Australian Chamber of Commerce and Industry), chairman of the Investigator Science and Technology Centre, chairman of the Adelaide Graduate School of Business, and a member of the South Australian Legal Practitioners Conduct Board. Mr. Hannell holds a Bachelor of Science degree in Engineering (with Honors) from the University of London and is a Fellow of the Institution of Engineers Australia.\n\n## Interest in Shares :\n\n1,059,000 ordinary shares in Sundance Energy Australia Limited\n\n## Special Responsibilities :\n\n - -Chairman of the Board of Directors\n - -Chairman of the Remuneration and Nominations Committee\n - -Member of the Audit and Risk Management Committee\n - -Member of the Reserves Committee\n\nOther Directorships :\n\nNil\n\n## Eric P. McCrady\n\nDirector, BS in Business Administration\n\n## Experience\n\nEric has been our Chief Executive Officer since April 2011 and Managing Director of our board of directors since November 2011. He also served as our Chief Financial Officer from June 2010 until becoming Chief Executive Officer in 2011. Mr. McCrady has served in numerous positions in the energy, private investment and retail industries. From 2004 to 2010, Mr. McCrady was employed by The Broe Group, a private investment firm, in various financial and executive management positions across a variety of industry investment platforms, including energy, transportation and real estate. From 1997 to 2003, Mr. McCrady was employed by American Coin Merchandising, Inc. in various corporate finance roles. Mr. McCrady holds a degree in Business Administration from the University of Colorado, Boulder.\n\nInterest in Shares, Restricted Share Units and Options:\n\n - 1,908,581 Ordinary Shares in Sundance Energy Australia Limited and 791,561 Restricted Share Units\n\n## Special Responsibilities :\n\nManaging Director and Chief Executive Officer of the Company\n\nOther Directorships :\n\nNil", - "page_start": 24, - "page_end": 24, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## ACQUIRING NEW ACREAGE\n\nFuture exploration success depends on quality exploration acreage. Santos acquired five exploration blocks in three hydrocarbon provinces during 2004. The most significant of these were in Egypt and Indonesia.\n\nEgypt and surrounding countries are a focus area for Santos. The Company has farmed in to three exploration blocks in Egypt with US petroleum group, Devon Energy, committing approximately $70 million to an eight-well exploration joint venture over the next three years in the Gulf of Suez. This is Santos' first move into the North Africa-Middle East region, which is considered the world's premier hydrocarbon province.\n\nSantos continues to seek other exploration opportunities in this area, concentrating on the Gulf of Suez and the onshore Desert Basins.\n\nSantos has acquired six exploration permits in Indonesia over the past three years, including an interest in the Donggala PSC in the Kutei Basin during late 2004. This block lies between Santos' other Kutei acreage: the Papalang and Popodi PSCs.\n\nThe addition of the Donggala PSC gives Santos a particularly strong presence in the Kutei Basin and covers a highly prospective trend, while adding to the Company's growing Indonesian operations.\n\nOther exploration acreage portfolio management and activities during 2004 included:\n\n - · the award of exploration permit T/36P in the Sorell Basin, offshore Tasmania\n - · the addition of three new venture areas in the shallow waters of the Gulf of Mexico and onshore Montana and Texas, which significantly expands and diversifies the US exploration acreage and prospect inventory\n - · the farm-out of a 16.67% interest in the WA-264-P permit offshore Western Australia to Beach Petroleum\n - · the farm-out of a 60% interest and operatorship of the NT/P61 permit in the Bonaparte Basin, offshore northern Australia to ConocoPhillips\n - · the farm-out of a 70% interest in the deep water exploration block, Nth Bali 1 PSC, offshore East Java Basin to Total and Mitsui\n - · the farm-out of a 25% interest in the VIC P/51 block containing the Callister prospect to Mitsui & Co subsidiary Mitwell Energy Resources.\n\nThese farm-outs continued the trend of risk-sharing with quality partners.\n\n## ADDING MATERIAL PROSPECTS\n\nSantos is now in a position that exploration success in 2004 and good acreage management has created future options that will ultimately translate into greater value for the business in 2005 and beyond.\n\nThis has been achieved by focusing on 'basin excellence'. This means becoming a technical leader in basins, within our focus areas, entering early where possible to keep entry costs down, balancing the commercial and the technical risks and selecting the right co-venturers.\n\n## 2004 EXPLORATION EXPENDITURE BY CATEGORY\n\n\n\n$7.3 million\n\nAn example of this is the strong position Santos has created in the Kutei Basin, with interests in three neighbouring production sharing contracts: Popodi, Donggala and Papalang.\n\n2004 also marked the year that Santos drilled its first operated deep water wells - a significant achievement for a company that had its beginnings in a desert environment.\n\n\n\n## 2004 EXPLORATION EXPENDITURE BY REGION\n\n\n\nOffshore Australia\n\n$32.6 million\n\nOnshore Australia\n\n$23.4 million\n\nSouth East Asia\n\n$41.4 million\n\nUnited States\n\n$28.2 million", - "page_start": 17, - "page_end": 17, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "## UNITED STATES OF AMERICA AVG WORKING INTEREST\n\n| | East Texas |\n|----------------------|--------------|\n| Black Horse* | 100.0 |\n| BP America | 25.0 |\n| Jefferson Co | 18.8 |\n| Knight | 30.0 |\n| South Texas | |\n| Bar Harbor | 25.0 |\n| BP Green* | 50.0 |\n| Coquat | 25.0 |\n| Cougar* | 100.0 |\n| Duncan Slough* | 66.2 |\n| E. Edinburgh | 20.8 |\n| Elsa | 25.0 |\n| Hall Ranch* | 57.5 |\n| Hordes Creek | 50.3 |\n| Lafite / Allen Dome* | 92.1 |\n| Markham | 16.0 |\n| Mikeska | 54.5 |\n| Mountainside | 20.8 |\n| Petru | 30.9 |\n| Raymondville | 25.3 |\n| Remmers* | 66.3 |\n| Riverdale | 23.1 |\n| Tidehaven* | 38.9 |\n| Verdad | 25.0 |\n| W. Mercedes | 25.0 |\n| South Louisiana | |\n| Howards Creek | 25.0 |\n| Montana | |\n| Deer Creek | 50.0 |\n\n - * Santos operated.\n - (I) Includes interests held by Basin Oil Pty Ltd. By contract dated 17 February 2005, Santos agreed to acquire Basin Oil Pty Ltd effective 1 January 2005. The transaction is expected to be completed in the second quarter of 2005.", - "page_start": 44, - "page_end": 44, - "source_file": "ASX_STO_2004.pdf" - }, - { - "text": "CEO'S REPORT\n\n\n\n## Dear Fellow Shareholders,\n\n2014 Review -2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 |\n|---------------------------------------------|------------------------------------------------------|---------------------------------------------|---------------------------------------------|\n| | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE |\n| YEAR | IN 2P PV10 (NET ASSET VALUE) PER DEBT ADJUSTED SHARE | IN SUNDANCE PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## The Eagle Ford - driving value and production growth\n\nSundance has grown its Eagle Ford acreage position from ~7,200 acres upon entering the basin to approximately 26,160 net mineral acres in the Eagle Ford at the end of 2014 which includes the acquisition of approximately 18,000 net acreage in 2014. By the end of the first quarter 2015 this had grown to 38,701 net mineral acres. Our growing presence in this prolific oil and gas region has been driving significant value for the Company and our shareholders, and continues to form our priority focus for development and acreage growth in the coming years.", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "The Company's exploration and development activities are focused in the Eagle Ford and the Mississippian/Woodford Formations. Costs incurred for development and production expenditures for the Eagle Ford and Mississippian/Woodford Formations during the year ended 31 December 2014 totalled $324.0 million, which included $295.9 million of drilling and development expenditure related to our 2014 plan, $3.8 million on infrastructure, and $24.3 million of drilling and development expenditure related to our 2015 plan. This investment resulted in the addition of 75 gross (42.7 net) wells into production, including 50 gross (39.5 net) Sundance-operated horizontal wells. An additional 24 gross (13.7 net) wells were drilling, being prepared for fracture stimulation or testing as at 31 December 2014, an increase of 7 gross (3.0 net) compared to the beginning of the year.\n\n## Acquisitions\n\nIn April 2014, the Company acquired approximately 4,800 net acres in the Eagle Ford for an initial purchase price of approximately $10.5 million and two separate earn out payments due upon commencement of drilling in each of three blocks of acreage (total for all three blocks of $7.7 million) and payout of the first two wells drilled on each block of the acreage ($7.7 million). The term of the agreement is two years and provides a one year extension for $500 per acre extended. This acquired acreage is adjacent to our existing acreage in McMullen County, Texas.\n\nIn July 2014, the Company completed the acquisition of approximately 5,700 net Eagle Ford acres in Dimmit County, South Texas, for approximately $36 million and a commitment to drill four Eagle Ford wells. The Company also has the option, at its sole discretion, to acquire the Seller's remaining working interest for an additional $45 million for the earlier of one year from closing the acquisition or six months from first production of hydrocarbons.", - "page_start": 20, - "page_end": 20, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "\n\n## Opinion\n\n## In our opinion:\n\n - a. the financial report of Sundance Energy Australia is in accordance with the Corporations Act 2001 , including:\n - i giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n - ii complying with Australian Accounting Standards and the Corporations Regulations 2001 ; and\n - b. the financial report also complies with International Financial Reporting Standards issued by the IASB as disclosed in Note 1.\n\n## Report on the remuneration report\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 December 2014. The directors of the company are responsible for the preparation and presentation of the Remuneration Report in accordance with section 300A of the Corporations Act 2001 . Our responsibility is to express an opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing Standards.\n\n## Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December 2014, complies with section 300A of the Corporations Act 2001 .\n\n\n\nErnst & Young\n\n\n\nMichael Elliott Partner Sydney 31 March 2015", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "ASX_SEA_2014.pdf", - "query": "I am the CFO of Sundance Energy, will my base increase in 2015 as it did in 2014?", - "target_page": 31, - "target_passage": "No increases to Managing Director’s or KMP’s base salary", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "CHAIRMAN'S LETTER\n\n\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the opertional performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## Dear Fellow Shareholders,\n\nI am pleased to present Sundance Energy Australia Limited's Annual Report for the 12 months ended 31 December 2014. It has been another year of significant progress for Sundance across our portfolio of liquids rich oil and gas assets in the US.\n\nThe Company's strategic focus on growing production, cash flows and reserves from large, repeatable resource plays in North America continues to deliver positive results with growth in production, cash flows, and reserves.\n\nDuring late 2013 and 2014, we completed the divestment of our interest in the Williston Basin in North Dakota for $51 million which realised an internal rate of return of 45 percent; and also opportunistically divested our interest in the Denver-Julesburg Basin in Colorado for $114 million which realised an internal rate of return of 104 percent. These divestitures of smaller, less scalable positions enabled us to focus on developing and growing our assets in the Eagle Ford in Texas and our Mississippian/Woodford assets in Oklahoma.\n\nDespite the reduction in crude oil and liquids prices towards the end of the year and continuing into 2015, the operational performance and focused, value-adding transactions during the past year have positioned the Company very favourably for future growth in net asset value and shareholder returns.\n\n## A year of growing production, cash flow and reserves\n\nIn line with our strategy we continued to increase the level of company operated assets, and successfully maintained a very strong focus on optimising our operations and reducing costs. This resulted in an impressive improvement in well performance combined with a top tier cost structure.\n\nThrough our operated development program, we ended 2014 with record production of 9,434 barrels of oil equivalent per day (BOEPD) compared with an exit rate of 5,028 BOEPD in December 2013 and an average annual production of 6,635 BOEPD compared to 3,015 BOEPD in 2013. During 2014 we drilled and completed 42.7 net wells, primarily in the Eagle Ford, bringing our total well count to 81.3 by 31 December 2014. High value oil comprised approximately 69 percent of our total 2014 annual production and production from Sundance-operated projects accounted for 89 percent of total production for the year.\n\nCorresponding with the growth in annual production, the Company's full year revenues increased to $159.8 million and Adjusted EBITDAX increased to $126.4 million.\n\nThe Company's development program also generated significant growth in Constant Case reserves during the year. More details are contained elsewhere in this Annual Report, but in summary our 1P Reserves at the end of 2014 were 26.0 MBOE, 2P Reserves 54.1 MBOE, and 3P Reserves 147.7 MBOE. This compares with Reserves of 20.7 MBOE, 34.6 MBOE, and 92.8 MBOE, respectively, at the end of 2013.\n\nIn the current price environment, we have elected to scale back our drilling program to mainly concentrate on limited drilling obligations to hold Eagle Ford acreage. This will enable us to maintain our low leverage profile, which was approximately 1.03x debt to Adjusted EBITDAX at year end, and focus on growing our drilling inventory in an environment with less competition for leases and small acquisitions. Liquidity was $84 million at year end, with a borrowing base redetermination in 2015 expected to materially increase debt availability if the use of such funds is justified in line with our strategy.\n\n## The Eagle Ford - driving value and production growth", - "page_start": 3, - "page_end": 3, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "\n\n## Opinion\n\n## In our opinion:\n\n - a. the financial report of Sundance Energy Australia is in accordance with the Corporations Act 2001 , including:\n - i giving a true and fair view of the consolidated entity's financial position as at 31 December 2014 and of its performance for the year ended on that date; and\n - ii complying with Australian Accounting Standards and the Corporations Regulations 2001 ; and\n - b. the financial report also complies with International Financial Reporting Standards issued by the IASB as disclosed in Note 1.\n\n## Report on the remuneration report\n\nWe have audited the Remuneration Report included in pages 28 to 43 of the directors' report for the year ended 31 December 2014. The directors of the company are responsible for the preparation and presentation of the Remuneration Report in accordance with section 300A of the Corporations Act 2001 . Our responsibility is to express an opinion on the Remuneration Report, based on our audit conducted in accordance with Australian Auditing Standards.\n\n## Opinion\n\nIn our opinion, the Remuneration Report of Sundance Energy Australia Limited for the year ended 31 December 2014, complies with section 300A of the Corporations Act 2001 .\n\n\n\nErnst & Young\n\n\n\nMichael Elliott Partner Sydney 31 March 2015", - "page_start": 109, - "page_end": 109, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "At year end, we had 197 gross 3P Reserves drilling locations across our Eagle Ford acreage where we continue to pursue operational and drilling efficiencies, opportunities to further improve well economics by improving recoveries and reducing costs. In 2014 this included a switch to pad drilling with zipper fracs and new completion techniques that have provided significant upside in production.\n\nDespite our current scaling back of drilling activity, we have set 2015 production guidance at 7,850 - 8,500 BOEPD, an increase from the previous year of some 13 - 17 percent, but a target that we believe is achievable while maintaining acceptable levels of liquidity given our demonstrated abilities and growing footprint in the Eagle Ford.\n\n## Safety and Environment\n\nSundance has a strong culture throughout the organisation of ensuring that high standards of safety are maintained and that our operations are conducted in an environmentally responsible way. During 2014 our comprehensive safety program was enhanced and further improvements will be a strong focus throughout 2015.\n\n## A strong financial position\n\nSundance is well placed for future growth in the Eagle Ford. The Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.\n\nWe expect that Sundance will grow organically and also through further leasing or bolt-on acquisitions in our core Eagle Ford focus area within our current, conservative balance sheet parameters.\n\n## Positive outlook for 2015\n\nDespite the current oil pricing scenario, Sundance's medium-to-long term growth trajectory looks very positive.\n\nWe can demonstrate this through:\n\n- · A track record of capital efficient growth\n- · A track record of value creation\n- · Being a low cost/high margin operator\n- · Having top tier Eagle Ford assets with an extensive drilling inventory\n- · Having a clean balance sheet\n\nAs a mid-tier oil and gas producer and explorer in the S&P/ASX All Australian 200 index, and with the increasing interest and support from institutional and retail investors. I believe that Sundance will deliver significant long-term value from our assets for our shareholders.\n\n## Thank you for your support\n\nWe have had a busy year at Sundance and I would like to recognise the efforts and valued contribution of the Board of Directors, management team and all staff and contractors of the Company in helping us achieve our strategic goals. I am confident that we have the right team and excellent assets in place to execute our clear and focused strategy that we expect to deliver significant value for our shareholders.\n\nOn behalf of the Board and Company, I would like to thank our shareholders for your strong support of the Company throughout the year. We are committed to delivering long-term value for our shareholders and I look forward to reporting over the rest of the coming year on the continued value creation and growth of Sundance.\n\nYours sincerely,\n\n\n\nMIKE HANNELL\n\nChairman\n\nThe Company has a strong balance sheet to withstand the current low oil price environment, and our sound financial management strategy has seen the Company well supported by both new and existing investors in Australia and internationally.", - "page_start": 4, - "page_end": 4, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "FINANCIAL OVERVIEW\n\n\n\nThrough our emphasis on operating and G&A cost control initiatives, the Company's record oil and natural gas sales translated to best-in-class Adjusted EBITDAX Margin (79 percent) among peers our size and a full 10 absolute percentage points higher than the average of our entire peer group.\n\nAs a result of its significant production increase, the Company's 2014 oil, NGL and natural gas sales revenue increased by $74.4 million to $159.8 million; an 87 percent increase compared to $85.3 million in 2013.\n\nREVENUE (US$000s) AND PRODUCTION (Boe/d)\n\n\n\nThis topline growth resulted in Adjusted EBIDTAX increase of $73.8 million to $126.4 million (79 percent of revenue); a 140 percent increase compared to $52.6 million (62 percent of revenue) in 2013. In other words, for every $1.00 of revenue growth compared to 2013, the Company added $0.99 of 2014 Adjusted EBITDAX growth.\n\n## ADJUSTED EBITDAX AND MARGIN\n\n\n\n-\n\n-\n\nADJUSTED EBITDAX MARGIN (%)\n\nThis Adjusted EBITDAX (generally a good proxy for our operating cash flow) increase was primarily the result of increased revenue and the following cost controlled operating expenses:\n\n - · Lease operating expenses increased only slightly (12 percent), despite significant production increases (108 percent). As a result of several changes in its field operations and economies of scale, the Company has realized improvement in its lease operating costs per barrel.\n - · Production taxes also only increased slightly (11 percent), despite significant revenue increase (87 percent). Through a series of strategic dispositions, the Company has shifted its state production mix from primarily high severance tax rate\n\njurisdictions (states of Colorado and North Dakota) to lower severance tax rate jurisdictions (states of Texas and Oklahoma).\n\n - · General and administrative expenses remained relatively flat compared to prior year. This is primarily due to the fact that the Company began ramping up staffing in 2013 as it expected development growth in late 2013 and 2014.", - "page_start": 7, - "page_end": 7, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "CEO'S REPORT\n\n\n\n## Dear Fellow Shareholders,\n\n2014 Review -2014 was a year of stark economic contrasts in our industry. During the first half as in the past several years, historically volatile West Texas Intermediate oil prices seemed range bound between $80 and $110 with geopolitical events driving prices towards the ceiling and demand risks pushing prices towards the floor of the range.\n\nIn the US, E&P companies were spending record amounts of capital, fueled by cheap and plentiful debt, on horizontal drilling and completions to drive production growth while making material strategic acquisitions in order to increase their long-term exposure to oil prices.\n\nThe easy credit environment caused asset prices to increase significantly to the point where, in our view, risk adjusted returns on new acquisitions were threatening cyclical lows. In line with our strategy, Sundance had monetized several mature assets realizing\n\n| Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 | Sundance's Performance versus the ASX 200 |\n|---------------------------------------------|------------------------------------------------------|---------------------------------------------|---------------------------------------------|\n| | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE | ANNUAL PERCENTAGE CHANGE |\n| YEAR | IN 2P PV10 (NET ASSET VALUE) PER DEBT ADJUSTED SHARE | IN SUNDANCE PRICE PER SHARE | IN ASX200 |\n| 2014 | 21.6% | -48.0% | 1.1% |\n| 2013 | 63.3% | 29.9% | 15.1% |\n| 2012 | -15.6% | 87.8% | 14.6% |\n| 2011 | 59.7% | -44.6% | -14.5% |\n\n~$50 million in current period gains while freeing up ~$165 million in invested capital.\n\nWe primarily reinvested this capital in production growth and cash flow with only about $75 million reinvested in acquiring oil and gas leases and producing properties. This resulted in our production increasing from 5,028 BOEPD to 9,434 BOEPD by December 2014 and full year EBITDAX increasing $73.8 million to $126.4 million in 2014. Had prices stayed steady, we likely would have generated earnings before income taxes of over $85 million and a return on capital in excess of 20%.\n\nOur second capital priority for the year was to conclude the appraisal of the Woodford formation in our Logan County, Oklahoma assets. We viewed this relatively modest, but higher risk, investment as having a 25% chance of success with a 15x upside. Unfortunately, we met with mixed success in our appraisal activities proving that in today's onshore US oil and gas industry that the best absolute returns are generated by drilling in proved regions. There are plenty of solid opportunities to efficiently grow the business without exposure to undue geologic risk.\n\nLike many prior bubbles driven by new technologies, the second half of the year saw the pricing environment come crashing down around us. The market became fundamentally unbalanced, driving prices down almost 50% and rendering material portions of global oil and gas development uneconomic.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "For the year ended 31 December 2014 (to be paid in 2015), the following metrics were adopted as targets:\n\n| Financial Performance Metric | Performance Target | Target Weight |\n|------------------------------------------------------------------|-----------------------|------------------|\n| Production of oil and natural gas per 1,000 debt adjusted share | 4.06 Boe | 17.5% |\n| Cash margin | 72.6% | 17.5% |\n| Net asset value per debt-adjusted share | 1.02 | 17.5% |\n| PV/I (1) | 1.25 | 17.5% |\n| Health, safety and environmental | Qualitative | 10.0% |\n| Assessment of the performance of senior executives and managers | Qualitative | 20.0% |\n\nThe amount of any STI and LTI bonuses relative to the year ended 31 December 2014 will be determined subsequent to the filing of this report and included in reported remuneration in next year's Directors' Report.\n\n## Long-Term Incentives\n\nWe have two active equity incentive plans under the LTI component of the incentive remuneration program. These are the Sundance Employee Option Plan (\"ESOP\") and the Sundance Energy Australia Limited Restricted Share Units available only to our U.S. employees under the Incentive Remuneration Plan (the \"RSU Plan\"). Any grants made to employees that also serve as a director are subject to shareholder approval prior to issuance.\n\n## ESOP Plan\n\nThe ESOP provides for the issuance of stock options at an exercise price determined at the time of the issue by a committee designated by the board (the \"Plan Committee\"). Options under the ESOP may be granted to eligible employees, as determined by the Plan Committee, and typically include our executive officers, directors and key employees.\n\nHistorically, the Plan Committee has granted options in connection with attracting new employees, which grant is made once employment has commenced. It is within the discretion of the Plan Committee, however, to authorize additional option grants during the tenure of employment. Generally, an option vests 20 percent on the 90th day following the grant date, with an additional 20 percent vesting on the first, second, third and fourth anniversaries thereof. Options are valued using the BlackScholes methodology and recognized as remuneration in accordance with their vesting conditions. In the event of a voluntary winding up of the Company, unvested stock options vest immediately. We may amend the ESOP or any portion thereof, or waive or modify the application of the ESOP rules in relation to a participant, at any time. Certain amendments to the ESOP may require the approval of the option holders.\n\nNo stock options were granted to any officers or directors during fiscal years 2013 or 2014.\n\n## RSU Plan\n\nThe RSU Plan provides for the issuance of restricted share units (\"RSUs\") to our U.S. employees. The purpose of issuing RSUs is to reward senior executives and employees for achievement of financial and operational performance targets established by our board. The RSU Plan is administered by our board. RSUs may be granted to eligible employees from a bonus pool established at the sole discretion of our board. The bonus pool is subject to board and management review of performance metrics with respect to both our and the individual employee's performance over a measured period determined by the Remuneration and Nominations Committee and the board. The RSUs may be settled in cash or shares at the discretion of our board.", - "page_start": 37, - "page_end": 37, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "We are targeting positive same store growth in 2014 of up to 2%. Year-over-year occupancy improvements and increased rental rates are expected to generate revenue growth. Increasing our leasing sta/ff and re/fining our marketing and leasing process is proving e/ffective, resulting in improved occupancy levels in many of our core markets, especially in Ontario and New Brunswick. A colder than normal winter this year (2014) is translating into increased energy consumption and continued volatility in natural gas prices in Atlantic Canada, expected to result in higher than normal heating costs. We continue to invest in energy and operational e/fficiencies which we expect will keep our controllable costs down throughout the year and partially o/ffset higher heating costs.", - "page_start": 8, - "page_end": 8, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Sundance Energy Australia Limited\n\nABN 76 112 202 883\n\n## Directors\n\nMichael D. Hannell- Chairman Eric McCrady- Managing Director and CEO Damien A. Hannes- Non-Executive Director Neville W. Martin- Non-Executive Director Weldon Holcombe- Non-Executive Director\n\n## Company Secretary\n\nDamien Connor\n\n## Registered Office\n\n32 Beulah Road\n\nNorwood SA 5067\n\nPhone: (61 8) 8363 0388\n\nFax: (61 8) 8132 0766\n\nWebsite: www.sundanceenergy.com.au\n\n## Corporate Headquarters\n\n## Sundance Energy, Inc.\n\n633 17th Street, Suite 1950\n\nDenver, CO 80202 USA\n\nPhone: (303) 543-5700\n\nFax: (303) 543-5701\n\nWebsite: www.sundanceenergy.net\n\n## Auditors\n\nErnst & Young Ernst & Young Centre 680 George Street Sydney NSW 2000\n\n## Australian Legal Advisors\n\nBaker & McKenzie Level 27, AMP Centre 50 Bridge Street Sydney, NSW 2000 Australia\n\n## Bankers\n\nNational Australia Bank Limited-Australia Wells Fargo-United States\n\n## Share Registry\n\nComputershare Investor Services Pty Ltd Level 5, 115 Grenfell Street\n\nAdelaide SA 5000\n\n## Securities Exchange Listing\n\nAustralian Securities Exchange (ASX)\n\nASX Code: SEA\n\n## Forward-Looking Statements\n\nThis Annual Report includes forward-looking statements. These statements relate to Sundance's expectations, beliefs, intentions or strategies regarding the future. These statements can be identified by the use of words like 'anticipate', 'believe', 'intend', 'estimate', 'expect', 'may', 'plan', 'project', 'will', 'should', 'seek' and similar words or expressions containing same. The forward-looking statements reflect the Company's views and assumptions with respect to future events as of the date of this presentation and are subject to a variety of unpredictable risks, uncertainties, and other unknowns. Actual and future results and trends could differ materially from those set forth in such statements due to various factors, many of which are beyond our ability to control or predict. Given these uncertainties, no one should place undue reliance on any forward-looking statements attributable to Sundance, or any of its affiliates or persons acting on its behalf. Although every effort has been made to ensure this report sets forth a fair and accurate view, we do not undertake any obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.\n\n## Competent Persons Statement\n\nThis report contains information on Sundance Energy's reserves and resources which has been reviewed by David Ramsden-Wood, Professional Engineer, who is licensed in Alberta, Canada and is qualified in accordance with ASX Listing Rule 5.11 and has consented to the inclusion of this information in the form and context in which it appears.\n\nDESIGN BY:\n\nMark Mulvany Graphic Design (Denver, CO)\n\nPHOTOGRAPHY BY:", - "page_start": 112, - "page_end": 112, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "## Energy Generation and Storage Segment\n\n## Energy Generation and Storage Sales\n\nWe record as deferred revenue any non-refundable amounts that are collected from customers related to prepayments, which is recognized as revenue ratably over the respective customer contract term. As of September 30, 2024 and December 31, 2023, deferred revenue related to such customer payments amounted to $1.73 billion and $1.60 billion, respectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balances as of December 31, 2023 and 2022 was $1.09 billion and $511 million for the nine months ended September 30, 2024 and 2023, respectively. As of September 30, 2024, total transaction price allocated to performance obligations that were unsatisfied or partially unsatisfied for contracts with an original expected length of more than one year was $6.61 billion. Of this amount, we expect to recognize $4.23 billion in the next 12 months and the rest over the remaining performance obligation period.\n\nWe have financing receivables on our consolidated balance sheets related to loans we provide for financing our energy products. As of September 30, 2024 and December 31, 2023, we had current net financing receivables of $32 million and $31 million, respectively, in Accounts receivable, net, and $641 million and $578 million, respectively, in Other non-current assets for the long-term portion.\n\n## Income Taxes\n\nWe are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company's projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information.\n\nOur provision for or benefit from income taxes for interim periods is determined using an estimate of our annual effective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update our estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment.\n\n## Net Income per Share of Common Stock Attributable to Common Stockholders\n\nThe following table presents the reconciliation of net income attributable to common stockholders to net income used in computing basic and diluted net income per share of common stock (in millions):\n\nTable of Contents", - "page_start": 15, - "page_end": 15, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "Our peers went from talking about their growth prospects to fretting about cash costs and liquidity, a stark contrast from the go-go growth times which existed in the first half of the year. This shift in industry strategy has now come in line with our general business philosophy-in the resource space, low-cost, low debt businesses will survive and thrive across cycles; and, relative to our US onshore peer group, Sundance boasts a top 15% cost structure and balance sheet.\n\nOur position as a cost and balance sheet leader is underpinned by two key philosophies: 1) investment in a leading technical team that is encouraged to take reasonable risks to improve recoveries and/or reduce costs, and 2) a ruthless focus on portfolio returns as demonstrated by our consistent track record of divesting assets that don't fit our strategic objectives or promise lower forward return profiles.\n\nOur high quality Eagle Ford acreage produces strong recoveries at reasonable costs and thus generates good returns, even in a low price environment. Because of these characteristics, the majority of our forward capital is expected to be invested generating strong growth and shareholder returns in the Eagle Ford.\n\nWith mixed appraisal results in the Woodford, Sundance's Mississippian/Woodford position generally requires higher prices to meet our hurdle rates. Because of the mixed Woodford results, higher overall unit costs, and depressed pricing at year end, we recognized an impairment charge of ~$60 million on these assets at year 2014. Had prices maintained their strength, we likely would have been in a position to recover our investment from these assets.", - "page_start": 5, - "page_end": 5, - "source_file": "ASX_SEA_2014.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "What are the physical requirements for installing the Storwize V7000?", - "target_page": 70, - "target_passage": "You must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics: \u0002 Meets power, cooling, and location requirements of the Storwize V7000 nodes. \u0002 Has two separate power sources. \u0002 Sufficient rack space exists for the installation of controller and disk expansion enclosures. \u0002 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website", - "chunk_present": { - "presence": true, - "index": 5 - } - }, - "top_chunk": [ - { - "text": "## 4.1 Prerequisites\n\nBefore initializing and setting up the Storwize V7000, ensure that the following prerequisites are met:", - "page_start": 109, - "page_end": 109, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 You must run supported IBM Storwize V7000 hardware. For more information about the current table that specifies valid hardware and features combinations, see this website.", - "page_start": 275, - "page_end": 275, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 The installation of physical components is planned to fulfill all requirements and correctly executed, including:\n - - Control enclosures are physically installed with the correct cabling.\n - - The Ethernet and Fibre Channel connectivity are correctly configured.\n - - Expansion enclosures, if available, are physically installed and attached to the Storwize V7000 nodes in the I/O group that is meant to use them.\n - - The Storwize V7000 control enclosures and optional expansion enclosures are powered on.\n - /SM590000 Your web browser is supported and has the appropriate settings enabled. For more information about supported browsers and settings, see IBM Knowledge Center.\n - /SM590000 You have the required information available, including:", - "page_start": 109, - "page_end": 109, - "source_file": "sg247938.pdf" - }, - { - "text": "The following Storwize V7000 models are supported for V8.2.1:\n\n - /SM590000 Control enclosures:\n - - 2076-524\n - - 2076-624\n - /SM590000 Expansion enclosures:\n - - 2076-12F\n - - 2076-24F\n\n## 3.19.1 SAN", - "page_start": 101, - "page_end": 101, - "source_file": "sg247938.pdf" - }, - { - "text": "- 1. Download the latest Drive firmware package for IBM Storwize V7000 from Fix Central.", - "page_start": 717, - "page_end": 717, - "source_file": "sg247938.pdf" - }, - { - "text": "When you plan deployment of Storwize V7000, identify networking technologies that you will use.\n\nNote: With Spectrum Virtualize V8.1.1.1 and later, RDMA (iSER) is supported by 25 Gb Ethernet iSCSI adapter cards with V7000 Gen2+ only. For more information, see 3.7.4, 'iSCSI Extensions for RDMA (iSER)' on page 62.\n\n## 3.4 Physical planning\n\nYou must consider several key factors when you are planning the physical site of a Storwize V7000 installation. The physical site must have the following characteristics:\n\n - /SM590000 Meets power, cooling, and location requirements of the Storwize V7000 nodes.\n - /SM590000 Has two separate power sources.\n - /SM590000 Sufficient rack space exists for the installation of controller and disk expansion enclosures.\n - /SM590000 Has sufficient maximum power rating of the rack. Plan your rack placement carefully to not exceed maximum power rating of the rack. For more information about the power and environmental requirements, see this website.\n\nYour Storwize V7000 2076-524 and Storwize V7000 2076-624 order includes a printed copy of the IBM Storwize V7000 Gen2 and Gen2+ Quick Installation Guide, which also provides information about environmental and power requirements.\n\n## 3.4.1 Cabling\n\nCreate a cable connection table that follows your environment's documentation procedure to track all of the following connections that are required for the setup:", - "page_start": 69, - "page_end": 69, - "source_file": "sg247938.pdf" - }, - { - "text": "- - Prerequisites:\n - GLYPH<129> Storwize V7000 and the external storage system are connected to the same SAN fabric.", - "page_start": 411, - "page_end": 411, - "source_file": "sg247938.pdf" - }, - { - "text": "\n\n## Implementing the IBM Storwize V7000 with IBM Spectrum Virtualize V8.2.1\n\nISBN 0 7 3 845 77 79\n\nSG24 -7 938 -0 7\n\n", - "page_start": 822, - "page_end": 822, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 'Storwize V7000 performance overview' on page 740", - "page_start": 760, - "page_end": 760, - "source_file": "sg247938.pdf" - }, - { - "text": "- 4. Establish a secure connection between the client and Storwize V7000 system.", - "page_start": 777, - "page_end": 777, - "source_file": "sg247938.pdf" - } - ] - }, - { - "references": { - "source_file": "sg247938.pdf", - "query": "Is '1oijizer--10108453535318919918883384---jhjjzhiuhzrh--14584joiz///KK ' valid for a pool?", - "target_page": 218, - "target_passage": "Naming rules: When you choose a name for a pool, the following rules apply: \u0002 Names must begin with a letter. \u0002 The first character cannot be numeric. \u0002 The name can be a maximum of 63 characters. \u0002 Valid characters are uppercase letters (A - Z), lowercase letters (a - z), digits (0 - 9), underscore (_), period (.), hyphen (-), and space. \u0002 Names must not begin or end with a space. \u0002 Object names must be unique within the object type. For example, you can have a volume that is named ABC and a storage pool that is calledvolumes that are calledvolumes called ABC. \u0002 The default object name is valid (object prefix with an integer). \u0002 Objects can be renamed to their current names", - "chunk_present": { - "presence": false, - "index": null - } - }, - "top_chunk": [ - { - "text": "- /SM590000 10.5, 'Compression with standard pools' on page 427", - "page_start": 424, - "page_end": 424, - "source_file": "sg247938.pdf" - }, - { - "text": "user\\_public\\_key = \"ssh-rsa\n\nAAAAB3NzaC1yc2EAAAABIwAAAQEA09+YMqJ8VHX3HC7qy6HSxs3JjTGKbEgK+CExpf811uxsq+uJYbfXEKH19/NCf/U vpkozJBDDXDIxJ4uqOEBWDG4mUuu5U9a4lXgb6qaPYyXwVTygL/IcB0poSGEQQaJzhB05g71uZrya++sG1xHUjSQAQz hDuKrs4Bc3gcN4184UR+BX1pVgCls3NRn9hLrfLWS37M/kn+b/n6VMYYVpHsZ2XVydAn2nwuzktaEuWYaY/1cNd4xuu yVu08GQOon6t5KQ1EZBheADdSsyamulLqW9z4j6Y1wwDe4GPDc5zIW++ASDAZB0eEfbKGDLVdpFsI5YV8nLV1r/T0Y/ FiFZqQ== Bogdan Savu;IBMROO45771;IBMROZZ014E826;J;\"\n\ndns1 = \"192.168.11.210\" # DNS server 1\n\ndns\\_domain = \"domain.example.com\"\n\n# DNS Domain Name\n\n## #Network configuration\n\n#---------------------------------\n\nnet1\\_name = \"net\\_ocp\\_cluster1\" # Network Name\n\nnet1\\_vlan\\_id = \"1\" # VLAN ID\n\nnet1\\_subnet = \"192.168.11.0/21\"\n\n# Network/Mask\n\nnet1\\_gateway = \"192.168.11.1\"\n\n# Gateway\n\nnet1\\_start = \"192.168.11.223\"\n\n# First IP from Pool\n\nnet1\\_end = \"192.168.11.223\"\n\n# Last IP from Pool\n\n## #VM1 configuration (OCP - Master Nodes)\n\n#---------------------------------\n\nvm1\\_number = \"1\" # Number of VMs\n\nvm1\\_memory = \"32\" # Memory GB\n\nvm1\\_cpu = \"8\" # Virtual CPU\n\nvm1\\_vcpu\\_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores)\n\nvm1\\_name = \"bsocp\" # Hostname prefix\n\nvm1\\_first\\_ip = \"192.168.11.223\"\n\n# Fist IP from a consecutive pool of IPs\n\nvm1\\_image\\_name = \"xiv\\_p9\\_image\\_rhel76\" # The image name\n\nvm1\\_remote\\_restart = \"true\" # Enable Auto Remote Restart\n\nvm1\\_storage\\_name = \"xiv\\_StoragePool\" # Storage Template\n\nvm1\\_dockerdisk1 = \"0\" # Docker disk size in GB for ephemeral storage\n\n## #VM2 configuration (OCP - Infra Nodes)\n\n#---------------------------------\n\nvm2\\_number = \"0\" # Number of VMs\n\nvm2\\_memory = \"16\" # Memory GB\n\nvm2\\_cpu = \"4\" # Virtual CPU\n\nvm2\\_vcpu\\_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores)\n\nvm2\\_name = \"infnode\" # Hostname prefix\n\nvm2\\_first\\_ip = \"192.168.11.205\"\n\n# Fist IP from a consecutive pool of IPs\n\nvm2\\_image\\_name = \"xiv\\_p9\\_image\\_rhel76\" # The image name\n\nvm2\\_remote\\_restart = \"true\" # Enable Auto Remote Restart\n\nvm2\\_storage\\_name = \"xiv\\_StoragePool\" # Storage Template\n\nvm2\\_dockerdisk1 = \"68\" # Docker disk size in GB for ephemeral storage\n\n#VM3 configuration (OCP - Workers(App) Nodes)\n\n#---------------------------------\n\nvm3\\_number = \"0\" # Number of VMs\n\nvm3\\_memory = \"32\" # Memory GB\n\nvm3\\_cpu = \"4\" # Virtual CPU\n\nvm3\\_vcpu\\_ratio = \"4\" # vCPU RATIO 1:4 1 vCPU = 0.25 eCPU (cores)\n\nvm3\\_name = \"appnode\" # Hostname prefix\n\nvm3\\_first\\_ip = \"192.168.11.208\"\n\n# Fist IP from a consecutive pool of IPs\n\nvm3\\_image\\_name = \"xiv\\_p9\\_image\\_rhel76\" # The image name\n\nvm3\\_remote\\_restart = \"false\" # Disable Auto Remote Restart\n\nvm3\\_storage\\_name = \"xiv\\_StoragePool\" # Storage Template\n\nvm3\\_dockerdisk1 = \"34\" # Docker disk size in GB for ephemeral storage\n\n#VM4 configuration (OCP - Load Balancer Node)\n\n#---------------------------------\n\nvm4\\_number = \"0\" # Number of VMs", - "page_start": 130, - "page_end": 130, - "source_file": "sg248459.pdf" - }, - { - "text": "| 11 500507680122A288 500507680100A288 4 1 1 010A02 yes yes scsi | |\n| 12 500507680124A288 500507680100A288 4 1 1 010A01 yes yes nvme | |\n| 49 500507680C110009 500507680C000009 1 2 2 010500 no no scsi | |\n| 50 500507680C150009 500507680C000009 1 2 2 010502 yes yes scsi | |\n| 51 500507680C190009 500507680C000009 1 2 2 010501 yes yes nvme | |", - "page_start": 343, - "page_end": 343, - "source_file": "sg247938.pdf" - }, - { - "text": "- /SM590000 Pools (software encryption)", - "page_start": 628, - "page_end": 628, - "source_file": "sg247938.pdf" - }, - { - "text": "| 54 500507680C1A0009 500507680C000009 2 2 2 010402 yes yes nvme |\n| 55 500507680C130009 500507680C000009 3 2 2 010900 yes no scsi |\n| 56 500507680C170009 500507680C000009 3 2 2 010902 yes yes scsi |\n| 57 500507680C1B0009 500507680C000009 3 2 2 010901 yes yes nvme |\n| 58 500507680C140009 500507680C000009 4 2 2 010900 yes no scsi |\n| 59 500507680C180009 500507680C000009 4 2 2 010901 yes yes scsi |\n| 60 500507680C1C0009 500507680C000009 4 2 2 010902 yes yes nvme IBM\\_2145:ITSO-V7000:superuser> |", - "page_start": 346, - "page_end": 346, - "source_file": "sg247938.pdf" - }, - { - "text": "| 11 500507680122A288 500507680100A288 4 1 000000 no yes scsi | |\n| 12 500507680124A288 500507680100A288 4 1 000000 no yes nvme | |\n| 49 500507680C110009 500507680C000009 1 2 2 010500 yes no scsi | |\n| 50 500507680C150009 500507680C000009 1 2 000000 no yes scsi | |\n| 51 500507680C190009 500507680C000009 1 2 000000 no yes nvme | |\n| 52 500507680C120009 500507680C000009 2 2 2 010400 yes no scsi | |\n| 53 500507680C160009 500507680C000009 2 2 000000 no yes scsi | |\n| 54 500507680C1A0009 500507680C000009 2 2 000000 no yes nvme | |\n| 55 500507680C130009 500507680C000009 3 2 2 010900 yes no scsi | |\n| 56 500507680C170009 500507680C000009 3 2 000000 no yes scsi | |", - "page_start": 345, - "page_end": 345, - "source_file": "sg247938.pdf" - }, - { - "text": "```\n3,THIN\\_PROVISION\\_VOL\\_1,0,io\\_grp0,online,0,Pool0,100.00GB,striped,,,,,6005076400F58004980000 0000000005,0,1,empty,1,no,0,0,Pool0,no,yes,3,THIN\\_PROVISION\\_VOL\\_1, 6,MIRRORED\\_SYNC\\_RATE\\_16,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000 0000000008,0,1,empty,0,no,0,0,Pool0,no,yes,6,MIRRORED\\_SYNC\\_RATE\\_16, 7,THIN\\_PROVISION\\_MIRRORED\\_VOL,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004 9800000000000009,0,1,empty,1,no,0,0,Pool0,no,yes,7,THIN\\_PROVISION\\_MIRRORED\\_VOL, 8,Tiger,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F580049800000000000010,0,1,e mpty,0,no,0,0,Pool0,no,yes,8,Tiger, 9,UNCOMPRESSED\\_VOL,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000 00011,0,1,empty,0,no,1,0,Pool0,no,yes,9,UNCOMPRESSED\\_VOL, 12,vdisk0\\_restore,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F58004980000000000 000E,0,1,empty,0,no,0,0,Pool0,no,yes,12,vdisk0\\_restore, 13,vdisk0\\_restore1,0,io\\_grp0,online,0,Pool0,10.00GB,striped,,,,,6005076400F5800498000000000 0000F,0,1,empty,0,no,0,0,Pool0,no,yes,13,vdisk0\\_restore1,\n```\n\n## 7.8.22 Listing storage pools in which a volume has its extents\n\nUse the lsvdisk command to show to which storage pool a specific volume belongs, as shown in Example 7-36.\n\nExample 7-36 The lsvdisk command: Storage pool ID and name\n\n```\nIBM\\_Storwize:ITSO:superuser>lsvdisk 0 id 0 name A\\_MIRRORED\\_VOL\\_1 IO\\_group\\_id 0 IO\\_group\\_name io\\_grp0 status online mdisk\\_grp\\_id 0 mdisk\\_grp\\_name Pool0 capacity 10.00GB type striped formatted yes formatting no mdisk\\_id mdisk\\_name FC\\_id FC\\_name RC\\_id RC\\_name vdisk\\_UID 6005076400F580049800000000000002 preferred\\_node\\_id 2 fast\\_write\\_state empty cache readwrite udid 4660 fc\\_map\\_count 0 sync\\_rate 50 copy\\_count 1 se\\_copy\\_count 0 File system mirror\\_write\\_priority latency RC\\_change no compressed\\_copy\\_count 0 access\\_IO\\_group\\_count 1 last\\_access\\_time parent\\_mdisk\\_grp\\_id 0 parent\\_mdisk\\_grp\\_name Pool0 owner\\_type none owner\\_id\n```", - "page_start": 333, - "page_end": 333, - "source_file": "sg247938.pdf" - }, - { - "text": "| 52 500507680C120009 500507680C000009 2 2 2 010400 no no scsi |\n|--------------------------------------------------------------------------------------------------------------------------|\n| 53 500507680C160009 500507680C000009 2 2 2 010401 yes yes scsi |\n| 54 500507680C1A0009 500507680C000009 2 2 2 010402 yes yes nvme |\n| 55 500507680C130009 500507680C000009 3 2 2 010900 no no scsi |\n| 56 500507680C170009 500507680C000009 3 2 2 010902 yes yes scsi |\n| 57 500507680C1B0009 500507680C000009 3 2 2 010901 yes yes nvme |\n| 58 500507680C140009 500507680C000009 4 2 2 010900 no no scsi |\n| 59 500507680C180009 500507680C000009 4 2 2 010901 yes yes scsi |\n| 60 500507680C1C0009 500507680C000009 4 2 2 010902 yes yes nvme |\n\n - 4. NPIV enablement can be verified by checking the fctargetportmode field, as shown in Example 8-4.\n\nExample 8-4 NPIV enablement verification\n\n```\nIBM\\_Storwize:ITSO-V7000:superuser>lsiogrp 0 id 0 name io\\_grp0 node\\_count 2 vdisk\\_count 2 host\\_count 2 flash\\_copy\\_total\\_memory 20.0MB flash\\_copy\\_free\\_memory 20.0MB remote\\_copy\\_total\\_memory 20.0MB remote\\_copy\\_free\\_memory 20.0MB mirroring\\_total\\_memory 20.0MB mirroring\\_free\\_memory 20.0MB raid\\_total\\_memory 40.0MB raid\\_free\\_memory 38.8MB maintenance no compression\\_active yes accessible\\_vdisk\\_count 2 compression\\_supported yes max\\_enclosures 10 encryption\\_supported no flash\\_copy\\_maximum\\_memory 552.0MB site\\_id site\\_name fctargetportmode enabled compression\\_total\\_memory 2047.9MB\n```\n\nYou can now configure your zones for hosts by using the primary host attach ports (virtual WWPNs) of the Storwize V7000 ports, as shown in bold in the output of Example 8-3 on page 322.\n\n## 8.3.3 Enabling NPIV on an existing system\n\nWhen IBM Spectrum Virtualize systems that are running code earlier than V7.7.1 are upgraded to V7.7.1 or later, the NPIV feature is not turned on by default because it might require changes to host-side zoning.", - "page_start": 344, - "page_end": 344, - "source_file": "sg247938.pdf" - }, - { - "text": "| 57 500507680C1B0009 500507680C000009 3 2 000000 no yes nvme | |\n| 58 500507680C140009 500507680C000009 4 2 2 010900 yes no scsi | |\n| 59 500507680C180009 500507680C000009 4 2 000000 no yes scsi | |\n| 60 500507680C1C0009 500507680C000009 4 2 000000 no yes nvme | |", - "page_start": 345, - "page_end": 345, - "source_file": "sg247938.pdf" - }, - { - "text": "| * - message text * 00320000 | |\n| * Output: None * 00340000 | |\n| * * 00350000 | * * 00350000 |\n| * NORMAL: R15 = return code from WTO * 00380000 | |\n| * * 00390000 * Exits: Return to caller via BR 14 * 00400000 | |\n| * * 00410000 | * * 00410000 |\n| * External References: * 00420000 * * 00430000 | |\n| lr r12,r15 00620000 | |", - "page_start": 278, - "page_end": 278, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to start a company that automates kitchen tasks, does that sound like a good idea for 2025?", - "target_page": 1, - "target_passage": "Smart home automation Smart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nTechnology & Cybersecurity\n\nEditor's Picks Finance - Personal Home - Interior\n\n\n\n## The top AI-powered tech trends in 2025\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n## AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors - also known as the brain of the computer - which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n## Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and nutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n## Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n## Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com\n\nWord Count: 346\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n\n\n\n\n\n\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "\n\n\n\nMENU\n\n\n\n\n\nRADIO\n\n\n\n\n\n## EDITOR'S PICKS\n\n\n\nHave your say! Complete our 2025 Media Survey\n\n\n\n\n\nRetrain your way to a new job\n\n\n\nThe top AI-powered tech trends in 2025\n\nNews Canada and L'édition Nouvelles are either registered trademarks or trademarks of News Canada Inc. All rights reserved.\n\n\n\n\n\n\n\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "on the Company's ATM network. In addition, the Company continues to invest in the on-going development of products that were re c e n t l y i n t roduced to the market. The Company's re s e a rch and development costs incurred for computer products to be sold, leased or otherw i s e marketed increased to $6.7 million for the year ended December 31, 2000 from $3.2 million for the year ended December 31, 1999. Of this total f i g u re, $1.0 million and $322,000 were capitalized, as at December 31, 2000 and 1999, re s p e c t i v e l y, in conjunction with the Company's accounting policy requiring the capitalization of development costs on a product by product basis once technological feasibility is established. Technological feasibility of computer software products is established when the Company has completed all planning, designing, coding, and testing activities that are necessary to establish that the product can be produced to meet its design specifications including functions, feature s , and technical perf o rmance re q u i rements.\n\nOperating Loss The Software Solutions Segment incurred an operating loss of $21.5 million for the year ended December 31, 2000 and $7.1 million for the year ended December 31, 1999 as a result of the factors discussed above\n\n## Corporate Services Segment\n\nOperating Expenses Operating expenses for the Corporate Services Segment increased to $7.9 million for the year ended December 31, 2000 f rom $6.8 million for the year ended December 31, 1999. The components of corporate services operating costs for the years ended December 31, 2000 and 1999 were:\n\n| (in thousands) | Years ending December 31, | Years ending December 31, |\n|-----------------------------------------|-----------------------------|-----------------------------|\n| | 2 0 0 0 | 1 9 9 9 |\n| Salaries and benefits | $ 3 , 8 1 3 | $ 3 , 3 3 5 |\n| Selling, general and administrative | 3 , 8 4 1 | 3 , 2 7 0 |\n| D e p reciation and amort i z a t i o n | 2 0 8 | 1 4 5 |\n| Total direct operating expenses | $ 7 , 8 6 2 | $ 6 , 7 5 0 |\n\nThe Company's expansion of its network infrastru c t u re, and increases in corporate and administrative capabilities are the primary reasons for these i n c reased expenditures.\n\n## Non-Operating Results for the Years Ended December 31, 2000 and 1999\n\nInterest Income I n t e rest income decreased to $1.1 million for the year ended December 31, 2000 from $2.0 million for the year ended December 31, 1999 and from $2.5 million for the year ended December 31, 1998. The decrease is the result of the decrease in investment securities and cash as a result of negative cash flow from operations and capital expenditure s .\n\nInterest Expense I n t e rest expense decreased to $10.8 million for the year ended December 31, 2000 from $10.9 million for the year ended December 31, 1999 and increased from $7.8 million for the year ended December 31, 1998. The decrease from 1999 to 2000 is due to exchange rate diff e rences as the majority of the debt is denominated in Deutsche Mark. The increase from 1998 to 1999 is the result of accretion of the C o m p a n y 's Notes Payable for a full year in 1999 in comparison to 6 months' accretion in 1998.", - "page_start": 20, - "page_end": 20, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "- /SM590000 Incremental: Yes", - "page_start": 489, - "page_end": 489, - "source_file": "sg247938.pdf" - }, - { - "text": "outside the company: the U.S. economy, interest rates, oil prices and competitive actions. Incentives and aggressive discounting are both disturbing the marketplace. We've reached a level where this is actually confusing customers about the amount of discount that is available in the market. These are all things that we can't directly control.\n\nLooking longer term over the period of NISSAN ValueUp, I think it's fair to say that we will return to double-digit growth, because we're going to have some terrific new products that will allow us to enter new segments. The product will drive growth, but it would be a mistake to discount the increasing strength of brand recognition. We've spent roughly a billion dollars in upgrading Nissan dealer facilities up to 2004. This will continue to some degree in 2005 and 2006, while we've begun the same process for Infiniti. People see exciting change happening at Nissan and Infiniti.\n\nOver the long term, one minor risk for us is that we can no longer catch people by surprise. That was exciting, but that period is gone, which represents a challenge for us. As we come off a year with more than 20 percent growth, the media often ask me why we're not going to be in double digits again this year, as if that were the normal thing for us. The more successful you get, the harder it is to deliver\n\n\n\nALTIMA\n\n\n\nQUEST\n\nINFINITI M45\n\nsome of the eye-popping numbers that we have in the past. The reality is, of course, that we're even stronger, but we must keep up the momentum.\n\nThe U.S. market will continue to be strong, but the competition will be even tougher. There may be some separation between those companies that approach the market the right way, and those that are struggling to find their place. I consider Nissan very definitely one of the former. We have a direction and a strategy, and we have confidence that we can successfully implement the strategy. If we stay focused, we will succeed.\n\nIt's important that we do. The North American market, and the U.S. in particular, is generally a large contributor to any foreign manufacturer's operations. It's a big and very dynamic market, and that spells good news for Nissan. Our growth, and our strength, is in the very areas where the U.S. market is growing. We're higher than average in the Sunbelt states, whose growth in the coming years will simply magnify ours. We score very well among young people, a group that is becoming increasingly important. We also rate highly among the rapidly growing Hispanic population and the African-American population. Everything is lining up for us-Nissan has the opportunity to pull away from other players.'\n\n", - "page_start": 64, - "page_end": 64, - "source_file": "OTC_NSANY_2004.pdf" - }, - { - "text": "- /SM590000 Appropriate for your current workload in terms of the following items:\n - - Performance\n - - Reliability", - "page_start": 318, - "page_end": 318, - "source_file": "sg246915.pdf" - }, - { - "text": "## References\n\n - 1. Russell & Norvig (2021), pp. 1-4.\n - 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n - 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". Business Horizons . 62 : 15-25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n - 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32-33, 1020-1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n - 5. Russell & Norvig (2021, §1.2).\n - 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111-136), NRC (1999, pp. 200-201) The proposal: McCarthy et al. (1955)\n - 7. Successful programs of the 1960s: McCorduck (2004, pp. 243-252), Crevier (1993, pp. 52107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19-21)\n - 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426-441), Crevier (1993, pp. 161-162, 197-203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210-211), Newquist (1994, pp. 235-248)\n - 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115-117), Russell & Norvig (2021, pp. 21-22), NRC (1999, pp. 212-213), Howe (1994), Newquist (1994, pp. 189-201)\n - 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430-435), Crevier (1993, pp. 209-210), NRC (1999, pp. 214-216), Newquist (1994, pp. 301-318)\n - 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n - 12. Toews (2023).\n - 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3-5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7-12)\n - 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12-18), Poole, Mackworth & Goebel (1998, pp. 345-395), Luger & Stubblefield (2004, pp. 333-381), Nilsson (1998, chpt. 7-12)\n - 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n - 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n - 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23-46, 69-81, 169-233, 235-277, 281-298, 319345), Luger & Stubblefield (2004, pp. 227-243), Nilsson (1998, chpt. 17.1-17.4, 18)\n - 18. Smoliar & Zhang (1994).\n - 19. Neumann & Möller (2008).\n - 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Yudkowsky, E (2008), \"Artificial Intelligence as a Positive and Negative Factor in Global Risk\" (h ttp://intelligence.org/files/AIPosNegFactor.pdf) (PDF), Global Catastrophic Risks , Oxford University Press, 2008, Bibcode:2008gcr..book..303Y (https://ui.adsabs.harvard.edu/abs/20 08gcr..book..303Y), archived (https://web.archive.org/web/20131019182403/http://intelligenc e.org/files/AIPosNegFactor.pdf) (PDF) from the original on 19 October 2013, retrieved 24 September 2021\n\n## Further reading\n\nAutor, David H., \"Why Are There Still So Many Jobs? The History and Future of Workplace Automation\" (2015) 29(3) Journal of Economic Perspectives 3.\n\nBerlinski, David (2000). The Advent of the Algorithm (https://archive.org/details/adventofalgorith 0000berl). Harcourt Books. ISBN 978-0-1560-1391-8. OCLC 46890682 (https://search.world cat.org/oclc/46890682). Archived (https://web.archive.org/web/20200726215744/https://arch ive.org/details/adventofalgorith0000berl) from the original on 26 July 2020. Retrieved 22 August 2020.\n\n - Boyle, James, The Line: AI and the Future of Personhood (https://direct.mit.edu/books/book/585 9/The-LineAI-and-the-Future-of-Personhood), MIT Press, 2024.\n - Cukier, Kenneth, \"Ready for Robots? How to Think about the Future of AI\", Foreign Affairs , vol. 98, no. 4 (July/August 2019), pp. 192-198. George Dyson, historian of computing, writes (in what might be called \"Dyson's Law\") that \"Any system simple enough to be understandable will not be complicated enough to behave intelligently, while any system complicated enough to behave intelligently will be too complicated to understand.\" (p. 197.) Computer scientist Alex Pentland writes: \"Current AI machine-learning algorithms are, at their core, dead simple stupid. They work, but they work by brute force.\" (p. 198.)\n - Evans, Woody (2015). \"Posthuman Rights: Dimensions of Transhuman Worlds\" (https://doi.org/ 10.5209%2Frev\\_TK.2015.v12.n2.49072). Teknokultura . 12 (2). doi:10.5209/rev\\_TK.2015.v12.n2.49072 (https://doi.org/10.5209%2Frev\\_TK.2015.v12.n2.49 072). S2CID 147612763 (https://api.semanticscholar.org/CorpusID:147612763).\n - Frank, Michael (22 September 2023). \"US Leadership in Artificial Intelligence Can Shape the 21st Century Global Order\" (https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli gence-can-shape-the-21st-century-global-order). The Diplomat . Archived (https://web.archiv e.org/web/20240916014433/https://thediplomat.com/2023/09/us-leadership-in-artificial-intelli gence-can-shape-the-21st-century-global-order/) from the original on 16 September 2024. Retrieved 8 December 2023. \"Instead, the United States has developed a new area of dominance that the rest of the world views with a mixture of awe, envy, and resentment: artificial intelligence... From AI models and research to cloud computing and venture capital, U.S. companies, universities, and research labs - and their affiliates in allied countries appear to have an enormous lead in both developing cutting-edge AI and commercializing it. The value of U.S. venture capital investments in AI start-ups exceeds that of the rest of the world combined.\"\n\nGertner, Jon. (2023) \"Wikipedia's Moment of Truth: Can the online encyclopedia help teach A.I. chatbots to get their facts right - without destroying itself in the process?\" New York Times Magazine (July 18, 2023) online (https://www.nytimes.com/2023/07/18/magazine/wikipediaai-chatgpt.html) Archived (https://web.archive.org/web/20230720125400/https://www.nytime s.com/2023/07/18/magazine/wikipedia-ai-chatgpt.html) 20 July 2023 at the Wayback Machine", - "page_start": 66, - "page_end": 66, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## 'In 2000 we took great pride in Euronet's Fast 500 ranking by Deloitte & Touche as the second fastest growing technology company in North America.'\n\nDuring 2000, we failed to meet our revenue target for our software division. In the Fourth Quarter, we initiated the steps necessary to rightsize our software business and to bring costs in line with ongoing revenue expectations. However, owning this software division gives us control of software development. It also provides the expertise and\n\nflexibility to adapt to emerging transaction needs and to bring new payment solutions quickly to market, which enhances our outsourcing opportunities. The software business is very valuable to Euronet and completes our service offering. We expect it to be a\n\n\n\nTouche as the second fastest growing technology company in North America based on our five-year revenue growth of 66,790%.\n\nWe're continuing to build on our recurring revenue stream through transaction channels that reinforce our strengths as an electronic payments processor.\n\n\n\npositive contributor to our bottom line going forward.\n\nSince founding Euronet in 1994, we've worked hard to establish the company as a leader in the field of secure electronic financial transactions and to grow our presence worldwide. So in 2000 we took great pride in Euronet being ranked by Deloitte &\n\n\n\n\n\nMichael J. Brown Chairman & CEO\n\nDaniel R. Henry\n\nChief Operating Officer\n\nToday, we're expanding the reach of our ATM networks, delivering innovative new mobile operator services and tapping the promise of mobile commerce with an expanding suite of wireless solutions. Based on this strong foundation,\n\nour future has more potential than ever before.\n\nWe're excited about the possibilities ahead as we continue to form the digital bridges that will position Euronet Worldwide as a global leader in secure electronic financial transactions.", - "page_start": 3, - "page_end": 3, - "source_file": "NASDAQ_EEFT_2000.pdf" - }, - { - "text": "- - Availability\n - - Scalability\n - /SM590000 Support for your future growth requirements if the following actions are necessary:", - "page_start": 318, - "page_end": 318, - "source_file": "sg246915.pdf" - } - ] - }, - { - "references": { - "source_file": "news4.pdf", - "query": "I want to help my parents who are in residential care, are there any trendy AI-related devices I could help them with? ", - "target_page": 1, - "target_passage": "Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nTechnology & Cybersecurity\n\nEditor's Picks Finance - Personal Home - Interior\n\n\n\n## The top AI-powered tech trends in 2025\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n## AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors - also known as the brain of the computer - which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n## Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and nutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n## Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n## Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com\n\nWord Count: 346\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n\n\n\n\n\n\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "models are prone to generating falsehoods called \"hallucinations\", although this can be reduced with RLHF and quality data. They are used in chatbots, which allow people to ask a question or request a task in simple text. [122][123]\n\nCurrent models and services include Gemini (formerly Bard), ChatGPT, Grok, Claude, Copilot, and LLaMA. [124] Multimodal GPT models can process different types of data (modalities) such as images, videos, sound, and text. [125]\n\n## Hardware and software\n\nIn the late 2010s, graphics processing units (GPUs) that were increasingly designed with AI-specific enhancements and used with specialized TensorFlow software had replaced previously used central processing unit (CPUs) as the dominant means for large-scale (commercial and academic) machine learning models' training. [126] Specialized programming languages such as Prolog were used in early AI research, [127] but general-purpose programming languages like Python have become predominant. [128]\n\nThe transistor density in integrated circuits has been observed to roughly double every 18 months-a trend known as Moore's law, named after the Intel co-founder Gordon Moore, who first identified it. Improvements in GPUs have been even faster. [129]\n\n## Applications\n\nAI and machine learning technology is used in most of the essential applications of the 2020s, including: search engines (such as Google Search), targeting online advertisements, recommendation systems (offered by Netflix, YouTube or Amazon), driving internet traffic, targeted advertising (AdSense, Facebook), virtual assistants (such as Siri or Alexa), autonomous vehicles (including drones, ADAS and self-driving cars), automatic language translation (Microsoft Translator, Google Translate), facial recognition (Apple's Face ID or Microsoft's DeepFace and Google's FaceNet) and image labeling (used by Facebook, Apple's iPhoto and TikTok). The deployment of AI may be overseen by a Chief automation officer (CAO).\n\n## Health and medicine\n\nThe application of AI in medicine and medical research has the potential to increase patient care and quality of life. [130] Through the lens of the Hippocratic Oath, medical professionals are ethically compelled to use AI, if applications can more accurately diagnose and treat patients. [131][132]\n\nFor medical research, AI is an important tool for processing and integrating big data. This is particularly important for organoid and tissue engineering development which use microscopy imaging as a key technique in fabrication. [133] It has been suggested that AI can overcome discrepancies in funding allocated to different fields of research. [133] New AI tools can deepen the understanding of biomedically relevant pathways. For example, AlphaFold 2 (2021) demonstrated the ability to approximate, in hours rather than months, the 3D structure of a protein. [134] In 2023, it was reported that AI-guided drug discovery helped find a class of antibiotics capable of killing two different types of drug-resistant bacteria. [135] In 2024, researchers used machine learning to accelerate the search for Parkinson's disease", - "page_start": 8, - "page_end": 8, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## References\n\n - 1. Russell & Norvig (2021), pp. 1-4.\n - 2. AI set to exceed human brain power (http://www.cnn.com/2006/TECH/science/07/24/ai.bostr om/) Archived (https://web.archive.org/web/20080219001624/http://www.cnn.com/2006/TEC H/science/07/24/ai.bostrom/) 2008-02-19 at the Wayback Machine CNN.com (July 26, 2006)\n - 3. Kaplan, Andreas; Haenlein, Michael (2019). \"Siri, Siri, in my hand: Who's the fairest in the land? On the interpretations, illustrations, and implications of artificial intelligence\". Business Horizons . 62 : 15-25. doi:10.1016/j.bushor.2018.08.004 (https://doi.org/10.1016%2Fj.bushor. 2018.08.004). ISSN 0007-6813 (https://search.worldcat.org/issn/0007-6813). S2CID 158433736 (https://api.semanticscholar.org/CorpusID:158433736).\n - 4. Artificial general intelligence: Russell & Norvig (2021, pp. 32-33, 1020-1021) Proposal for the modern version: Pennachin & Goertzel (2007) Warnings of overspecialization in AI from leading researchers: Nilsson (1995), McCarthy (2007), Beal & Winston (2009)\n - 5. Russell & Norvig (2021, §1.2).\n - 6. Dartmouth workshop: Russell & Norvig (2021, p. 18), McCorduck (2004, pp. 111-136), NRC (1999, pp. 200-201) The proposal: McCarthy et al. (1955)\n - 7. Successful programs of the 1960s: McCorduck (2004, pp. 243-252), Crevier (1993, pp. 52107), Moravec (1988, p. 9), Russell & Norvig (2021, pp. 19-21)\n - 8. Funding initiatives in the early 1980s: Fifth Generation Project (Japan), Alvey (UK), Microelectronics and Computer Technology Corporation (US), Strategic Computing Initiative (US): McCorduck (2004, pp. 426-441), Crevier (1993, pp. 161-162, 197-203, 211, 240), Russell & Norvig (2021, p. 23), NRC (1999, pp. 210-211), Newquist (1994, pp. 235-248)\n - 9. First AI Winter, Lighthill report, Mansfield Amendment: Crevier (1993, pp. 115-117), Russell & Norvig (2021, pp. 21-22), NRC (1999, pp. 212-213), Howe (1994), Newquist (1994, pp. 189-201)\n - 10. Second AI Winter: Russell & Norvig (2021, p. 24), McCorduck (2004, pp. 430-435), Crevier (1993, pp. 209-210), NRC (1999, pp. 214-216), Newquist (1994, pp. 301-318)\n - 11. Deep learning revolution, AlexNet: Goldman (2022), Russell & Norvig (2021, p. 26), McKinsey (2018)\n - 12. Toews (2023).\n - 13. Problem-solving, puzzle solving, game playing, and deduction: Russell & Norvig (2021, chpt. 3-5), Russell & Norvig (2021, chpt. 6) (constraint satisfaction), Poole, Mackworth & Goebel (1998, chpt. 2, 3, 7, 9), Luger & Stubblefield (2004, chpt. 3, 4, 6, 8), Nilsson (1998, chpt. 7-12)\n - 14. Uncertain reasoning: Russell & Norvig (2021, chpt. 12-18), Poole, Mackworth & Goebel (1998, pp. 345-395), Luger & Stubblefield (2004, pp. 333-381), Nilsson (1998, chpt. 7-12)\n - 15. Intractability and efficiency and the combinatorial explosion: Russell & Norvig (2021, p. 21)\n - 16. Psychological evidence of the prevalence of sub-symbolic reasoning and knowledge: Kahneman (2011), Dreyfus & Dreyfus (1986), Wason & Shapiro (1966), Kahneman, Slovic & Tversky (1982)\n - 17. Knowledge representation and knowledge engineering: Russell & Norvig (2021, chpt. 10), Poole, Mackworth & Goebel (1998, pp. 23-46, 69-81, 169-233, 235-277, 281-298, 319345), Luger & Stubblefield (2004, pp. 227-243), Nilsson (1998, chpt. 17.1-17.4, 18)\n - 18. Smoliar & Zhang (1994).\n - 19. Neumann & Möller (2008).\n - 20. Kuperman, Reichley & Bailey (2006).", - "page_start": 30, - "page_end": 30, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 138. Figueiredo, Mayara Costa; Ankrah, Elizabeth; Powell, Jacquelyn E.; Epstein, Daniel A.; Chen, Yunan (12 January 2024). \"Powered by AI: Examining How AI Descriptions Influence Perceptions of Fertility Tracking Applications\" (https://dl.acm.org/doi/10.1145/3631414). Proc. ACM Interact. Mob. Wearable Ubiquitous Technol . 7 (4): 154:1-154:24. doi:10.1145/3631414 (https://doi.org/10.1145%2F3631414).", - "page_start": 35, - "page_end": 35, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- Newell, Allen; Simon, H. A. (1976). \"Computer Science as Empirical Inquiry: Symbols and Search\" (https://doi.org/10.1145%2F360018.360022). Communications of the ACM . 19 (3): 113-126. doi:10.1145/360018.360022 (https://doi.org/10.1145%2F360018.360022).\n - Nicas, Jack (7 February 2018). \"How YouTube Drives People to the Internet's Darkest Corners\" (https://www.wsj.com/articles/how-youtube-drives-viewers-to-the-internets-darkest-corners-1 518020478). The Wall Street Journal . 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Berlin, Heidelberg: Springer. pp. 1-30. doi:10.1007/978-3-540-68677-4\\_1 (https://doi.org/10.1007%2F978-3-54 0-68677-4\\_1). ISBN 978-3-5402-3733-4.\n - Pinker, Steven (2007) [1994], The Language Instinct , Perennial Modern Classics, Harper, ISBN 978-0-0613-3646-1\n - Poria, Soujanya; Cambria, Erik; Bajpai, Rajiv; Hussain, Amir (September 2017). \"A review of affective computing: From unimodal analysis to multimodal fusion\" (http://researchrepository. napier.ac.uk/Output/1792429). Information Fusion . 37 : 98-125. doi:10.1016/j.inffus.2017.02.003 (https://doi.org/10.1016%2Fj.inffus.2017.02.003). hdl:1893/25490 (https://hdl.handle.net/1893%2F25490). S2CID 205433041 (https://api.sem anticscholar.org/CorpusID:205433041). Archived (https://web.archive.org/web/20230323165 407/https://www.napier.ac.uk/research-and-innovation/research-search/outputs/a-review-ofaffective-computing-from-unimodal-analysis-to-multimodal-fusion) from the original on 23 March 2023. 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All rights reserved.\n\n\n\n\n\n\n\nEN", - "page_start": 1, - "page_end": 1, - "source_file": "news4.pdf" - }, - { - "text": "\n\n## ISSUE\n\nDecember 2024\n\n## CATEGORIES\n\nTechnology & Cybersecurity\n\nEditor's Picks Finance - Personal Home - Interior\n\n\n\n## The top AI-powered tech trends in 2025\n\n\n\n(NC) As we look ahead to 2025, artificial intelligence (AI) continues to revolutionize our lives. From enhancing our daily routines to transforming entire industries, AI's impact is undeniable.\n\nThese five innovations are set to shape our future, offering unprecedented convenience, efficiency and personalization.\n\n## AI-powered computing\n\nAI-powered computing, such as Intel-powered laptops - or AI PC - is at the forefront of technological advancement. But what, exactly, is an AI PC? They're computers that have AI built into their processors - also known as the brain of the computer - which optimizes performance, enhances security and provides a more personalized experience as they learn from your usage patterns. For consumers, this means faster, smarter and more secure computing tailored to your individual needs.\n\n## Smart home automation\n\nSmart home automation has been around for a while, but AI is taking it to the next level. Imagine a home that not only follows your commands, but also anticipates your needs. Enhanced smart home systems can learn your daily routines and adjust settings accordingly, from lighting and temperature to security and entertainment, making your home smarter and more responsive than ever before.\n\n## Health and wellness\n\nThe health-care industry is seeing significant transformation. AI-driven health and wellness applications can monitor vital signs, predict potential health issues, and even provide personalized fitness and nutrition plans. Wearable devices equipped with this technology can offer real-time health insights, helping individuals make informed decisions about their well-being.\n\n## Financial services\n\nAI is also making waves in the financial sector, offering smarter and more secure ways to manage money. From AI-driven investment platforms that provide personalized financial advice to fraud detection systems that protect against cyber threats, AI can analyze vast amounts of data to identify trends and make more informed financial decisions.\n\n## Enhanced education\n\nIn education, enhanced learning tools provide personalized learning experiences that adapt to each student's strengths and weaknesses. This technology can offer real-time feedback, helping students improve their skills more effectively. Additionally, AI can assist educators by automating administrative tasks and providing insights into student performance, allowing for more focused and effective teaching.\n\nLearn more at intel.com/aipc.\n\nwww.newscanada.com\n\nWord Count: 346\n\n\n\n\n\n\n\n\n\nRADIO\n\n\n\n\n\n\n\n\n\nEN", - "page_start": 0, - "page_end": 0, - "source_file": "news4.pdf" - }, - { - "text": "- Vincent, James (3 April 2023). \"AI is entering an era of corporate control\" (https://www.theverge. com/23667752/ai-progress-2023-report-stanford-corporate-control). The Verge . Archived (ht tps://web.archive.org/web/20230619005803/https://www.theverge.com/23667752/ai-progres s-2023-report-stanford-corporate-control) from the original on 19 June 2023. Retrieved 19 June 2023.", - "page_start": 64, - "page_end": 64, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## INDUSTRY TRENDS\n\nThe telecommunications industry in Canada, and our business segments, is affected by several overarching trends.\n\n## CHANGING TECHNOLOGIES AND CONSUMER DEMANDS\n\nConsumer demand for mobile devices, digital media and on-demand content across platforms is pushing providers to build networks that can provide more data faster, cheaper and more easily. Increased adoption of smartphones and double digit growth in our data revenue continued this year, reflecting expanded use of applications, mobile video, messaging and other wireless data.\n\n## COMPETITION\n\nCompetition in wireless from national and regional operators as well as smaller new entrants changes how we compete for wireless services. This puts downward pressure on pricing affecting profit margins and impacts customer churn.\n\nTraditional wireline telephone and television services are now offered over the Internet, opening the door to more non-traditional competitors, and changing how traditional providers compete. This is changing the mix of packages and pricing that service providers offer, affecting profit margins and customer churn.\n\n## WIRELE SS TREND S\n\nMore sophisticated wireless networks, devices and applications are making it easier and faster to receive data, driving growth in wireless data services.\n\nWireless providers are investing in the next generation of broadband wireless data networks, such as LTE, to support the growing data demand.\n\nWireless market penetration in Canada is approximately 80 % of the population, and is expected to grow at an estimated 2 % annually.\n\nThe new CRTC code of conduct has limited wireless term contracts to two years from three years. Although the code of conduct has only been in place for a month, we believe this is currently reducing churn and slowing growth in the wireless marketplace.\n\n## CABLE TREND S\n\nYounger generations are increasingly using the Internet and social media as a substitute for traditional wireline telephone services, and televised content is increasingly available online, both on wireline and on wireless devices.\n\nWe face new competition from companies like Skype and Vonage, who market Voice over Internet Protocol (VoIP) telephony services, and Netflix and Apple TV, who provide televised content over the Internet.\n\nNorth American cable companies are improving their cable networks and expanding their service offerings to include Internet, digital cable and VoIP telephony services, while competition from telco IPTV deployments and non-facilities based service providers continues to cause pricing pressures which negatively impacts revenue growth.\n\nIn the media industry, there continues to be a shift towards on-line media consumption by consumers which in turn drives advertisers to spend more on-line versus traditional media. In addition, there are more media competitors as additional on-line media companies enter the market, including large global companies.\n\n## REGULATION\n\nMost areas of our business are highly regulated, which affects who we compete with, the programming we can offer, where and how we use our networks, how we build our businesses and the spectrum we purchase. The telecommunications industry is being affected by more regulation and more reviews of the current regulations.\n\n## ECONOMIC CONDITIONS\n\nOur businesses are affected by general economic conditions and consumer confidence and spending, especially in our Media segment, where advertising revenue is directly affected by the economy.\n\n## BU S INE SS S OLUTION S TREND S\n\nCompanies are using fibre-based access and cloud computing to capture and share information in more volume and detail. This, combined with the rise of multimedia and Internet-based applications, is driving exponential growth in data demand.", - "page_start": 34, - "page_end": 34, - "source_file": "NYSE_RCI_2013.pdf" - }, - { - "text": "- 265. Cellan-Jones (2014).\n - 266. Russell & Norvig 2021, p. 1001.\n - 267. Bostrom (2014).\n - 268. Russell (2019).\n - 269. Bostrom (2014); Müller & Bostrom (2014); Bostrom (2015).\n - 270. Harari (2023).\n - 271. Müller & Bostrom (2014).\n - 272. Leaders' concerns about the existential risks of AI around 2015: Rawlinson (2015), Holley (2015), Gibbs (2014), Sainato (2015)\n - 273. \" \"Godfather of artificial intelligence\" talks impact and potential of new AI\" (https://www.cbsne ws.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai). CBS News . 25 March 2023. Archived (https://web.archive.org/web/20230328225221/https://www. cbsnews.com/video/godfather-of-artificial-intelligence-talks-impact-and-potential-of-new-ai) from the original on 28 March 2023. Retrieved 28 March 2023.\n - 274. Pittis, Don (4 May 2023). \"Canadian artificial intelligence leader Geoffrey Hinton piles on fears of computer takeover\" (https://www.cbc.ca/news/business/ai-doom-column-don-pittis1.6829302). CBC . Archived (https://web.archive.org/web/20240707032135/https://www.cbc. ca/news/business/ai-doom-column-don-pittis-1.6829302) from the original on 7 July 2024. Retrieved 5 October 2024.\n - 275. \" '50-50 chance' that AI outsmarts humanity, Geoffrey Hinton says\" (https://www.bnnbloomb erg.ca/50-50-chance-that-ai-outsmarts-humanity-geoffrey-hinton-says-1.2085394). Bloomberg BNN . 14 June 2024. Retrieved 6 July 2024.\n - 276. Valance (2023).\n - 277. Taylor, Josh (7 May 2023). \"Rise of artificial intelligence is inevitable but should not be feared, 'father of AI' says\" (https://www.theguardian.com/technology/2023/may/07/rise-of-arti ficial-intelligence-is-inevitable-but-should-not-be-feared-father-of-ai-says). The Guardian . Archived (https://web.archive.org/web/20231023061228/https://www.theguardian.com/techn ology/2023/may/07/rise-of-artificial-intelligence-is-inevitable-but-should-not-be-feared-fatherof-ai-says) from the original on 23 October 2023. Retrieved 26 May 2023.\n - 278. Colton, Emma (7 May 2023). \" 'Father of AI' says tech fears misplaced: 'You cannot stop it' \" (https://www.foxnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-can not-stop). Fox News . Archived (https://web.archive.org/web/20230526162642/https://www.fo xnews.com/tech/father-ai-jurgen-schmidhuber-says-tech-fears-misplaced-cannot-stop) from the original on 26 May 2023. Retrieved 26 May 2023.\n - 279. Jones, Hessie (23 May 2023). \"Juergen Schmidhuber, Renowned 'Father Of Modern AI,' Says His Life's Work Won't Lead To Dystopia\" (https://www.forbes.com/sites/hessiejones/20 23/05/23/juergen-schmidhuber-renowned-father-of-modern-ai-says-his-lifes-work-wont-leadto-dystopia). Forbes . Archived (https://web.archive.org/web/20230526163102/https://www.fo rbes.com/sites/hessiejones/2023/05/23/juergen-schmidhuber-renowned-father-of-modern-ai -says-his-lifes-work-wont-lead-to-dystopia/) from the original on 26 May 2023. Retrieved 26 May 2023.\n - 280. McMorrow, Ryan (19 December 2023). \"Andrew Ng: 'Do we think the world is better off with more or less intelligence?' \" (https://www.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f93 52be3). Financial Times . Archived (https://web.archive.org/web/20240125014121/https://ww w.ft.com/content/2dc07f9e-d2a9-4d98-b746-b051f9352be3) from the original on 25 January 2024. Retrieved 30 December 2023.\n - 281. Levy, Steven (22 December 2023). \"How Not to Be Stupid About AI, With Yann LeCun\" (http s://www.wired.com/story/artificial-intelligence-meta-yann-lecun-interview). Wired . Archived (h ttps://web.archive.org/web/20231228152443/https://www.wired.com/story/artificial-intelligenc e-meta-yann-lecun-interview/) from the original on 28 December 2023. Retrieved 30 December 2023.", - "page_start": 44, - "page_end": 44, - "source_file": "wikipedia3.pdf" - }, - { - "text": "- 160. Alex McFarland: 7 Best AI for Math Tools. (https://www.unite.ai/best-ai-for-math-tools/) Archived (https://web.archive.org/web/20240911125615/https://www.unite.ai/best-ai-for-mat h-tools/) 11 September 2024 at the Wayback Machine unite.ai. Retrieved 2024-08-07\n - 161. Matthew Finio & Amanda Downie: IBM Think 2024 Primer, \"What is Artificial Intelligence (AI) in Finance?\" 8 Dec. 2023\n - 162. M. Nicolas, J. Firzli: Pensions Age/European Pensions magazine, \"Artificial Intelligence: Ask the Industry\" May June 2024 https://videovoice.org/ai-in-finance-innovationentrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligence-act-wont-work-asintended/ Archived (https://web.archive.org/web/20240911125502/https://videovoice.org/ai-i n-finance-innovation-entrepreneurship-vs-over-regulation-with-the-eus-artificial-intelligenceact-wont-work-as-intended/) 11 September 2024 at the Wayback Machine.\n - 163. Congressional Research Service (2019). Artificial Intelligence and National Security (https://f as.org/sgp/crs/natsec/R45178.pdf) (PDF). Washington, DC: Congressional Research Service.PD-notice\n - 164. Slyusar, Vadym (2019). Artificial intelligence as the basis of future control networks (Preprint). doi:10.13140/RG.2.2.30247.50087 (https://doi.org/10.13140%2FRG.2.2.30247.5 0087).\n - 165. Iraqi, Amjad (3 April 2024). \" 'Lavender': The AI machine directing Israel's bombing spree in Gaza\" (https://www.972mag.com/lavender-ai-israeli-army-gaza/). +972 Magazine . Retrieved 6 April 2024.\n - 166. Davies, Harry; McKernan, Bethan; Sabbagh, Dan (1 December 2023). \" 'The Gospel': how Israel uses AI to select bombing targets in Gaza\" (https://www.theguardian.com/world/2023/ dec/01/the-gospel-how-israel-uses-ai-to-select-bombing-targets). The Guardian . Retrieved 4 December 2023.\n - 167. Marti, J Werner (10 August 2024). \"Drohnen haben den Krieg in der Ukraine revolutioniert, doch sie sind empfindlich auf Störsender - deshalb sollen sie jetzt autonom operieren\" (http s://www.nzz.ch/international/die-ukraine-setzt-auf-drohnen-die-autonom-navigieren-und-toet en-koennen-ld.1838731). Neue Zürcher Zeitung (in German). Retrieved 10 August 2024.\n - 168. Newsom, Gavin; Weber, Shirley N. (6 September 2023). \"Executive Order N-12-23\" (https:// www.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-\\_-GGN-Signed.pdf) (PDF). Executive Department, State of California. Archived (https://web.archive.org/web/202402212 22035/https://www.gov.ca.gov/wp-content/uploads/2023/09/AI-EO-No.12-\\_-GGN-Signed.pd f) (PDF) from the original on 21 February 2024. Retrieved 7 September 2023.\n - 169. Pinaya, Walter H. L.; Graham, Mark S.; Kerfoot, Eric; Tudosiu, Petru-Daniel; Dafflon, Jessica; Fernandez, Virginia; Sanchez, Pedro; Wolleb, Julia; da Costa, Pedro F.; Patel, Ashay (2023). \"Generative AI for Medical Imaging: extending the MONAI Framework\". arXiv:2307.15208 (https://arxiv.org/abs/2307.15208) [eess.IV (https://arxiv.org/archive/eess.I V)].\n - 170. Griffith, Erin; Metz, Cade (27 January 2023). \"Anthropic Said to Be Closing In on $300 Million in New A.I. Funding\" (https://www.nytimes.com/2023/01/27/technology/anthropic-ai-fu nding.html). The New York Times . Archived (https://web.archive.org/web/20231209074235/h ttps://www.nytimes.com/2023/01/27/technology/anthropic-ai-funding.html) from the original on 9 December 2023. Retrieved 14 March 2023.\n - 171. Lanxon, Nate; Bass, Dina; Davalos, Jackie (10 March 2023). \"A Cheat Sheet to AI Buzzwords and Their Meanings\" (https://news.bloomberglaw.com/tech-and-telecom-law/a-c heat-sheet-to-ai-buzzwords-and-their-meanings-quicktake). Bloomberg News . Archived (http s://web.archive.org/web/20231117140835/https://news.bloomberglaw.com/tech-and-telecom -law/a-cheat-sheet-to-ai-buzzwords-and-their-meanings-quicktake) from the original on 17 November 2023. Retrieved 14 March 2023.", - "page_start": 38, - "page_end": 38, - "source_file": "wikipedia3.pdf" - }, - { - "text": "Up to this point, most of AI's funding had gone to projects that used high-level symbols to represent mental objects like plans, goals, beliefs, and known facts. In the 1980s, some researchers began to doubt that this approach would be able to imitate all the processes of human cognition, especially perception, robotics, learning and pattern recognition, [335] and began to look into \"sub-symbolic\" approaches. [336] Rodney Brooks rejected \"representation\" in general and focussed directly on engineering machines that move and survive. [x] Judea Pearl, Lofti Zadeh, and others developed methods that handled incomplete and uncertain information by making reasonable guesses rather than precise logic. [86][341] But the most important development was the revival of \"connectionism\", including neural network research, by Geoffrey Hinton and others. [342] In 1990, Yann LeCun successfully showed that convolutional neural networks can recognize handwritten digits, the first of many successful applications of neural networks. [343]\n\nAI gradually restored its reputation in the late 1990s and early 21st century by exploiting formal mathematical methods and by finding specific solutions to specific problems. This \"narrow\" and \"formal\" focus allowed researchers to produce verifiable results and collaborate with other fields (such as statistics, economics and mathematics). [344] By 2000, solutions developed by AI researchers were being widely used, although in the 1990s they were rarely described as \"artificial intelligence\" (a tendency known as the AI effect). [345] However, several academic researchers became concerned that AI was no longer pursuing its original goal of creating versatile, fully intelligent machines. Beginning around 2002, they founded the subfield of artificial general intelligence (or \"AGI\"), which had several well-funded institutions by the 2010s. [4]\n\nDeep learning began to dominate industry benchmarks in 2012 and was adopted throughout the field. [11] For many specific tasks, other methods were abandoned. [y] Deep learning's success was based on both hardware improvements (faster computers, [347] graphics processing units, cloud computing [348] ) and access to large amounts of data [349] (including curated datasets, [348] such as ImageNet). Deep learning's success led to an enormous increase in interest and funding in AI. [z] The amount of machine learning research (measured by total publications) increased by 50% in the years 2015-2019. [306]\n\nIn 2016, issues of fairness and the misuse of technology were catapulted into center stage at machine learning conferences, publications vastly increased, funding became available, and many researchers refocussed their careers on these issues. The alignment problem became a serious field of academic study. [283]\n\nIn the late teens and early 2020s, AGI companies began to deliver programs that created enormous interest. In 2015, AlphaGo, developed by DeepMind, beat the world champion Go player. The program taught only the game's rules and developed a strategy by itself. GPT-3 is a large language model that was released in 2020 by OpenAI and is capable of generating high-quality human-like text. [350] ChatGPT, launched on November 30, 2022, became the fastest-growing consumer software application in history, gaining over 100 million users in two months. [351] It marked what is widely regarded as AI's breakout year, bringing it into the public consciousness. [352] These programs, and others, inspired an aggressive AI boom, where large companies began investing billions of dollars in AI research. 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Metz, Cade (5 July 2023). \"In the Age of A.I., Tech's Little Guys Need Big Friends\" (https://w ww.nytimes.com/2023/07/05/business/artificial-intelligence-power-data-centers.html). The New York Times . Archived (https://web.archive.org/web/20240708214644/https://www.nytim es.com/2023/07/05/business/artificial-intelligence-power-data-centers.html) from the original on 8 July 2024. Retrieved 5 October 2024.\n - 203. \"Electricity 2024 - Analysis\" (https://www.iea.org/reports/electricity-2024). IEA . 24 January 2024. Retrieved 13 July 2024.\n - 204. Calvert, Brian (28 March 2024). \"AI already uses as much energy as a small country. It's only the beginning\" (https://www.vox.com/climate/2024/3/28/24111721/ai-uses-a-lot-of-ener gy-experts-expect-it-to-double-in-just-a-few-years). Vox . New York, New York. Archived (http s://web.archive.org/web/20240703080555/https://www.vox.com/climate/2024/3/28/2411172 1/ai-uses-a-lot-of-energy-experts-expect-it-to-double-in-just-a-few-years) from the original on 3 July 2024. Retrieved 5 October 2024.\n - 205. Halper, Evan; O'Donovan, Caroline (21 June 2024). \"AI is exhausting the power grid. Tech firms are seeking a miracle solution\" (https://www.washingtonpost.com/business/2024/06/2 1/artificial-intelligence-nuclear-fusion-climate/?utm\\_campaign=wp\\_post\\_most&utm\\_medium =email&utm\\_source=newsletter&wpisrc=nl\\_most&carta-url=https%3A%2F%2Fs2.washingto npost.com%2Fcar-ln-tr%2F3e0d678%2F6675a2d2c2c05472dd9ec0f4%2F596c09009bbc0f 20865036e7%2F12%2F52%2F6675a2d2c2c05472dd9ec0f4). Washington Post .\n - 206. Davenport, Carly. \"AI Data Centers and the Coming YS Power Demand Surge\" (https://web. archive.org/web/20240726080428/https://www.goldmansachs.com/intelligence/pages/gs-res earch/generational-growth-ai-data-centers-and-the-coming-us-power-surge/report.pdf) (PDF). Goldman Sachs . Archived from the original (https://www.goldmansachs.com/intellige nce/pages/gs-research/generational-growth-ai-data-centers-and-the-coming-us-power-surg e/report.pdf) (PDF) on 26 July 2024. Retrieved 5 October 2024.\n - 207. Ryan, Carol (12 April 2024). \"Energy-Guzzling AI Is Also the Future of Energy Savings\" (http s://www.wsj.com/business/energy-oil/ai-data-centers-energy-savings-d602296e). Wall Street Journal . Dow Jones.\n - 208. Hiller, Jennifer (1 July 2024). \"Tech Industry Wants to Lock Up Nuclear Power for AI\" (https:// www.wsj.com/business/energy-oil/tech-industry-wants-to-lock-up-nuclear-power-for-ai-6cb7 5316?mod=djem10point). Wall Street Journal . Dow Jones. Archived (https://web.archive.or g/web/20241005165650/https://www.wsj.com/business/energy-oil/tech-industry-wants-to-loc k-up-nuclear-power-for-ai-6cb75316?mod=djem10point) from the original on 5 October 2024. Retrieved 5 October 2024.\n - 209. Kendall, Tyler (28 September 2024). \"Nvidia's Huang Says Nuclear Power an Option to Feed Data Centers\" (https://www.bloomberg.com/news/articles/2024-09-27/nvidia-s-huang-s ays-nuclear-power-an-option-to-feed-data-centers). Bloomberg .", - "page_start": 41, - "page_end": 41, - "source_file": "wikipedia3.pdf" - }, - { - "text": "## management's Discussion and analysis\n\nDollar amounts are in thousands of Canadian dollars (except as noted)\n\nthe following table sets out the maturity dates and average interest rates of mortgage and vendor debt, and percentage of apartment mortgages that are CMHC insured by year of maturity:\n\n| | apartments | apartments | apartments | mHcs | mHcs | Total | Total |\n|-------------------|-----------------------------|----------------------------|-----------------|-----------------------------|--------------------------|-----------------------------|---------------------------|\n| Year of maturity | Balance December 31, 2013 | Weighted avg int rate % | % cmHc insured | Balance December 31, 2013 | Weighted avg int rate % | Balance December 31, 2013 | Weighted Avg Int. Rate % |\n| 2014 | 127,719 | 4.50 | 56.4 | 13,666 | 5.63 | 141,385 (1) | 4.61 |\n| 2015 | 90,345 | 4.47 | 68.8 | 4,238 | 5.19 | 94,583 | 4.50 |\n| 2016 | 108,072 | 4.28 | 50.7 | 3,286 | 5.09 | 111,358 | 4.30 |\n| 2017 | 27,386 | 3.21 | 100.0 | 18,082 | 4.64 | 45,468 | 3.78 |\n| 2018 | 83,158 | 3.66 | 47.7 | 13,462 | 4.34 | 96,620 | 3.76 |\n| 2019 | 53,366 | 3.52 | 100.0 | - | - | 53,366 | 3.52 |\n| 2020 | 19,871 | 4.09 | 100.0 | - | - | 19,871 | 4.09 |\n| 2021 | 23,736 | 3.79 | 88.8 | - | - | 23,736 | 3.79 |\n| 2022 | 24,529 | 3.16 | 100.0 | - | - | 24,529 | 3.16 |\n| Thereafter | 95,364 | 3.48 | 100.0 | - | - | 95,364 | 3.48 |\n| | $653,546 | 3.98 | 72.0 | $52,735 | 4.89 | $706,281 | 4.05 |\n\nAs at December 31, 2013, approximately 72% of the Company's apartment mortgages were CMHC insured (67% of all mortgages as MHC properties are not eligible for CMHC insurance) (December 31, 2012 - 61% and 53%). The weighted average interest rate on the CMHC insured mortgages was 3.67% as at December 31, 2013 (December 31, 2012- 3.98%).", - "page_start": 53, - "page_end": 53, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## Towards a Books Data Commons for AI Training\n\n\n\n\n\nApril 2024\n\n\n\n\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "creative_common_ai.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Is there any chance that my cousin has been granted financial aid from Chesapeak Energy? He's studying at a college in Oklahoma.", - "target_page": 26, - "target_passage": "hat’s why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "\n\nRig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.\n\nI am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable. There appears to be growing recognition that it is spectacularly dangerous for America to continue importing 9 million barrels of oil per day and exporting\n\nmore than $1 billion per day in national wealth to oil exporting countries.\n\nAmerica's undiminished appetite for foreign oil has created the largest wealth transfer in the history of the world. The political leadership in Washington, D.C., has not seemed overly concerned about this issue until recently. However, after President Obama's recent speech calling\n\n - (1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling and net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to corporate acquisitions) by total proved reserve additions excluding price-related revisions.\n - (2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated in accordance with generally accepted accounting principles.\n - · Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage ment believes affect the comparability of operating results.\n - · Operating cash flow is cash provided by operating activities before changes in assets and liabilities.\n - · Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management believes affect the comparability of operating results.\n - (3) FORTUNE 100 Best Companies to Work For ® listed in the magazine's February 7, 2011 issue.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Did you enjoy reading this book?\n\nJoin our online social community and share your opinion:\n\nwww.facebook.com/oxbridgeacademysa twitter.com/oxbridgeEdu www.linkedin.com/company/oxbridge-academy\n\nOxbridge Academy is an established distance learning college offer -ing skills courses, national qualifications, and internationally recognised courses to students in South Africa and abroad.\n\nWith our head office in Stellenbosch in the Western Cape, we cater to our students' needs by recruiting industry-expert tutors to provide academic assistance via telephone and e-mail, as well as by designing our study material in such a way that it is clear, simple, and easy for our students to understand.\n\nWith us, studying from home is easy, affordable, and convenient.\n\n## CONTACT NUMBERS:\n\nTel: 021 1100 200 Tel:+2721 883 2454 (international) Fax: 086 111 2121\n\nFax: +2721 883 2378 (international)\n\nWhatsapp: 0605671585 Email: info@oxbridgeacademy.co.za\n\nPostal Address:\n\nPO Box 12723, Die Boord, Stellenbosch, 7613\n\n\n\n\n\n\n\n\n\n\n\n\n\nWe are registered with the Department of Higher Education and Training as a Private College in terms of Section 31(6)(a) of the Continuing Education and Training Act, 2006 (Act No. 16 of 2006). Registration No. 2009/FE07/070.", - "page_start": 58, - "page_end": 58, - "source_file": "basic-english-language-skills.PDF" - }, - { - "text": "We also hire locally whenever possible to help stimulate the local economy, and we provide training when the local work force isn't yet qualified for the jobs we have open. For example, when Chesapeake began operating in the Marcellus Shale of West Virginia and Pennsylvania, finding experienced rig workers was a challenge. To meet that need, Chesapeake's wholly owned subsidiary, Nomac Drilling, built the 40,000-square-foot Eastern Training Center and Housing Facility in Bradford County, near Sayre, Pennsylvania. The campus opened in 2010 and serves as a housing facility and training ground for 266 workers at a time. Nomac and Chesapeake host regular job fairs in the region and the lines of interested candidates often extend out the door.\n\n## Educational Impact\n\nWe are also proud to help prepare tomorrow's leaders today. In 2010 Chesapeake supported universities, schools, academic chairs, scholarships and other educational programs with contributions totaling $5.4 million.\n\nInvesting in programs that promote technology and innovation is a key to our country's success. That's why we gave $1.0 million to establish the Chesapeake Energy dormitory for students at the Oklahoma School for Science and Mathematics (OSSM), a public, tuition-free, residential high school located in Oklahoma City for juniors and seniors with exceptional abilities. The extremely competitive school is helping train the next generation of scientists and mathematicians.\n\nWe also established the Chesapeake Energy Presidential Scholars Program at the Oklahoma City University Meinders School of Business, making a $5.0 million commitment to be distributed over the next five years. The Chesapeake Scholars Program will provide up to $25,000 per year in tuition", - "page_start": 25, - "page_end": 25, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## H. Weldon Holcombe\n\nDirector, BS in Civil Engineering\n\n## Experience\n\nWeldon has been a Director since December 2012. Mr. Holcombe has over 30 years of onshore and offshore U.S. oil and gas industry experience, including technology, reservoir engineering, drilling and completions, production operations, construction, field development and optimization, Health, Safety and Environmental ('HSE'), and management of office, field and contract personnel. Most recently, Mr. Holcombe served as the Executive Vice President, Mid Continental Region, for Petrohawk Energy Corporation from 2006 until its acquisition by BHP Billiton in 2011, after which Mr. Holcombe served as Vice President of New Technology Development for BHP Billiton. In his capacity as Executive Vice President for Petrohawk Energy Corporation, Mr. Holcombe managed development of leading unconventional resource plays, including the Haynesville, Fayetteville and Permian areas. In addition, Mr. Holcombe served as President of Big Hawk LLC, a subsidiary of Petrohawk Energy Corporation, a provider of basic oil and gas construction, logistics and rental services. Mr. Holcombe also served as corporate HSE officer for Petrohawk and joint chairperson of the steering committee that managed construction and operation of a gathering system in Petrohawk's Haynesville field with one billion cubic feet of natural gas of production per day. Prior to Petrohawk, Mr. Holcombe served in a variety of senior level management, operations and engineering roles for KCS Energy and Exxon. Mr. Holcombe holds a Bachelor of Science degree in civil engineering from the University of Auburn.\n\n## Interest in Shares :\n\n596,700 Ordinary Shares in Sundance Energy Australia Limited\n\n## Special Responsibilities:\n\n - -Chairman of the Reserves Committee\n\n-Member of the Remuneration and Nominations Committee\n\n## Other Directorships :\n\nNil\n\n## Meetings of Directors\n\nThe table below shows the number of meetings held during each Director's tenure and the attendance by each Director and respective members of the Committees. In addition to the formal meetings held and noted below, a number of informal meetings were also held.", - "page_start": 26, - "page_end": 26, - "source_file": "ASX_SEA_2014.pdf" - }, - { - "text": "to selected students pursuing careers in finance, economics, accounting, marketing, business administration, computer science and information technology. In addition, scholars will take part in a Chesapeake Presidential Leadership Course facilitated by faculty members in coordination with designated Chesapeake leadership coaches, including a Chesapeake senior vice president and OCU alumni.\n\nIn 2007 Chesapeake launched a scholarship program in Texas with an initial $1.25 million contribution, challenging the cities of Fort Worth and Dallas to match its gift within a year. The cities responded and matched the gift, so Chesapeake in 2008 added another $1.25 million to the fund, bringing the total to $3.75 million. The Chesapeake Scholarship Fund currently funds the cost of higher education for 48 minority students. The fund provides each student $20,000 a year for up to four years at the school of their choice. To date more than $1.0 million has been distributed to deserving local students.\n\nTo help ensure the training of qualified geologists, engineers, landmen and energy lawyers in the next generation, we award scholarships to students pursuing energy-related degrees. We also help mentor them through Chesapeake's Peak Program. Junior- and senior-level scholarship recipients are paired with Chesapeake employee mentors who help develop students' knowledge and provide career advice. There are currently 25 mentors and 40 scholarship recipients participating in the Peak Program.\n\nOur recruiting team also initiated a strategic military recruitment effort during the past two years to hire former military personnel to work in a variety of leadership and crew positions. This effort earned Chesapeake an honor from G.I. JOBS magazine when we were named a 2011 Top 100 Military-Friendly Employer. Chesapeake currently employs 37 men and women who formerly served as junior military officers and more than 100 former servicemen and servicewomen who joined the company through a program called Troops 2 Roughnecks.\n\nIn addition to our specific scholarship programs, one-time educational donations and recruitment efforts, in 2010 we gave more than $1.8 million to fund higher education for nearly 400 other students in 12 states through our Chesapeake Scholars program. Chesapeake's scholarships help recruit the best and brightest students and provide educational opportunities in communities where we operate. In Oklahoma City, more than 400 employees volunteer for up to an hour a week on company time at four local public schools. Chesapeake's program has grown to become the largest corporate mentoring program in Oklahoma.\n\n## Community Impact\n\nChesapeake employees have been enriching their hometowns as volunteers for many years. We formalized those efforts in 2009 by establishing an official employee volunteer program, the H.E.L.P. (Helping Energize Local Progress) Initiative, wherein employees are invited to volunteer each month for a variety of organizations from food pantries to animal shelters. Through that program, employees donated more than 26,000 hours to their communities in 2009.\n\nIn the summer of 2010, Chesapeake took the H.E.L.P. Initiative to a higher level through the launch of Operation Blue. From Memorial Day through Labor Day, each employee was given four hours of company time to complete the volunteer project of their choice. Our employees eagerly accepted the challenge, and in three months more than 4,900 employees donated 30,900 hours of service to 519 organizations in more than 96 communities across the country. Operation Blue is now an annual\n\nvolunteer program in which employees roll up their sleeves in the communities they call home.", - "page_start": 26, - "page_end": 26, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## CORPORATE INFORMATION\n\n## Corporate Headquarters\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n## Internet Address\n\nCompany financial information, public disclo sures and other information are available through Chesapeake's website at www.chk.com.\n\n## Common Stock\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n## Common Stock Dividends\n\nDuring 2010 the company declared a cash div idend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n## Independent Public Accountants\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n## Stock Transfer Agent and Registrar\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent:\n\nComputershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225\n\nwww.computershare.com\n\n## Trustee for the Company's Senior Notes\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286\n\nwww.bnymellon.com\n\n## Forward-looking Statements\n\nThis report includes 'forward-looking statements' that give our current expectations or forecasts\n\nof future events. They include estimates of nat ural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be af fected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under 'Risk Factors' in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on for ward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclo sures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our 'total resource base.' This term includes our estimated proved reserves as well as 'risked and unrisked unproved resources,' which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Energy Generation and Storage Segment\n\n## Energy Generation and Storage Sales\n\nWe record as deferred revenue any non-refundable amounts that are collected from customers related to prepayments, which is recognized as revenue ratably over the respective customer contract term. As of September 30, 2024 and December 31, 2023, deferred revenue related to such customer payments amounted to $1.73 billion and $1.60 billion, respectively, mainly due to contractual payment terms. Revenue recognized from the deferred revenue balances as of December 31, 2023 and 2022 was $1.09 billion and $511 million for the nine months ended September 30, 2024 and 2023, respectively. As of September 30, 2024, total transaction price allocated to performance obligations that were unsatisfied or partially unsatisfied for contracts with an original expected length of more than one year was $6.61 billion. Of this amount, we expect to recognize $4.23 billion in the next 12 months and the rest over the remaining performance obligation period.\n\nWe have financing receivables on our consolidated balance sheets related to loans we provide for financing our energy products. As of September 30, 2024 and December 31, 2023, we had current net financing receivables of $32 million and $31 million, respectively, in Accounts receivable, net, and $641 million and $578 million, respectively, in Other non-current assets for the long-term portion.\n\n## Income Taxes\n\nWe are subject to income taxes in the U.S. and in many foreign jurisdictions. Significant judgment is required in determining our provision for income taxes, our deferred tax assets and liabilities and any valuation allowance recorded against our net deferred tax assets that are not more likely than not to be realized. We monitor the realizability of our deferred tax assets taking into account all relevant factors at each reporting period. In completing our assessment of realizability of our deferred tax assets, we consider our history of income (loss) measured at pre-tax income (loss) adjusted for permanent book-tax differences on a jurisdictional basis, volatility in actual earnings, excess tax benefits related to stock-based compensation in recent prior years and impacts of the timing of reversal of existing temporary differences. We also rely on our assessment of the Company's projected future results of business operations, including uncertainty in future operating results relative to historical results, volatility in the market price of our common stock and its performance over time, variable macroeconomic conditions impacting our ability to forecast future taxable income, and changes in business that may affect the existence and magnitude of future taxable income. Our valuation allowance assessment is based on our best estimate of future results considering all available information.\n\nOur provision for or benefit from income taxes for interim periods is determined using an estimate of our annual effective tax rate, adjusted for discrete items, if any, that are taken into account in the relevant period. Each quarter, we update our estimate of the annual effective tax rate, and if our estimated tax rate changes, we make a cumulative adjustment.\n\n## Net Income per Share of Common Stock Attributable to Common Stockholders\n\nThe following table presents the reconciliation of net income attributable to common stockholders to net income used in computing basic and diluted net income per share of common stock (in millions):\n\nTable of Contents", - "page_start": 15, - "page_end": 15, - "source_file": "tesla_form_10q.pdf" - }, - { - "text": "## Doing the right thing\n\nAt Killam we are investing in our communities, as well as our real estate. We believe that giving back to the community is an important part of being a responsible corporate citizen.\n\n## Supporting Killam Families with Scholarship program\n\nKillam's Scholarship Program awards three $3,000 scholarships to children or grandchildren of Killam employees on an annual basis. After a competitive application process in 2013, Bradley Price, Hayley Gillis and Georgia Telman were selected for demonstrating an outstanding combination of academic excellence and community involvement.\n\n## Home away from Home\n\nOn an annual basis, Killam donates six fully furnished apartments to hospitals in Halifax, Saint John, Moncton, Fredericton and Charlottetown. These units are used by families of patients who need to travel away from home for health care.\n\n## red Cross\n\nKillam has partnered with the Red Cross in many of its core markets. The Red Cross is on hand to help when emergencies and disasters impact communities. Over the last six years, Killam has provided the Red Cross with /financial assistance to fund their operations. In return, the Red Cross has provided emergency training to Killam sta/ff, helping us react e/ffectively to emergencies when required.\n\n## Supporting Higher education in atlantic Canada\n\nOn an annual basis, Killam's board of directors join together to support a common charity or organization. During 2013 the board members together donated $100,000 to establish an endowment at Mount Allison University in Sackville, New Brunswick, providing an annual entrance scholarship to the university. Previous $100,000 board donations supported the Boys and Girls Clubs of Prince Edward Island, the YMCA of Greater Halifax/Dartmouth and Saint Mary's University in Halifax.\n\n\n\n## Caring for Kids\n\nDuring 2013 Killam organized the Caring for Kids Lottery, a fundraiser in support of the IWK Health Centre in Halifax. The IWK Health Centre provides quality medical care to women, children, youth and families in the Maritime provinces. Killam tenants supported the cause through the purchase of lottery tickets for the chance to win free rent for a year. All funds raised went directly to the IWK Foundation.\n\n", - "page_start": 19, - "page_end": 19, - "source_file": "TSX_KMP_2013.pdf" - }, - { - "text": "## NATURAL GAS SHALE AREAS\n\n\n\n1 Barnett Shale Chesapeake is the second-largest producer of natural gas, the most active driller and the largest leasehold owner in the Core and Tier 1 sweet spots of Tarrant and Johnson counties. In January 2010, Chesapeake completed a joint venture and sold 25% of its assets in the Barnett to Total E&P USA, Inc., a wholly owned subsidiary of Paris-based Total S.A. (NYSE:TOT, FP:FP) (Total) for $2.25 billion in cash and drilling carries. During 2010 approx imately $480 million of Chesapeake's drilling and completion costs in the Barnett were paid by Total. Total will fund 60% of our share of future drilling and completion costs until an additional $970 million of our costs have been funded, which we expect to occur by year-end 2013. We anticipate using an average of approximately 18 operated rigs in 2011 to further develop our 220,000 net acres of Barnett Shale leasehold, of which 205,000 net leasehold acres are located in the prime Core and Tier 1 areas. On this acreage, we estimate we could drill up to 2,300 net wells in the years to come.\n\n\n\n2 Bossier Shale The Bossier Shale overlies about one-third of our Haynesville Shale acreage. We estimate we could drill up to 2,600 net wells on our Bossier Shale acreage in the future to develop our 205,000 net acres of Bossier Shale leasehold. Because the Bossier lies above the Haynesville, horizontal wells drilled just to the Bossier may not always hold Haynesville rights. As a result, Chesapeake and other producers are drilling aggressively to hold all rights through the Haynesville before the initial three-year term of a typical lease expires, therefore not much Bossier drilling is yet underway. However, once our leases are HBP (held by production) by Haynesville drilling, we plan to focus on developing the Bossier Shale more aggressively beginning most likely in 2013.\n\n\n\n\n\n\n\n3 Haynesville Shale In early 2008, Chesapeake announced its discovery of the Haynesville Shale, which is located in northwestern Louisiana and East Texas, a reservoir that likely will become one of the two largest natural gas fields in the U.S. (along with the Marcellus) and one of the five largest in the world. The Haynesville Shale is now the nation's largest producing shale play. We are the largest leasehold owner, largest producer and most active driller of new wells in the Haynesville Shale play. We estimate that we could drill up to 6,300 net wells on our Haynesville Shale acreage in the future and plan to utilize an average of approximately 29 operated rigs in 2011 to further develop our 530,000 net acres of Haynesville Shale leasehold. During 2011 we anticipate spending approximately $1.65 billion, or 32% of our total budget, for exploration and development activities in the Haynesville Shale. In 2011 we anticipate reducing our rig count beginning mid year as we complete drilling objectives to hold our leasehold through establishing initial production.\n\n\n\n## Marcellus Shale\n\nChesapeake is the industry's leading leasehold owner, largest producer and\n\nmost active developer in the Marcellus Shale play that spans from northern West Virginia across", - "page_start": 19, - "page_end": 19, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Together with Our Customers\n\n - We believe it is important to contribute to maintenance and protection of the natural environment and the sustainable development of regional society through our core business, hand in hand with the customer.\n\n\n\nSocial contribution and donation type-cards Credit cards\n\nThe 'Chikyuni Yasashii Card'\n\n\n\n## Cedyna issues other social contribution and donation-type credit cards\n\nIn alliance with Tezuka Productions, we In alliance with Tezuka Productions, we issue the ATOM Card, under programs issue the ATOM Card, under programs titled 'Realizing children titled 'Realizing children's dreams' and s dreams' and 'Seeking ways to build a brighter future for 'Seeking ways to build a brighter future for children.' Usage terms are similar to those children.' Usage terms are similar to those of the ATOM Card. Donations are made to of the ATOM Card. Donations are made to organizations that endorse these causes. organizations that endorse these causes. Contributions have been made, through the Contributions have been made, through the Japan National Council of Protective Care Japan National Council of Protective Care Homes for Children, to children in orphanages Homes for Children, to children in orphanages in disaster-hit areas (beneficiaries are not in disaster-hit areas (beneficiaries are not only children affected by the Great East only children affected by the Great East Japan Earthquake). Japan Earthquake).\n\nIn another aspect of our environmental In another aspect of our environmental commitment, we issue the 'Cedyna Card commitment, we issue the 'Cedyna Card\n\n\n\nAXU,' a new kind of premium credit card AXU,' a new kind of premium credit card that opens the door to a higher-quality, that opens the door to a higher-quality, more natural lifestyle. Holders of the more natural lifestyle. Holders of the 'Cedyna Card AXU,' the name of sounds 'Cedyna Card AXU,' the name of sounds like the Japanese for 'shake hands,' and like the Japanese for 'shake hands,' and refers to the links among people, between refers to the links among people, between people and society and between people people and society and between people and our planet Earth, get eco-resort and and our planet Earth, get eco-resort and environmental product updates. They can environmental product updates. They can contribute to environmental protection by contribute to environmental protection by donating to environmental protection groups donating to environmental protection groups through Cedyna, based on sums spent. through Cedyna, based on sums spent. Cedyna is helping build a more humanistic Cedyna is helping build a more humanistic and affluent global society. and affluent global society.\n\n## Cedyna's social contribution and donation type-card 'Chikyuni Yasashii Card'\n\nFiscal 2011 is the 20th anniversary of the Fiscal 2011 is the 20th anniversary of the 'Chikyuni Yasashii Card,' a social contribution 'Chikyuni Yasashii Card,' a social contribution and donation-type credit card launched by and donation-type credit card launched by Cedyna in 1991. Donations made through Cedyna in 1991. Donations made through the card totaled over ¥500 million by 2006, the card totaled over ¥500 million by 2006, and are expected to surpass ¥600 million and are expected to surpass ¥600 million in the coming fiscal year-a tribute to the in the coming fiscal year-a tribute to the generosity of cardholders. generosity of cardholders.", - "page_start": 8, - "page_end": 8, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_SMFG_2011.pdf", - "query": "Has the Sumitomo Mitsui Financial Group offered help to the elderly?", - "target_page": 6, - "target_passage": "Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycleframeworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a soundplanning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives.balance between work and care needs, given that many group employees will later need to nurse ailing relatives", - "chunk_present": { - "presence": true, - "index": 2 - } - }, - "top_chunk": [ - { - "text": "\n\nIn the past, the Sumitomo Group In the past, the Sumitomo Group programs to solve the problem of programs to solve the problem of mine, while the Mitsui Group set up mine, while the Mitsui Group set up give the poorest in society access to give the poorest in society access to corporate social responsibility corporate social responsibility philosophies of both the Sumitomo philosophies of both the Sumitomo years of their existence, we will years of their existence, we will problems facing the international problems facing the international service service operations.operations.\n\nundertook large-scale afforestation undertook large-scale afforestation pollution around the Besshi copper pollution around the Besshi copper the Mitsui Memorial Hospital to the Mitsui Memorial Hospital to basic medical care. Based on this basic medical care. Based on this DNA embedded in the business DNA embedded in the business and Mitsui groups over the 400 and Mitsui groups over the 400 continue to play our part in solving continue to play our part in solving community through our financial community through our financial", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Today, Tomorrow and Beyond\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\n\n\nKoichi Miyata\n\nFirst, I would like to extend our deepest sympathies and heartfelt First, I would like to extend our deepest sympathies and heartfelt condolences to all those who have suffered and condolences to all those who have suffered and to the families and friends of those who tragically lost their lives in to the families and friends of those who tragically lost their lives in the devastating earthquake and tsunami the devastating earthquake and tsunami that struck northeastern Japan on March 11, 2011. We pray for the that struck northeastern Japan on March 11, 2011. We pray for the early recovery of the affected people and areas.early recovery of the affected people and areas. SMFG is dedicated to seamlessly responding to clients' needs by SMFG is dedicated to seamlessly responding to clients' needs by leveraging our group-wide capabilities, leveraging our group-wide capabilities, offering optimal products and services, and ensuring that every offering optimal products and services, and ensuring that every employee and the overall group are capable of employee and the overall group are capable of responding to the challenges of globalization. I believe that responding to the challenges of globalization. I believe that through these measures, through these measures, we will contribute to the growth and development of our clients we will contribute to the growth and development of our clients and society, and ourselves grow in partnership with them.and society, and ourselves grow in partnership with them. Through our basic policy of becoming 'a globally competitive Through our basic policy of becoming 'a globally competitive financial services group financial services group with the highest trust of our clients, society and other stakeholders' with the highest trust of our clients, society and other stakeholders' by maximizing our core strengths of by maximizing our core strengths of 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we 'Spirit of Innovation,' 'Speed' and 'Solution & Execution,' we will continue to stay ahead of the times, will continue to stay ahead of the times, no matter how challenging, and actively adapt to changes in our no matter how challenging, and actively adapt to changes in our business environment.business environment.\n\n## INDEX\n\n| Foreword | 1 |\n|------------------------------------------------------------------------------|-------|\n| Commitment from the Top | 3 |\n| A Conversation with Tadao Ando, | |\n| Takeshi Kunibe and Koichi Miyata | |\n| What can we do now to spur the | |\n| reconstruction and revitalization of Japan, and help resolve global issues? | |\n| Measures to Support Reconstruction after the March 11 | |\n| Earthquake and Tsunami | 8 |\n| Together with Our Customers Together with Our Shareholders and Markets | 13 17 |\n| Together with Our Employees | 19 |\n| Environmental Activities | 21 |\n| Social Contribution Activities | 25 |", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "As one of Japa As one of Japan's leading financial services groups, s leading financial services groups, the SMFG Group is taking the lead in aggressively addressing the four priority issues the SMFG Group is taking the lead in aggressively addressing the four priority issues we have identified as significantly impacting the nation. we have identified as significantly impacting the nation.\n\n## Ensuring peace of mind for the future\n\n## Shrinking and aging population\n\nCurrently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create Currently, the proportion of people aged 65 or over in Japan has reached 23.4%*. SMFG will help create frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle frameworks enabling the elderly to enjoy a vibrant lifestyle with peace of mind, through support for life-cycle planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound planning and other measures. The SMFG Group aims to create systems and a corporate culture that foster a sound balance between work and care needs, given that many group employees will later need to nurse ailing relatives. balance between work and care needs, given that many group employees will later need to nurse ailing relatives.\n\n*Estimates by the Statistics Bureau, Ministry of Internal Affairs and Communications (October 1, 2011)\n\n## Further measures needed\n\n - ● Support businesses involved in health, medical and Support businesses involved in health, medical and nursing care nursing care\n - ● Expand range of financial products and services for the Expand range of financial products and services for the elderly (planning for asset management for old age) elderly (planning for asset management for old age)\n - ● Foster a better work-life balance Foster a better work-life balance\n\n\n\nSymbiosis and diversity\n\n## Global challenges\n\nIn anticipation of further global expansion, the SMFG Group is aggressively internationalizing its In anticipation of further global expansion, the SMFG Group is aggressively internationalizing its operations both in Japan and overseas. Initiatives include aggressive development of advisory operations both in Japan and overseas. Initiatives include aggressive development of advisory services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, services for infrastructure upgrades in emerging economies, a cross-departmental endeavor, as well as contributions to the international community and the environmental business, chiefly as well as contributions to the international community and the environmental business, chiefly through branches and representative offices overseas. through branches and representative offices overseas.\n\nWe will continue to discuss and review various approaches to issues facing the international We will continue to discuss and review various approaches to issues facing the international community so as to build up trust internationally as a global player. community so as to build up trust internationally as a global player.\n\n\n\n## Further measures needed\n\n - ● Share expertise in corporate social responsibility Share expertise in corporate social responsibility with the international community with the international community\n - ● Improve financial services in preparation for the Improve financial services in preparation for the globalization of operations in Japan (multilingual globalization of operations in Japan (multilingual support) support)\n - ● Promote diversity Promote diversity\n\n", - "page_start": 5, - "page_end": 5, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Commitment from the Top\n\nA Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata\n\n## What can we do now to spur the reconstruction and revitalization of Japan, and help resolve global issues?\n\nUplifting the nation's spirits Uplifting the nation's spirits\n\nJapan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) Japan is now facing a wide variety of problems, ranging from the reconstruction of the Tohoku region (the northeastern region of Japan) after the March 11 earthquake and tsunami ('the Great East Japan Earthquake') to a shrinking and aging population, with falling birth rates after the March 11 earthquake and tsunami ('the Great East Japan Earthquake') to a shrinking and aging population, with falling birth rates and increasing numbers of the aged. and increasing numbers of the aged.\n\nWe must now find ways for people to coexist in harmony with nature, based on a global perspective. We must now find ways for people to coexist in harmony with nature, based on a global perspective.\n\nSumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society Sumitomo Mitsui Financial Group (SMFG) invited the world-famous architect Tadao Ando to join in a conversation on the issues facing society and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group. and the ways in which SMFG and its Group companies can bring their expertise to bear as a financial services group.\n\n\n\n## Tadao Ando\n\nArchitect. Professor Emeritus at the University of Tokyo, Representative and Vice-chairman of the Great East Japan Earthquake Reconstruction Design Council. Awarded the Order of Cultural Merit in 2010.\n\nOur measures to support reconstruction after the disastrous earthquake and tsunami Uplifting the nation's spirits\n\n̶ ̶ SMFG has the following priorities in its SMFG has the following priorities in its corporate social responsibility program: corporate social responsibility program: Reconstruction after the earthquake Reconstruction after the earthquake and tsunami, environmental measures, and tsunami, environmental measures, addressing the shrinking and aging addressing the shrinking and aging population, and global challenges. population, and global challenges. -\n\nKunibe : : Japan is facing a difficult period J a p a n i s f a c i ng a d i f f icu lt period with limited prospects for economic growth with limited prospects for economic growth due to a shrinking, aging population and due to a shrinking, aging population and a mature economy. Against this backdrop, a mature economy. Against this backdrop, the country was hit by the unprecedented the country was hit by the unprecedented catastrophe of the Great East Japan catastrophe of the Great East Japan Earthquake. We must face up to the new Earthquake. We must face up to the new challenges arising from this disaster. challenges arising from this disaster.\n\nI believe the time has come for us to I believe the time has come for us to reconsider what we can do in our capacity reconsider what we can do in our capacity as a financial institution to address a variety as a financial institution to address a variety of issues, including the four priorities. of issues, including the four priorities. Today I hope we can discuss not only the road Today I hope we can discuss not only the road to reconstruction after the disaster, but also to reconstruction after the disaster, but also\n\nways to uplift the nation's spirits. ways to uplift the nation's spirits.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Miyata : : When I think about what the W hen I think about what the SMFG Group can do, through its core SMFG Group can do, through its core financial operations, to help a society that financial operations, to help a society that is living longer with a falling birthrate, is living longer with a falling birthrate, I think we can help people plan for the I think we can help people plan for the future, help them put a certain amount f uture, help them put a certain amount aside for later. If this kind of service works aside for later. If this kind of service works well in Japan, I think we might be able to well in Japan, I think we might be able to help China and Thailand too, where the help China and Thailand too, where the same problem - a shrinking, aging same problem - a shrinking, aging population - is population - is brewing. brewing.\n\nFinancial services: A strong helping hand for environmental businesses leads to sustainable development based on Japanese technologies\n\n## - What are the key issues with regard to - What are the key issues with regard to environment protection, and living in environment protection, and living in harmony with nature? harmony with nature? -\n\nAndo : Environmental issues are also : Environmental issues are also important. This is a global issue. People important. This is a global issue. People living around the world should link hands living around the world should link hands and find new ways of safeguarding the and find new ways of safeguarding the environment. We need to secure stable environment. We need to secure stable supplies of energy while protecting the supplies of energy while protecting the environment. With resources, energy and environment. With resources, energy and food supplies dwindling around the world, food supplies dwindling around the world, Japan could fill quite a lot of the gaps Japan could fill quite a lot of the gaps through its world-class energy-saving t h rough its world-class energy-saving technologies, from air-conditioning to technologies, from air-conditioning to refrigeration. I think people are going to refrigeration. I think people are going to be looking to Japan for such technologies. be looking to Japan for such technologies. Kunibe : I believe that energy is the most : I believe that energy is the most important thing governing a country i mportant thing governing a country's s competitiveness and industrial strength. competitiveness and industrial strength. Certainly, the tim Certainly, the timeframe is an issue. We f ra me is an issue. We must not engage in short-termism, nor be must not engage in short-termism, nor be self-serving, but should devise energy self-serving, but should devise energy strategies for the future needs of society strategies for the future needs of society\n\n## Commitment from the Top\n\nA Conversation with Tadao Ando, Takeshi Kunibe and Koichi Miyata\n\n## as a whole. as a whole.\n\nAndo : I agree. We need industry, : I a g r e e . W e n e e d i n d u s t r y , government and academia to really talk government and academia to really talk to each other and take this seriously. If to each other and take this seriously. If they t hey just butt heads, that won j u s t b u t t h e a d s , t h a t w o n' t get us t g e t u s anywhere. anywhere.", - "page_start": 4, - "page_end": 4, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Corporate Outline (as of September 30, 2011)\n\nCompany Name\n\nBusiness Description\n\n - Established\n\nHead Office\n\nChairman of the Board\n\nPresident\n\nCapital\n\nStock Exchange Listings\n\n - Sumitomo Mitsui Financial Group, Inc. ：：\n - Management of banking subsidiaries (under the stipulations of Japan's Banking Act) and of non-bank subsidiaries, as well as the performance of ancillary functions ：\n - December 2, 2002 ：\n - 1-2, Marunouchi 1-chome, Chiyoda-ku, Tokyo, Japan ：\n\nMasayuki Oku ：\n\n - Koichi Miyata (Concurrent Director at Sumitomo Mitsui Banking Corporation) ：\n - ¥2,337.8 billion ：\n\nTokyo Stock Exchange (First Section) ：\n\nOsaka Securities Exchange (First Section) Nagoya Stock Exchange (First Section) Note: American Depositary Receipts (ADRs) are listed on the New York Stock Exchange.\n\n## Structure of Sumitomo Mitsui Financial Group (as of September 30, 2011)\n\n* SMFG plans to make PROMISE a wholly owned subsidiary in April 2012.\n\n\n\n## Our CSR reporting\n\nAt Sumitomo Mitsui Financial Group, three kinds of CSR reports are compiled.\n\n\n\n\n\n\n\n| | Covers CSR baselines and CSR activities at SMFG and its Group companies, Covers CSR baselines and CSR activities at SMFG and its Group companies, centered on specific examples centered on specific examples CSR report 2011 (digest version) | CSR disclosure through specific examples |\n|------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| information on CSR activities information on CSR activities CSR report 2011 statistical performance, online PDF file) | Comprehensive disclosure of CSR activities | Covers environment-related statistical data and gives more detailed Covers environment-related statistical data and gives more detailed (digest version with examples of activities and |\n| | This is the official version of our CSR report. Covers the full spectrum of This is the official version of our CSR report. Covers the full spectrum of CSR activities at SMFG CSR activities at SMFG CSR report (online version, Japanese only) www.smfg.co.jp/responsibility | Enriched CSR disclosure |\n\n## Editorial Policy\n\nThis report has been created in an effort to convey to our stakeholders the variety of our initiatives and the roles the SMFG Group is fulfilling as we work to create a sustainable society.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\nEurope\n\n## Donations to charity groups\n\nEmployees of Sumitomo Mitsui Banking Corporation Europe Employees of Sumitomo Mitsui Banking Corporation Europe (SMBCE) conducted volunteer activities in their time off. (SMBCE) conducted volunteer activities in their time off. SMBCE contributes to charitable organizations through an SMBCE contributes to charitable organizations through an in-house fund and also uses a matching gifts program under in-house fund and also uses a matching gifts program under\n\nwhich it donates a which it donates a certain amount for certain amount for every donation made every donation made by its employees. by its employees.\n\nEmployee volunteers who participated in landscape improvement projects\n\n\n\nEurope\n\n## Donation for a Japanese-language speech contest\n\nThe European office of the Japan Research Institute (JRI) The European office of the Japan Research Institute (JRI) made a donation in support of a Japanese-language speech made a donation in support of a Japanese-language speech contest. contest.\n\nMozambique\n\n## UNICEF support initiatives\n\nThrough the Climate & Children Supporters project, the bank Through the Climate & Children Supporters project, the bank has supported UNICEF projects in Mozambique benefitting has supported UNICEF projects in Mozambique benefitting\n\nchildren and improving children and improving the water-supply and the water-supply and sanitary environment. sanitary environment.\n\n*Please see this website for further details (in Japanese): www.smbc.co.jp/ccs/\n\nⓒ ⓒ UNICEF Mozambique/Arild Drivdal\n\n\n\n", - "page_start": 14, - "page_end": 14, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "## Takeshi Kunibe\n\nPresident and CEO Sumitomo Mitsui Banking Corporation\n\ncompanies would do better and companies would do better and the whole country would benefit. the whole country would benefit. Returning to Mr. Ando Returning to Mr. Ando's words, s words, and his comments about a n d h i s c o m m e n t s a b o u t clinging to the status quo, more clinging to the status quo, more people now think, 'Oh, well, my people now think, 'Oh, well, my life is fairly comfortable and life is fairly comfortable and that's enough for me.' This sense that's enough for me.' This sense of stagnation, or resignation, of stagnation, or resignation,\n\nthat people feel in their lives has spread that people feel in their lives has spread throughout Japan. But when the disaster throughout Japan. But when the disaster struck, people again came together and struck, people again came together and worked together in the recovery effort. I worked together in the recovery effort. I thought, 'Not everything that happened has thought, 'Not everything that happened has been bad.' But I fear the consequences if we been bad.' But I fear the consequences if we don don't galvanize, coordinate and maximize t g a l va n i ze, coord inate and maximize efforts more effectively. efforts more effectively.\n\nKunibe : As for SMBC, I wondered if : A s f o r S M B C , I w o n d e r e d i f employees at all the branches and other employees at all the branches and other offices in the affected areas would be able to offices in the affected areas would be able to get to work and carry out their duties at such get to work and carry out their duties at such a difficult time for their own families; or if a difficult time for their own families; or if they would be able to open their offices for they would be able to open their offices for business on weekends and other holidays. business on weekends and other holidays. Despite the lack of water and gas, they really Despite the lack of water and gas, they really gave their all to provide banking services. gave their all to provide banking services. It was really uplifting to see such dedication It was really uplifting to see such dedication and sense of responsibility as an employee of and sense of responsibility as an employee of a financial institution entrusted with essential a financial institution entrusted with essential social infrastructure. I talk about 'the strength social infrastructure. I talk about 'the strength of our front-line staff,' but I was able to fully of our front-line staff,' but I was able to fully appreciate just how extraordinarily strong appreciate just how extraordinarily strong SMFG and SMBC are thanks to SMFG and SMBC are thanks to this this display display of front-line commitment. of front-line commitment.\n\nMoving forward on the reconstruction of Moving forward on the reconstruction of the Tohoku region, I believe we can also the Tohoku region, I believe we can also contribute to the rebuilding of infrastructure contribute to the rebuilding of infrastructure through project finance and other t h r o u g h p r o j e c t f i n a n c e a n d o t h e r fundamental businesses of financial f u ndamental businesses of financial institutions in which we excel. institutions in which we excel.\n\nWe are now actively engaged in promoting We are now actively engaged in promoting\n\nbusiness in the Tohoku region, including business in the Tohoku region, including business matching with parties outside business matching with parties outside the region. In addition, we have a range of the region. In addition, we have a range of support activities in partnership with the Miyagi support activities in partnership with the Miyagi prefectural government and The 77 Bank, prefectural government and The 77 Bank, Ltd., which is based in Miyagi. Ltd., which is based in Miyagi.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "Miyata : In the same way, other SMFG : In the same way, other SMFG Group companies have been sending out Group companies have been sending out volunteers, and providing donations not only volunteers, and providing donations not only as a company, but also through individual as a company, but also through individual employees. SMBC was at the heart of all these employees. SMBC was at the heart of all these activities, and this was a good opportunity activities, and this was a good opportunity for us to appreciate anew how our business for us to appreciate anew how our business contributes to the public good. contributes to the public good.\n\n\n\n## Koichi Miyata\n\nPresident Sumitomo Mitsui Financial Group, Inc.\n\nThe SMFG Group has 62,000 employees, The SMFG Group has 62,000 employees, 'stepping up to the plate and working hard 'stepping up to the plate and working hard to give something back to society.' I think it to give something back to society.' I think it is important to develop ways of making this is important to develop ways of making this a shared aspiration of all the employees of a shared aspiration of all the employees of\n\nthe Group. the Group.", - "page_start": 2, - "page_end": 2, - "source_file": "NYSE_SMFG_2011.pdf" - }, - { - "text": "\n\n\n\n\n\n\n\n\n\nSumitomo Mitsui Financial Group CSR Report\n\nDigest version\n\n", - "page_start": 0, - "page_end": 0, - "source_file": "NYSE_SMFG_2011.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Does Chesapeake Energy have a project to reduce excessive water use?", - "target_page": 28, - "target_passage": "Created to meet the challenge of reducing our water usage, Chesapeake’s Aqua Renew® program uses state-of-the-art technology to recycle pro- duced water.", - "chunk_present": { - "presence": true, - "index": 0 - } - }, - "top_chunk": [ - { - "text": "## INVESTING IN OUR WORLD AND OUR PEOPLE »\n\nAs we explore for and produce clean, affordable, abundant, American natural gas, we provide an important solution to our nation's energy challenges and its quest for energy independence. With at least a 200year supply of natural gas located right here in the U.S., this versatile fuel can be used to not only heat homes, create electricity and meet America's transportation needs, but also to fuel the country's future by creating jobs and stimulating local and national economies through investment and taxes.\n\n## Environmentally Friendly Operations\n\nAt Chesapeake, we realize that the way a great product is produced is as important as the product itself. For example, we have helped pioneer the use of multiwell padsites to drill up to 16 wells from a single location, greatly reducing our land and road use and overall environmental footprint. We use the latest horizontal and directional drilling technology to place wells at a safe distance from homes, schools and businesses. In addition, we build and maintain access roads and work to eliminate soil erosion near our sites, as well as restore local vegetation.\n\nWe implement advanced, modern protective measures known as Best Management Practices (BMPs) to help ensure energy development is conducted in an environmentally responsible manner. Procedures are implemented throughout our operations to protect freshwater aquifers and reduce environmental impacts. BMPs protect wildlife, air quality, water and landscapes as we work to develop vitally needed domestic energy sources.\n\nImplemented throughout the entire life cycle of a well, BMPs can be as simple as strategically placing a berm, or land barrier, on locations to control surface water runoff. Others involve cutting-edge operational technologies such as utilizing the most advanced techniques offered in drilling fluids, well casing and cement design. Regardless of complexity, all BMPs are based on the idea that the environmental footprint of\n\nenergy development should be as small and temporary as possible. These practices are continually evolving and further improving as Chesapeake and the industry develop new innovative techniques and approaches to business.\n\nIn addition to our BMPs, Chesapeake has also initiated several innovative internal programs focused on water recycling and greener hydraulic fracturing processes.\n\n## Aqua Renew ®\n\nCreated to meet the challenge of reducing our water usage, Chesapeake's Aqua Renew ® program uses state-of-the-art technology to recycle pro-\n\nduced water. Since the company's preliminary reclamation project in\n\n\n\n\n\n2006, our focus on water reuse and conservation has become a companywide endeavor, stretching from the Barnett Shale of North Texas to the Marcellus Shale of northern Pennsylvania.\n\nThe Aqua Renew program has yet to find a limit to how much recycled water could be used without compromising well production. In fact, our Marcellus Shale operations are treating and recycling virtually 100% of produced water (more than 10 million gallons per month) for reuse in our hydraulic fracturing operations. Properly conducted modern fracking is a highly engineered, controlled, sophisticated and safe procedure.\n\nWith such large volumes of recycled water, the company is seeing more than just environmental advantages. We estimate that this\n\nGreen operations - Chesapeake's Best Management Practices ensure our operations are as environmentally friendly as possible, while protecting our employees, neighbors and the areas where we operate.\n\n", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Chesapeake Energy Corporation is the second-largest producer of natural gas, a Top 15 producer of oil and natural gas liquids and the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company's operations are focused on discovering and developing unconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\n\n\n## CONTENTS\n\n- 1 Financial Review\n- 4 Letter to Shareholders\n- 16 Operating Areas\n- 20 Investor Q&A\n- 22 Social Responsibility\n- 24 Community Relations\n- 26 Environmental, Health & Safety\n- 28 Board of Directors\n- 28 Governance\n- 29 Officers\n- 30 Employees\n- 45 Form 10-K\n\nInside Back Cover\n\nCorporate Information\n\nNiobrara and Utica unconventional liquids-rich plays. The company has also vertically integrated its operations and owns substantial midstream, compression, drilling and oilfield service assets. Chesapeake's stock is listed on the New York Stock Exchange under the symbol CHK. Further information is available at www.chk.com where Chesapeake routinely posts announcements, updates, events, investor information, presentations and press releases.\n\nON THE COVER Moving west, a Chesapeake rig drills toward the Niobrara Shale in the Powder River Basin of southeastern Wyoming, one of several new liquids-rich plays that are enabling the company to increase its profitability and return on capital.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## AMERICA'S PREMIER ENERGY RESOURCE BASE »\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has built a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica unconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise gained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of natural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of divestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion cubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end 2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the U.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities - almost 50 years worth of drilling opportunities - on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake's ownership position in our key operating areas.\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Fisher Senior Vice President - Production\n\n\n\n## What advantages does CHK's unique vertical integration strategy provide?\n\nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop aggressively over the next two decades. As a result, we know that our company will consistently utilize a tremendous (and growing) amount of oilfield services for this resource development. This high level of planned drilling activity will create value for the provider of oilfield services, and Chesapeake's strategy is to capture a portion of this value for our shareholders rather than transfer it to third-party vendors whose interests and investments are not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water management equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and fracture stimulation equipment. Chesapeake's activities require a high level of planning and project coordination that is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach creates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, increased safety and better coordinated logistics. In addition, Chesapeake's control of a large portion of the oilfield service equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply put, faster development of resources maximizes the present value of leasehold. This has been a key advantage for\n\nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures.\n\n## Will U.S. natural gas prices reconnect with world natural gas prices?\n\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, diesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. market relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This surplus has been principally caused by high levels of drilling activity as producers focused on holding by produc tion (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented U.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will largely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to reconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices.\n\nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied natural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital and ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are working to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to premium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be aided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the\n\nJeff Mobley Senior Vice President -\n\n\n\nInvestor Relations and Research", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## CHESAPEAKE MANAGEMENT PERSPECTIVES »\n\nSteve Dixon Operations and Geosciences and\n\n\n\n## What innovations and advancements have led to CHK's ability to produce liquids from shales and other tight reservoirs?\n\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed expertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of horizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that were previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight reservoirs has come from the company's ability to extend the technological advances gained in the development of tight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich play discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have benefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well as an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to better identify formations most likely to generate liquids-rich production, including more than a dozen new plays for the company. We have subsequently improved the success of our liquids-rich plays through the use of optimal wellbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized fracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume in low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have\n\nExecutive Vice President Chief Operating Officer\n\nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry's most advanced shale core laboratory.\n\n## It is often said that the energy industry has an aging work force that is fast approaching retirement age. How is Chesapeake addressing this?\n\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down turn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong competition from other industries lured away many of the best and brightest science and technology graduates, and today many experienced professionals who stayed in the industry through the downturn are approaching retirement age. As a result, one of our industry's greatest challenges over the past 10 years has been to develop a new generation of natural gas and oil professionals who have the knowledge and experience required to meet the nation's growing energy needs.\n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting and training a new generation of energy professionals would impact the company's future success and its ability to compete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs and decided to create a world-class college recruiting and intern program to recruit the most promising industry talent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go on to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive\n\nMartha Burger\n\n\n\nSenior Vice President Human and Corporate Resources\n\nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads and career counselors at the more than 31 universities where we actively recruit.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "wet natural gas and dry natural gas), similar to the components of the Eagle Ford Shale. We have made a large commitment to this play and have acquired approximately 1.2 million net leasehold acres and expect to increase this total to as much as 1.5 million net leasehold acres in the coming months. We are currently using three rigs to evaluate the play and believe our leasehold could support the drilling of up to 12,000 net wells. This is an area where we anticipate bringing in a joint venture partner late in 2011 or early in 2012.\n\n## Our People\n\nGreat assets cannot exist without great people, so we take great pride in hiring, training, motivating, rewarding and retaining what we regard\n\n\n\nas the best employees in the industry. From our beginning 22 years ago with 10 employees in Oklahoma City to employing more than 10,000 people across 15 states today, Chesapeake has always focused on building first-class human resources within a distinctive corporate culture. Talk to Chesapeake employees and you will note genuine pride and great enthusiasm about the company and the critical role that we play in delivering increasing quantities of clean and affordable American natural gas and valuable and reliable liquids to energy consumers across the country.\n\nChesapeake employees are distinctive in other ways as well. They are much younger than the industry average, with half of our almost 4,000 Oklahoma City-based headquarters employees 33 years old or younger. Their enthusiasm and willingness to learn create an\n\natmosphere of vitality and energy at Chesapeake, important ingredients of our distinctive culture. These attributes, along with a vibrant and attractive corporate headquarters campus, low levels of bureaucracy, great assets and a well-executed corporate strategy combine to create our culture of success and innovation.\n\nThis has generated extremely positive external feedback as Chesapeake was recently recognized for the fourth consecutive year as one of the FORTUNE 100 Best Companies to Work For ®(3) in the U.S. In fact, we moved up to #32 overall and #1 in our industry - we are very proud of having created and sustained what is now considered the best place to work in all of the U.S. energy production industry.\n\nIn addition, we were honored in December 2010 at the 12th Annual Platts Global Energy Awards as finalists for CEO of the Year, Community\n\nFrom our beginning 22 years ago with 10 employees in Oklahoma City to employing more than 10,000 people across 15 states today, Chesapeake has always focused on building first-class human resources within a distinctive corporate culture.\n\n<< A Chesapeake rig drills in the Marcellus Shale, where the company is the leading leasehold owner, largest producer and most active driller.\n\nDevelopment Program of the Year, Deal of the Year, Energy Producer of the Year and the Industry Leadership Award. Chesapeake was one of only two companies selected as a finalist in five or more categories. The company was also honored in 2010 with a Certificate of Recognition for our military reserve recruiting efforts, named a 2010 Best Diversity Company by Engineering & Information Technology Magazine and recognized for Best Investor Relations in Energy Sector and Best Investor Relations Website at the 2010 IR Magazine U.S. Awards.\n\n## Recent Events and a Better Way Forward\n\nYou may be aware that I have been outspoken in attempting to persuade our country's political leadership to recognize that the discovery of vast resources of unconventional natural gas and oil in the U.S. is a complete game changer for our country from an economic, national security and environmental perspective. After two years of my best efforts and the efforts of many others in the industry, most notably T. Boone Pickens,", - "page_start": 13, - "page_end": 13, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## LIQUIDS-RICH AREAS\n\n\n\nAnadarko Basin The Anadarko Basin is home to four of Chesapeake's liquids-rich plays, which we anticipate will become significant contributors to our growth in the years ahead. Chesapeake was one of the first to utilize modern horizontal drilling methods and has assembled an unrivaled leasehold position in numerous horizontal liquids-rich plays in the basin. Chesapeake will continue drilling with a focus on the Granite Wash, where rates of return are the highest in our company, and with an increasing focus on the Cleveland, Tonkawa and Mississippian liquids-rich unconventional plays. We estimate we could drill up to 11,400 net wells on our Anadarko Basin acreage in the future and plan to utilize an average of 31 operated rigs in 2011 to further develop our current 1.7 million net leasehold acres. 5\n\n\n\n\n\nEagle Ford Shale As part of a growing emphasis on increasing oil and natural gas liquids production, Chesapeake has built the industry's second-largest leasehold position in the Eagle Ford Shale play in South Texas. In 2010 Chesapeake increased its leasehold from 80,000 net acres at the beginning of the year to more than 600,000 net acres. In November 2010, Chesapeake completed a $2.2 billion Eagle Ford Shale joint venture agreement with Beijing-based CNOOC Limited (NYSE:CEO), whereby CNOOC acquired a 33.3% interest in 600,000 net leasehold acres in the Eagle Ford Shale. CNOOC paid Chesapeake approximately $1.12 billion in cash at closing and will pay 75% of Chesapeake's share of drilling and completion expenditures until the $1.08 billion carry obligation has been funded, which Chesapeake expects to occur by year-end 2012. Our focus has been in the wet gas and oil prone portions of the play. We estimate we could drill up to 5,500 net wells on our Eagle Ford acreage and plan to utilize an average of 23 operated rigs in 2011 to further develop our leasehold position in the Eagle Ford Shale. In addition, we believe that the Pearsall Shale should be prospective for natural gas underneath approximately 75% of our Eagle Ford leasehold. 6\n\n\n\nPermian Basin Chesapeake has built a strong position of approx imately 1.2 million net leasehold acres in the Permian Basin including 560,000 net leasehold acres in the Bone Spring, Avalon, Wolfcamp and Wolfberry unconventional liquids plays. This area has the potential to deliver significant upside as we move toward increasing our oil production substantially in the years ahead. We have developed multiple new horizontal oil projects in this area, where we plan to utilize an average of approximately eight operated rigs in 2011 to further develop our leasehold in the Permian and Delaware basins and estimate we could drill up to 4,400 net wells. 7\n\n\n\n\n\nRockies Chesapeake is the second-largest leasehold owner in the Niobrara Shale, Frontier and Codell plays in the Powder River and Denver Julesburg (DJ) basins of Wyoming and Colorado. In February 2011, Chesapeake completed a $1.3 billion joint venture agreement with CNOOC, whereby CNOOC acquired a 33.3% interest in Chesapeake's approximately 800,000 net leasehold acres in the Powder River and DJ basins. CNOOC paid Chesapeake approximately $570 million in cash at closing and will pay an additional $697 million in carries by funding 66.7% of Chesapeake's 8\n\nNote: Figures do not add to company totals.\n\n - * Compared to last year\n - ** % of company total\n - *** Bossier Shale acreage overlaps with Haynesville Shale acreage\n\nNM Not meaningful\n\nshare of drilling and completion expenditures, which Chesapeake expects to occur by year-end 2014. We plan to utilize an average of approximately 11 rigs in 2011 to develop our current 535,000 net leasehold acres with our partner and estimate that we could drill up to 7,600 net wells.\n\n\n\n## 2010 Total Production:\n\n145 bcfe, +4%, 14%", - "page_start": 20, - "page_end": 20, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Strong Partners\n\nOver the past few years, in addition to gathering the industry's best assets, Chesapeake has also built the industry's finest collection of global energy partners and energy stock investors. We have now entered into transactions with PXP, BP, Statoil, Total, CNOOC and BHP Billiton. Collectively, we have sold these companies certain assets for total consideration of $20.5 billion in the form of cash and drilling and completion carries for which our net cost was only $6.1 billion resulting in overall value creation of $14.4 billion. While these transactions have been very\n\n\n\nrewarding to our buyers, they have been truly outstanding for Chesapeake, providing us an attractive source of capital, a reduction of risk, a quick recovery of our leasehold investment in new plays and a much greater ability to capture a large resource base with decades of highly profitable drilling opportunities.\n\nIn addition, we are the only U.S. E&P company that has attracted to its stock ownership roster some of the world's leading governmentsponsored investors: Temasek Holdings (Singapore), China Investment Corporation, Korea Investment Corporation and Abu Dhabi Investment Authority. Along with our largest shareholder, Memphis, Tennesseebased Southeastern Asset Management (12%), these shareholders are some of the world's largest and most astute investors, and who also\n\nhappen to manage some of the world's largest pools of capital and have a very long-term investment horizon. Their support is an important validation of our strategy.\n\n## Short-Term Pain for Long-Term Gain\n\nDespite this all-star lineup of global partners and investors, some other investors have not yet fully recognized the benefits of our industry leadership in acquiring unconventional natural gas and liquids assets. Whether it was our leveraged balance sheet during recent tough recessionary times, our heavy focus on natural gas during a time of persistent market pessimism about natural gas prices or our large capital investments in undeveloped liquids-rich leasehold undertaken to enable Chesapeake to remain an industry leader in the years ahead, it is clear\n\nThrough a wide variety of transactions, including several led by Chesapeake, the global energy industry made it clear that the assets owned by Chesapeake and some of its peers are the most attractive in the world.\n\n<< Aubrey K. McClendon, Co-Founder, Chairman and Chief Executive Officer\n\nthat we were less popular in the stock market in 2010 than we were in 2009, when our stock price increased by 60%.\n\nWe anticipated that some market unpopularity in 2010 would likely be the price we would pay as we positioned Chesapeake to be the leader not only in unconventional U.S. natural gas, but also in unconventional U.S. liquids. However, now that we have largely completed the investments needed to accomplish this transition to a portfolio balanced with liquids, the rebound in our stock price could be sharp as investors begin to focus more clearly on Chesapeake's three-way transition from an asset gatherer to an asset harvester, from less natural gas exposure to more liquids exposure and from a leveraged balance sheet to one worthy of an investment grade rating.\n\nAccordingly, in early January 2011, we announced our '25/25 Plan,' a two-year plan designed to reduce our long-term debt by 25% while still growing the company's production by 25%. We designed this plan to articulate very clearly the benefits of becoming an asset harvester", - "page_start": 6, - "page_end": 6, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## CORPORATE INFORMATION\n\n## Corporate Headquarters\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n## Internet Address\n\nCompany financial information, public disclo sures and other information are available through Chesapeake's website at www.chk.com.\n\n## Common Stock\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n## Common Stock Dividends\n\nDuring 2010 the company declared a cash div idend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n## Independent Public Accountants\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n## Stock Transfer Agent and Registrar\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent:\n\nComputershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225\n\nwww.computershare.com\n\n## Trustee for the Company's Senior Notes\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286\n\nwww.bnymellon.com\n\n## Forward-looking Statements\n\nThis report includes 'forward-looking statements' that give our current expectations or forecasts\n\nof future events. They include estimates of nat ural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be af fected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under 'Risk Factors' in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on for ward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclo sures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our 'total resource base.' This term includes our estimated proved reserves as well as 'risked and unrisked unproved resources,' which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Mobley Senior Vice President -\n\n\n\nInvestor Relations and Research\n\ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it be compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) natural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural gas is clean, affordable, abundant and American. Why shouldn't it trade at a BTU premium in the years ahead?\n\nNick Dell'Osso\n\n\n\nExecutive Vice President and Chief Financial Officer\n\n## Why is an investment grade rating on its debt securities important to CHK?\n\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt securities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company's borrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. Higher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in order to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts to sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance Chesapeake's ability to further attract world-class energy companies to participate in our joint venture projects, which profitably monetize a portion of our leasehold investments and also accelerate the development of our resource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest ment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - }, - { - "references": { - "source_file": "NYSE_CHK_2010.pdf", - "query": "Has the CEO of Chesapeake Energy met with the US President about America's energy production?", - "target_page": 16, - "target_passage": "I am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable.", - "chunk_present": { - "presence": true, - "index": 4 - } - }, - "top_chunk": [ - { - "text": "## INVESTING IN OUR WORLD AND OUR PEOPLE »\n\nAs we explore for and produce clean, affordable, abundant, American natural gas, we provide an important solution to our nation's energy challenges and its quest for energy independence. With at least a 200year supply of natural gas located right here in the U.S., this versatile fuel can be used to not only heat homes, create electricity and meet America's transportation needs, but also to fuel the country's future by creating jobs and stimulating local and national economies through investment and taxes.\n\n## Environmentally Friendly Operations\n\nAt Chesapeake, we realize that the way a great product is produced is as important as the product itself. For example, we have helped pioneer the use of multiwell padsites to drill up to 16 wells from a single location, greatly reducing our land and road use and overall environmental footprint. We use the latest horizontal and directional drilling technology to place wells at a safe distance from homes, schools and businesses. In addition, we build and maintain access roads and work to eliminate soil erosion near our sites, as well as restore local vegetation.\n\nWe implement advanced, modern protective measures known as Best Management Practices (BMPs) to help ensure energy development is conducted in an environmentally responsible manner. Procedures are implemented throughout our operations to protect freshwater aquifers and reduce environmental impacts. BMPs protect wildlife, air quality, water and landscapes as we work to develop vitally needed domestic energy sources.\n\nImplemented throughout the entire life cycle of a well, BMPs can be as simple as strategically placing a berm, or land barrier, on locations to control surface water runoff. Others involve cutting-edge operational technologies such as utilizing the most advanced techniques offered in drilling fluids, well casing and cement design. Regardless of complexity, all BMPs are based on the idea that the environmental footprint of\n\nenergy development should be as small and temporary as possible. These practices are continually evolving and further improving as Chesapeake and the industry develop new innovative techniques and approaches to business.\n\nIn addition to our BMPs, Chesapeake has also initiated several innovative internal programs focused on water recycling and greener hydraulic fracturing processes.\n\n## Aqua Renew ®\n\nCreated to meet the challenge of reducing our water usage, Chesapeake's Aqua Renew ® program uses state-of-the-art technology to recycle pro-\n\nduced water. Since the company's preliminary reclamation project in\n\n\n\n\n\n2006, our focus on water reuse and conservation has become a companywide endeavor, stretching from the Barnett Shale of North Texas to the Marcellus Shale of northern Pennsylvania.\n\nThe Aqua Renew program has yet to find a limit to how much recycled water could be used without compromising well production. In fact, our Marcellus Shale operations are treating and recycling virtually 100% of produced water (more than 10 million gallons per month) for reuse in our hydraulic fracturing operations. Properly conducted modern fracking is a highly engineered, controlled, sophisticated and safe procedure.\n\nWith such large volumes of recycled water, the company is seeing more than just environmental advantages. We estimate that this\n\nGreen operations - Chesapeake's Best Management Practices ensure our operations are as environmentally friendly as possible, while protecting our employees, neighbors and the areas where we operate.\n\n", - "page_start": 27, - "page_end": 27, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## Chesapeake Energy Corporation is the second-largest producer of natural gas, a Top 15 producer of oil and natural gas liquids and the most active driller of new wells in the U.S.\n\nHeadquartered in Oklahoma City, the company's operations are focused on discovering and developing unconventional natural gas and oil fields onshore in the U.S. Chesapeake owns leading positions in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford,\n\n\n\n## CONTENTS\n\n- 1 Financial Review\n- 4 Letter to Shareholders\n- 16 Operating Areas\n- 20 Investor Q&A\n- 22 Social Responsibility\n- 24 Community Relations\n- 26 Environmental, Health & Safety\n- 28 Board of Directors\n- 28 Governance\n- 29 Officers\n- 30 Employees\n- 45 Form 10-K\n\nInside Back Cover\n\nCorporate Information\n\nNiobrara and Utica unconventional liquids-rich plays. The company has also vertically integrated its operations and owns substantial midstream, compression, drilling and oilfield service assets. Chesapeake's stock is listed on the New York Stock Exchange under the symbol CHK. Further information is available at www.chk.com where Chesapeake routinely posts announcements, updates, events, investor information, presentations and press releases.\n\nON THE COVER Moving west, a Chesapeake rig drills toward the Niobrara Shale in the Powder River Basin of southeastern Wyoming, one of several new liquids-rich plays that are enabling the company to increase its profitability and return on capital.", - "page_start": 1, - "page_end": 1, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## AMERICA'S PREMIER ENERGY RESOURCE BASE »\n\nChesapeake is the second-largest producer of U.S. natural gas and a Top 15 producer of U.S. oil and natural gas liquids. The company has built a large resource base of high-quality U.S. assets in the Barnett, Haynesville, Bossier, Marcellus and Pearsall natural gas shale plays and in the Granite Wash, Cleveland, Tonkawa, Mississippian, Bone Spring, Avalon, Wolfcamp, Wolfberry, Eagle Ford, Niobrara and Utica unconventional liquids plays. In 2010 Chesapeake increased its focus on applying the geoscientific and horizontal drilling expertise gained from developing unconventional natural gas shale plays to unconventional liquids-rich plays. Our goal is to reach a balanced mix of natural gas and liquids revenue as quickly as possible through organic drilling. We invested approximately $4.7 billion in 2010, net of divestitures, primarily in liquids-rich acreage to provide the foundation for this shift toward more profitable plays.\n\nWe own interests in approximately 46,000 producing natural gas and oil wells, and in 2010 we produced approximately 1.035 trillion cubic feet of natural gas equivalent (tcfe) for an average of 2.8 billion cubic feet of natural gas equivalent (bcfe) per day. At year-end 2010, our proved reserves were 17.1 trillion cubic feet of natural gas equivalent, of which 90% were natural gas and all were onshore in the U.S. We have also captured an inventory of up to 115,000 unrisked net future drilling opportunities - almost 50 years worth of drilling opportunities - on approximately 13.2 million net leasehold acres in the U.S. The following highlights Chesapeake's ownership position in our key operating areas.\n\n", - "page_start": 17, - "page_end": 17, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## CORPORATE INFORMATION\n\n## Corporate Headquarters\n\n6100 North Western Avenue Oklahoma City, OK 73118 (405) 935-8000\n\n## Internet Address\n\nCompany financial information, public disclo sures and other information are available through Chesapeake's website at www.chk.com.\n\n## Common Stock\n\nChesapeake Energy Corporation's common stock is listed on the New York Stock Exchange (NYSE) under the symbol CHK. As of March 31, 2011, there were approximately 415,000 beneficial owners of our common stock.\n\n## Common Stock Dividends\n\nDuring 2010 the company declared a cash div idend of $0.075 per share on March 8, June 21, September 1 and December 20 for a total dividend declared of $0.30 per share.\n\n## Independent Public Accountants\n\nPricewaterhouseCoopers LLP 6120 South Yale, Suite 1850 Tulsa, OK 74136 (918) 524-1200\n\n## Stock Transfer Agent and Registrar\n\nCommunication concerning the transfer of shares, lost certificates, duplicate mailings or change of address notifications should be directed to our transfer agent:\n\nComputershare Trust Company, N.A. 250 Royall Street Canton, MA 02021 (800) 884-4225\n\nwww.computershare.com\n\n## Trustee for the Company's Senior Notes\n\nThe Bank of New York Mellon Trust Company, N.A. 101 Barclay Street, 8th Floor New York, NY 10286\n\nwww.bnymellon.com\n\n## Forward-looking Statements\n\nThis report includes 'forward-looking statements' that give our current expectations or forecasts\n\nof future events. They include estimates of nat ural gas and oil reserves, expected production, assumptions regarding future natural gas and oil prices, planned drilling activity and capital expenditures, and future asset sales, as well as statements concerning anticipated cash flow and liquidity, business strategy and other plans and objectives for future operations. Although we believe the expectations and forecasts reflected in these and other forward-looking statements are reasonable, we can give no assurance they will prove to have been correct. They can be af fected by inaccurate assumptions or by known or unknown risks and uncertainties.\n\nFactors that could cause actual results to differ materially from expected results are described under 'Risk Factors' in Item 1A of our 2010 Annual Report on Form 10-K included in this report. We caution you not to place undue reliance on for ward-looking statements, and we undertake no obligation to update this information. We urge you to carefully review and consider the disclo sures made in this report and our other filings with the Securities and Exchange Commission (SEC) regarding the risks and factors that may affect our business.\n\nThe SEC requires natural gas and oil companies, in filings made with the SEC, to disclose proved reserves and permits the optional disclosure of probable and possible reserves. While Chesapeake has elected not to report probable and possible reserves in its filings with the SEC, we have provided estimates in this report of what we consider to be our 'total resource base.' This term includes our estimated proved reserves as well as 'risked and unrisked unproved resources,' which represent Chesapeake's internal estimates of volumes of natural gas and oil that are not classified as proved reserves but are potentially recoverable through exploratory drilling or additional drilling or recovery techniques. Our estimates of unproved resources are not intended to correspond to probable and possible reserves, as defined by SEC regulations, and are by their nature more speculative than estimates of proved reserves and accordingly are subject to substantially greater risk of being actually realized by the company.", - "page_start": 46, - "page_end": 46, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "\n\nRig lights come on at twilight in the Permian Basin of Texas, where crews drill around the clock in the liquids-rich Bone Spring play. This is the newest in a series of energy booms that has enabled West Texas cities like Midland to prosper for almost 100 years.\n\nI am pleased to report that we have apparently finally convinced President Barack Obama and Congressional leadership to recognize that the energy path America is on today is completely unsustainable. There appears to be growing recognition that it is spectacularly dangerous for America to continue importing 9 million barrels of oil per day and exporting\n\nmore than $1 billion per day in national wealth to oil exporting countries.\n\nAmerica's undiminished appetite for foreign oil has created the largest wealth transfer in the history of the world. The political leadership in Washington, D.C., has not seemed overly concerned about this issue until recently. However, after President Obama's recent speech calling\n\n - (1) Reserve replacement is calculated by dividing net reserve additions from all sources by actual production for the corresponding period. We calculate drilling and net acquisition cost per mcfe by dividing total drilling and net proved property acquisition costs incurred during the year (excludes certain costs primarily related to net unproved property acquisitions, geological and geophysical costs and deferred taxes related to corporate acquisitions) by total proved reserve additions excluding price-related revisions.\n - (2) A non-GAAP financial measure, as defined below. Please refer to the Investors section of our website at www.chk.com for reconciliations of non-GAAP financial measures to comparable financial measures calculated in accordance with generally accepted accounting principles.\n - · Adjusted ebitda is net income (loss) before interest expense, income tax expense (benefit), and depreciation, depletion and amortization expense, as adjusted to remove the effects of certain items that manage ment believes affect the comparability of operating results.\n - · Operating cash flow is cash provided by operating activities before changes in assets and liabilities.\n - · Adjusted earnings per fully diluted share is net income (loss) per share available to Chesapeake common stockholders, assuming dilution, as adjusted to remove the effects of certain items that management believes affect the comparability of operating results.\n - (3) FORTUNE 100 Best Companies to Work For ® listed in the magazine's February 7, 2011 issue.", - "page_start": 15, - "page_end": 15, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## FROM PENNSYLVANIA TO NEW MEXICO, WE THANK EVERY MEMBER OF TEAM CHESAPEAKE »\n\nWe would like to thank each of Chesapeake's 10,021 employees who brought a unique combination of experience, talent and positive attitude to the company in 2010. Last year the company was honored for the fourth consecutive year with inclusion in the FORTUNE 100 Best Companies to Work For ® list at #32, the highest-ranking company in the energy production industry.\n\n\n\nKinney Louthan Aubrey McClendon Patsy Watters\n\n## 1990 (3)\n\nKevin Decker David Higgins Cindi Williams\n\n## 1991 (4)\n\nSteve Dixon Marilyn Pollard Patti Schlegel Julie Washam\n\n## 1992 (2)\n\nTom Price\n\nMelanie Weaver\n\n## 1993 (5)\n\nRalph Ball\n\nDavid Desalvo Mike Johnson Randy Pierce Dave Wittman\n\n## 1994 (16)\n\nBarbara Bale Martha Burger Michael Coles Traci Cook Ron Goff Greg Knight Dan LeDonne Rich McClanahan Steve W. Miller Tommy Morphew Pat Pope Danny Rutledge Stephanie Shedden Ronnie Ward Shelly White Gerald Zgabay\n\n## 1995 (26)\n\nRichey Albright Paula Asher Eric Ashmore Randy Borlaug Shelli Butler Melissa Chambers Dale Cook Ted Davis Mandy Duane Steve Gaskins Jennifer Grigsby Gayle Harris Henry Hood Lorrie Jacobs Barry Langham Cindy LeBlanc Leland Murray Fred Portillo\n\nJohn Qualls Pat Rolla Hank Scheel Charles W. Scholz Stan Stinnett Brenda Stremble Greg Weinschenk Brian Winter\n\n## 1996 (29)\n\nHeather Anderson Jamie Carter Jasen Davis George Denny Tim Denny Gary Dunlap Laurie Eck Jan Fair Barbara Frailey Linda Gardner Charlene Glover Randy Goben Jim Gomez Melissa Gruenewald Doug W. Johnson Jim Johnson Taylor Kemp Mike Lebsack Steve Lepretre Larry Lunardi John Marks Sandi Michalicka Liz Muskrat Angela Ports Tommy Putz Bryan Sagebiel Kurt Schrantz Phyllis Trammell\n\nAllan Waldroup\n\n## 1997 (32)\n\nLinda Allen\n\nErick Porter\n\n| Karla Allford |\n|--------------------------|\n| Sara Caldwell |\n| Steve Cody |\n| Kristine Conway |\n| Randy Cornelsen |\n| Michelle Cullen |\n| Bruce Dixon |\n| Greg Drwenski |\n| Mark B. Evans |\n| Joy Franklin |\n| Rob Gilkes |\n| Shane Hamilton |\n| Michael Horn Eric Hughes |\n| David B. Jones |\n| Mike Ludlow |\n| Sarah Lumen |\n| Lauren Matlock |\n| Sam McCaskill |\n| Bob Neely |\n| Bob Pope |\n\nJolene Schur Carolyn Simmons April Smith Wilma Smith Frank Unsicker Ivajean Wallace Craig White Dori Williams Curtis Williford\n\n## 1998 (62)", - "page_start": 31, - "page_end": 31, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "for a new energy future with greater natural gas usage and increased domestic oil production as two of its primary attributes, it is encouraging to see our political leadership finally grasp that natural gas stands alone as the only affordable, scalable and immediately available alternative to foreign oil and that U.S. oil production can be increased significantly in the years ahead.\n\nThe events of the past few months have unmistakably driven home the fact that it is insanity to rely on the Middle East to provide our economy's lifeline of oil. This should be especially obvious when one realizes that during the next 10 years, America will likely export at least another $4 trillion in national wealth to oil exporters around the world. Clearly, our country must demand from its leaders a new and more sustainable energy future.\n\n\n\nAdvancing technology for cleaner operations: solar panels at a West Texas well power telemetry systems that provide pumpers with real-time information on oil and water tank levels to alarm them when levels near capacity, preventing tank spills.\n\nThe good news, however, is that America can now secure a new energy future thanks to Chesapeake and a handful of other leading U.S. E&P companies that have reinvented the process of finding natural gas and oil during the past five years. In doing so, we have discovered twice the resources of natural gas in the U.S. that Saudi Arabia possesses in oil. Furthermore, these same few companies that led the unconventional natural gas revolution have in just the past two years also reinvented the way in which we can find large new oil resources onshore in the U.S. In fact, I believe the U.S. can possibly increase its production of oil from the current 5.8 million barrels per day by 30-50% during the next 5-10 years, thereby potentially reaching the President's 2025 goal of reducing foreign oil imports by 33%, 5-10 years earlier than hoped.\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security. I remain fully confident that the marketplace understands this and that over time the U.S. will more fully embrace and utilize clean, affordable, abundant American natural gas and increased domestic oil production as the best alternatives to burning environmentally challenged coal and expensive and dangerous foreign oil.\n\nThere is now a clear road ahead toward a more sustainable, affordable, dynamic and independent future if America embraces the remarkable gift of energy abundance that Chesapeake has helped discover in the U.S. You have my commitment, and the commitment of more than\n\nThe combination of these vast new discoveries of unconventional natural gas and liquids provides America with a unique future pathway toward greater energy independence, an industrial renaissance, economic rejuvenation and greater national security.\n\n10,000 other Chesapeake employees, that every day we are working hard to create shareholder value and a better future for our communities, our states and our country through the continued discovery and development of unconventional natural gas and liquids.\n\nBest regards,\n\n\n\nAubrey K. McClendon\n\nChairman and Chief Executive Officer April 15, 2011", - "page_start": 16, - "page_end": 16, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Fisher Senior Vice President - Production\n\n\n\n## What advantages does CHK's unique vertical integration strategy provide?\n\nChesapeake has built a large inventory of low-risk natural gas and liquids-rich plays that we plan to develop aggressively over the next two decades. As a result, we know that our company will consistently utilize a tremendous (and growing) amount of oilfield services for this resource development. This high level of planned drilling activity will create value for the provider of oilfield services, and Chesapeake's strategy is to capture a portion of this value for our shareholders rather than transfer it to third-party vendors whose interests and investments are not always aligned with ours. To date, Chesapeake has invested in drilling rigs, rental tools, water management equipment, trucking, compression equipment, midstream services, and most recently pressure pumping and fracture stimulation equipment. Chesapeake's activities require a high level of planning and project coordination that is best accomplished through vertical integration and ownership of the oilfield services we utilize. This approach creates a multitude of cost savings, an alignment of interests, operational synergies, greater capacity of equipment, increased safety and better coordinated logistics. In addition, Chesapeake's control of a large portion of the oilfield service equipment it utilizes provides a unique advantage to control the timing of leasehold development. Simply put, faster development of resources maximizes the present value of leasehold. This has been a key advantage for\n\nChesapeake over the past three years as the company has monetized leasehold investments at premium values through our joint ventures.\n\n## Will U.S. natural gas prices reconnect with world natural gas prices?\n\nNatural gas is a premium product and a cleaner-burning fuel than coal or oil-related products, including gasoline, diesel and heating oil. Despite this fact, over the past two years natural gas has received a low price in the U.S. market relative to coal and oil-related products, primarily as a result of a temporary surplus of production. This surplus has been principally caused by high levels of drilling activity as producers focused on holding by produc tion (HBP) leasehold in new highly productive, low cost natural gas shale plays. In essence, producers reinvented U.S. supply ahead of reinventing of U.S. demand. We believe HBP-incentivized drilling on natural gas plays will largely come to an end in 2012, and U.S. demand will soon also be reinvented to allow U.S. natural gas prices to reconnect to price parity with world natural gas prices that have risen to more than double U.S. natural gas prices.\n\nThis surge in world natural gas prices has been in response to $100+ oil prices and surging global liquefied natural gas (LNG) demand. In our view, the arbitrage in value between competing fuels is simply too wide. Capital and ideas will flow toward projects that make the most of this price disparity. Chesapeake and other companies are working to create the ability to export natural gas from the U.S. Gulf Coast and other regions in the form of LNG to premium Pacific Rim, European and South American markets, perhaps as soon as 2015. This initiative will also be aided by the widening of the Panama Canal to accommodate large LNG vessels. Furthermore, we believe that the\n\nJeff Mobley Senior Vice President -\n\n\n\nInvestor Relations and Research", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "Jeff Mobley Senior Vice President -\n\n\n\nInvestor Relations and Research\n\ncurrent price disparity between natural gas and oil will increasingly lead to greater use of natural gas in the U.S. transportation system. Whether it be compressed natural gas (CNG) for medium and light-duty vehicles, LNG for heavy-duty vehicles or the commercialization of gas-to-liquids (GTL) natural gas refineries that supplement the U.S. liquid fuel supply stream, we believe that the marketplace will increasingly utilize and embrace natural gas. Chesapeake is working with industry, public policymakers and potential partners on each of these demand reinvention opportunities. Natural gas is clean, affordable, abundant and American. Why shouldn't it trade at a BTU premium in the years ahead?\n\nNick Dell'Osso\n\n\n\nExecutive Vice President and Chief Financial Officer\n\n## Why is an investment grade rating on its debt securities important to CHK?\n\nWe believe that Chesapeake will benefit in multiple ways from an investment grade rating on our debt securities, which we hope to achieve in 2012 or 2013. First, a higher rating would obviously lower the company's borrowing costs over time. In addition, other less easily quantifiable benefits will also accrue to Chesapeake. Higher debt ratings would result in lower costs on long-term firm transportation contracts that we enter into in order to market our natural gas and oil production as well as facilitate our ability to enter into long-term contracts to sell our natural gas production to international buyers in the form of LNG. An improved rating will also enhance Chesapeake's ability to further attract world-class energy companies to participate in our joint venture projects, which profitably monetize a portion of our leasehold investments and also accelerate the development of our resource base. Finally, and perhaps most importantly, we believe that reduced financial leverage and an invest ment grade rating will lead to a higher stock price and provide further interest from worldwide equity investors.", - "page_start": 22, - "page_end": 22, - "source_file": "NYSE_CHK_2010.pdf" - }, - { - "text": "## CHESAPEAKE MANAGEMENT PERSPECTIVES »\n\nSteve Dixon Operations and Geosciences and\n\n\n\n## What innovations and advancements have led to CHK's ability to produce liquids from shales and other tight reservoirs?\n\nDuring the past five years, Chesapeake and a few other leaders in the independent E&P industry have developed expertise in exploiting shales and other tight reservoir formations targeting natural gas through the combination of horizontal drilling and advanced fracture stimulation techniques. This has allowed the commercialization of plays that were previously uneconomic, most notably in shale formations. Part of our success in producing liquids from tight reservoirs has come from the company's ability to extend the technological advances gained in the development of tight natural gas formations to new formations known to contain substantial liquids. This led to our first liquids-rich play discovery in the Colony Granite Wash in 2007. As we have increased our focus on liquids-rich plays, we have benefited from a growing understanding and mapping of petrophysical properties in unconventional formations as well as an enhanced understanding of the geochemical nature of liquids-rich reservoirs. This has allowed Chesapeake to better identify formations most likely to generate liquids-rich production, including more than a dozen new plays for the company. We have subsequently improved the success of our liquids-rich plays through the use of optimal wellbore lateral lengths, better placement of well laterals though advanced wellbore steering techniques and customized fracture stimulation designs for liquids-rich plays that allow the company to achieve a greater stimulated rock volume in low permeability reservoirs. Finally, the advancements Chesapeake has made in developing liquids-rich plays have\n\nExecutive Vice President Chief Operating Officer\n\nbeen made possible through the use of our proprietary Reservoir Technology Center that has become the industry's most advanced shale core laboratory.\n\n## It is often said that the energy industry has an aging work force that is fast approaching retirement age. How is Chesapeake addressing this?\n\nIt is no secret that there is a shortage of experienced professionals in the natural gas and oil industry. The industry down turn of the 1980s and 1990s discouraged many from pursuing energy careers. In the following decades, strong competition from other industries lured away many of the best and brightest science and technology graduates, and today many experienced professionals who stayed in the industry through the downturn are approaching retirement age. As a result, one of our industry's greatest challenges over the past 10 years has been to develop a new generation of natural gas and oil professionals who have the knowledge and experience required to meet the nation's growing energy needs.\n\nIn 2000 Chesapeake was one of the first companies to recognize this trend and to understand how recruiting and training a new generation of energy professionals would impact the company's future success and its ability to compete in the industry. At that time, Chesapeake formulated a business strategy to address future staffing needs and decided to create a world-class college recruiting and intern program to recruit the most promising industry talent. Today, Chesapeake hosts more than 150 interns every summer in its internship program, many of whom go on to become full-time Chesapeake employees upon graduation. In addition, we have 350 students who receive\n\nMartha Burger\n\n\n\nSenior Vice President Human and Corporate Resources\n\nscholarships through Chesapeake programs, and our staff of college recruiters has developed strong relationships with professors, department heads and career counselors at the more than 31 universities where we actively recruit.", - "page_start": 21, - "page_end": 21, - "source_file": "NYSE_CHK_2010.pdf" - } - ] - } - ] -] \ No newline at end of file